Doe v. DoeDoe v. Doe
Lead Opinion
Opinion of the Court by
Defendant-appellee-petitioner John Doe [hereinafter, Alleged Father] timely petitioned this court for a writ of certiorari, which we granted, to review the opinion of the Intermediate Court of Appeals (ICA) in Doe v. Doe, 99 Hawai‘i 24,
I. BACKGROUND
A. Family Court Proceedings
In April 1987, plaintiff-appellant Jane Doe [hereinafter, Mother] married defendant-ap-pellee John Doe II [hereinafter, Presumed Father]. During them marriage, Mother gave birth to a daughter (Daughter) in 1988 and to plaintiff John Doe III [hereinafter, Son] on July 7, 1992. Mother and Presumed Father wrere divorced pursuant to a March 22, 1994 Divorce Decree (Divorce Decree or Decree). The Divorce Decree incorporated a “Marital Settlement and Child Custody Agreement[,]” which stated that “[t]here are two childrenf,] the issue of this marriagef,]
On April 22, 1996, over two years after entry of the Divorce Decree, Mother filed a “Petition for Paternity, Custody and Other Relief[,]” pursuant to HRS chapter 584, asserting that Alleged Father is Son’s natural father. Mother sought, inter alia: (1) an order for genetic testing of Alleged Father, Mother, and Son in accordance with
On July 29, 1996, Mother moved to have Son joined as a party plaintiff and for appointment of a guardian ad litem; .for Son, which the family court granted. In his first report to the court, the guardian ad litem opined that it would be in the best interests of Daughter and Son for genetic tests to be completed and sealed by the court, to be released “only in accordance with further recommendations made by the children’s therapists in consultation with” the guardian ad litem.
Following evidentiary proceedings that took place on November 20 and 21,1997 and January 15,1998, the family court issued an order on March 8, 1998, denying Mother’s request for genetic testing.
B. ICA Proceedings
On appeal, assigned to the ICA, Mother asserted several points of error, many of which need not be addressed because of our disposition of this ease. In relevant part, Mother contended that: (1) in Hawaii, a chapter 584 proceeding is the exclusive means by which paternity can be determined; (2) her paternity claim was not barred by the doctrine of claim preclusion because claim preclusion applies only when the same parties were involved in the prior proceeding, and Alleged Father was not a party to the earlier divorce proceeding; (3) issue preclusion, or collateral estoppel, did not apply because the issue of paternity was never actually litigated in the divorce proceeding; and (4) the application of equitable estoppel to her case was unfair to Son.
The ICA essentially agreed with Mother. Basically, the ICA reasoned that HawaiTs adoption of chapter 584 preempted any defenses based upon res judicata or equitable estoppel and that, therefore, Alleged Father could not assert these defenses. In a dissenting opinion, Judge Lim concluded that Blackshear v. Blackshear,
II. STANDARDS OF REVIEW
A. Writ of Certiorari
In deciding whether to grant a petition for certiorari, this court reviews ICA decisions for (1) grave errors of law or of fact, or (2) obvious inconsistences in the decision of the ICA with that of the supreme court, federal decisions, or its own decision, and the magnitude of such errors or inconsistencies dictates the need for further appeal. See
B. Questions of Law
Interpretation of the relevant statutes and the issue whether the defenses of res judicata and equitable estoppel can be applied in a chapter 584 paternity proceeding are questions of law. This court reviews questions of law de novo. See Gump v. Wal-Mart Stores, Inc.,
III. DISCUSSION
A. Whether HRS Chapter 581 Preempts Defenses Based upon Res Judicata and Equitable Estoppel
In Blackshear, the parties’ August 1964 divorce decree incorporated an agreement providing for the payment by the former husband of child support for the four minor children of the marriage. Blackshear,
In 1975, the legislature adopted Hawaii’s version of the UPA. See 1975 Haw. Sess. L. Act 66, at 115-26 (now codified at HRS chapter 584). The ICA concluded that, because
We begin by reviewing the relevant statutory provisions.
Parent and child relationship defined. As used in this chapter, “parent and child relationship” includes the legal relationship existing between ... a child and father whose relationship as parent and child is established under this chapter ... incident to which the law confers or imposes rights, privileges, duties, and obligations.
(Underscored emphasis added.)
How parent and child relationship established. The parent and child relationship between a child and:
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(2) The natural father may be established under this chapter!.]
(Underscored emphasis added.) Thus, chapter 584 provides a vehicle by wRich paternity may be established. By them plain language,
The ICA determined that, because
(a) A child, or guardian ad litem of the child, the child’s natural mother, whether married or unmarried at the time the child was conceived, or her personal representative or parent if the mother has died; or a man alleged or alleging himself to be the natural father, or his personal representative or parent if the father has died; or a presumed father as defined in section 584-4, or his personal representative or parent if the presumed father has died; or the child support enforcement agency, may bring an action for the purpose of declaring the existence or nonexistence of the father and child relationship within the following time periods:
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(2) If the child has not become the subject of an adoption proceeding, within three years after the child reaches the age of majority ....
(Emphases added). This provision merely creates a statutory claim for relief in accordance with the rights, obligations, and procedures outlined in chapter 584. Nothing in the statute displaces common law doctrines of preclusion and estoppel any more than any other claim for relief established by other statutes. Accordingly, we disagree that
Regardless of its terms, an agreement, other than an agreement approved by the court in accordance with section 584-13(b) [relating to pretrial settlements in paternity actions under this chapter], between the alleged or presumed father and the mother or child, shall not bar an action under this section.
(Emphasis added.) The ICA determined that the Divorce Decree between Mother and Presumed Father was an “agreement” that cannot bar Mother from pursuing an action under
Upon the hearing of every complaint for annulment, divorce, or separation, the court shall require exact legal proof upon every point, notwithstanding the consent of the parties. Where the matter is uncontested and the court, in its discretion, waives the need for a hearing, then the court shall require exact legal proof upon every point by affidavit.
Thus, the Divorce Decree has the same binding effect as any other court judgment. See Gilbraith,
[W]e are convinced that [HRS § 584-6(c) ] is, in general, limited by its terms to those agreements ordinarily made outside the judicial process, and that it is not intended to apply when there is a final judicial resolution of rights and obligations on the basis of an underlying agreement between the parties to an action. This is just as true for a legitimation order as it is for a dissolution decree, both of which manifestly involve, by virtue of their icoles in the judicial process, something more than an “agreement” as that term is used in [HRS § 584—6(c) ].
Id. at 960 (footnote omitted). Consequently, a final Divorce Decree is not an “agreement” within the meaning of
Our conclusion that an individual can be precluded or estopped from asserting paternity on the basis of a previous judgment is also consistent with the purposes of chapter 584. We respectfully disagree with the ICA that the policy enunciated by chapter 584 is to permit a “presumptively legitimate child of questionable parentage” to “know the truth of her [or his] parentage[.]” ICA Op. at 21. The fundamental purposes of chapter 584 are “to provide substantive legal equality for all children regardless of the marital status of them parents” and to protect the rights and ensure the obligations of parents of children born out of wedlock. See Stand. Comm. Rep. No. 190, in 1975 House Journal, at 1019. The legislature enacted the UPA because the UPA was
designed to meet the constitutional equality standards enunciated by the United States Supreme Court in two lines of decisions, one beginning with Levy v. Louisiana,391 U.S. 68 [88 S.Ct. 1509 ,20 L.Ed.2d 436 ] (1968), dealing with the substantive rights of the child bom out of wedlock;and the other beginning with Stanley v. Illinois, 405 U.S. 645 [92 S.Ct. 1208 ,31 L.Ed.2d 551 ] (1972), dealing with the rights of the father of a child born out of wedlock.
Stand Comm. Rep. No. 190, in 1975 House Journal, at 1019. The substantive legal rights that illegitimate children were denied in many states included such rights as the right to intestate succession, the right to benefit from a statutory cause of action typically accorded to legitimate children, and the right to be the beneficiary of child support from the father. See generally Gomez v. Perez,
We emphasize the foregoing policy discussion in part to correct a misstatement made by the ICA regarding the manner in which the legal presumptions established by chapter 584 are to fee applied in paternity proceedings.
A presumption under this section may be rebutted in an appropriate action only by clear and convincing evidence. If two or more presumptions arise which conflict with each other, the presumption which on the facts is founded on the weightier considerations of policy and logic controls. The presumption is rebutted by a court decree establishing paternity of the child by another man.
(Emphasis added.) Thus, the statute mandates that, when conflicting presumptions are present, the family court consider the individual facts of each case in light of “policy and logic” to determine paternity. In contrast, relying upon its belief that the purpose of chapter 584 was to ensure that every child be able to determine the identify of his or her biological father, the ICA appears to conclude that the presumption based on genetic testing controls as a matter of law:
[W]e conclude that as compared to the presumption based onHRS §§ 584-4(a)(l) (presumption of paternity based on marital status), the presumption based onHRS § 584-4(a)(5) (presumption of paternity based on genetic testing) is “the presumption which on the facts is founded on the weightier considerations of policy and logic” and, therefore, it “controls.”HRS § 584-4(b) .
ICA Op., 99 Hawai‘i at 35,
Moreover, we note that construing
Furthermore, we note that the National Conference of Commissioners on Uniform State Laws recently promulgated the Uniform Parentage Act (2000) [hereinafter, UPA (2000)]. Although the provisions of UPA (2000) are not determinative of how this court should interpret chapter 584, the provisions of UPA (2000) relating to the binding effect of a prior adjudication of parentage and the rationale for making these revisions are nonetheless helpful.
(e) In a proceeding to dissolve a marriage, the court is deemed to have made an adjudication of the parentage of a child if the court acts under circumstances that satisfy the jurisdictional requirements of [Section 201 of the Uniform Interstate Family Support Act, dealing with long-arm jurisdiction over nonresidents], and the final order:
(1) expressly identifies a child as a “child of the marriage,” “issue of the marriage, ” or similar ivords indicating that the husband is the father of the child; or
(2) provides for support of the child by the husband unless paternity is specifically disclaimed in the order.
(d) Except as otherwise provided in subsection (b) [relating to the binding effect of a prior adjudication on the child, see discussion infra ], a determination of parentage may be a defense in a subsequent proceeding seeking to adjudicate parentage by an individual who was not a party to the earlier proceeding.
(Emphases added.) The comment to UPA (2000) section 637 states in relevant part:
A considerable amount of litigation involves exactly who is bound and who is not bound by a final order determining parentage.
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Subsection (c) resolves whether a divorce decree constitutes a finding of paternity. This subsection provides that a decree is a determination of paternity if the decree states that the child was bom of the marriage or grants the husband visitation or custody, or orders support. This is the majority rule in American jurisprudence.
Subsection (d) gives protection to third parties who may claim benefit of an earlier determination of parentage.
(Emphasis added.) These provisions of UPA (2000) are helpful because, assuming arguen-do that there was any ambiguity regarding the question whether an individual can be bound by a previous determination of parentage made outside the parameters of chapter 584, UPA (2000) represents the present consensus of how the issue should be resolved on policy grounds, a view that we share. See, e.g., Gilbraith,
Additionally, the existence of
Whenever, in any action involving the custody or support of a child apparently born in lawful wedlock, the legitimacy of the child is placed in issue, the court may make the child a party to the action, if not already a party, and shall thereupon determine the legitipiacy of the child as one of the issues in the action. The court shall appoint a guardian ad litem to represent the interests of the child and may assess the reasonable fees and expenses of the guardian ad litem as costs of the action, payable in whole or in part by any or all parties as the circumstances may justify. In the event the child is not made a party to the action, a determination that the child was not born to parents married to each other at the time of the child’s birth shall not be binding upon the child.
Presumably focusing .on language stating that the family court “shall thereupon determine the legitimacy of the child as one of the issues in the action,” Mother submits that
Moreover, the court in Blackshear was presumably aware of this provision when it decided that the issue of the parentage of a child born in wedlock could not be relitigated in a subsequent support proceeding. We do not believe that
Based on all of the foregoing, we hold that: (1) the enactment of chapter 584 does not displace this court’s previous decision in Blackshear; (2) does not prevent a proper litigant in a paternity action from asserting defenses based upon res judicata and equitable estoppel; and (3) a final judgment—including a divorce decree—can serve as the basis for such defenses.
B. Application to this Case
Here, the family court determined that the issue of Son’s parentage was “res judicata” and that Mother was equitably estopped from proceeding with a paternity action. We now turn to one aspect of res judicata-—-issue preclusion.
Issue preclusion^ or collateral es-toppel, bars relitigation of an issue where: (1) the issue decided in the prior adjudication is identical to the one presented in the action in question; (2) there is a final judgment on the merits; (3) the issue decided in the. prior adjudication was essential to the final judgment; and (4) the party against whom issue preclusion is asserted was a party or in privity with a party to the prior adjudication. Dorrance,
In this ease, all of the foregoing requirements have been met with respect to Mother. The prior adjudication was the divorce proceeding between Mother and Presumed Father. The identical issue of who is Son’s father was determined by the Divorce Decree when it declared that “[t]here are two children the issue of this marriage who are minors and who require support[,]” expressly naming Daughter and Son. The Divorce Decree constituted a final judgment. The issue of paternity was essential to the portion of the final judgment that ordered Presumed Father to make support payments and that provided for custody and visitation. Finally, the defense.is being asserted against Mother, who was a party to the divorce proceeding. Similar circumstances were present in Black-shear, the difference being that the defense was asserted against the former husband rather than the former wife. Accordingly, we hold that Mother is barred by the doctrine of issue preclusion, or collateral estop-pel, from bringing an action against Alleged Father to establish paternity pursuant to
C. Other Issues
1. The “Best Interest of the Child” and Genetic Testing
Although not strictly necessary to the disposition of this case, we address the following issue in order to make clear that the ICA correctly applied Child Support Enforcement Agency v. Doe,
HRS §‘584-13 addresses pre-trial settlement issues and provides in relevant part:
(a) On the basis of the information produced at [a mandated] pre-trial hearing, the judge conducting the hearing shall evaluate the probability of determining the existence or nonexistence of the father and child relationship in a trial and whether a judicial declaration of the relationship would be in the best interest of the child. On the basis of the evaluation, an appropriate recommendation for settlement shall be made to the parties, which may include any of the following:
(1) That the action be dismissed with or without prejudice;
(2) That the matter be compromised by an agreement among the alleged father, the mother, and the child, in which the father and child relationship is not determined but in which a defined economic obligation is undertaken by the alleged father in favor of the child and, if appropriate, in favor'of the mother, subject to approval by the judge conducting the hearing. In reviewing the obligation undertaken by the alleged father in a compromise agreement, the judge conducting the hearing shall consider the best interest of the child, in the light of the factors enumerated in section 576D-7, discounted by the improbability, as it appears to him, of establishing the alleged father’s paternity or nonpater-nityof the child in a trial of the action. In the best interest of the child, the court may order that the alleged father’s identity be kept confidential. In that casé, the court may designate a person or agency to receive from the alleged father and disburse on behalf of the child all amounts paid by the alleged father in fulfillment of obligations imposed on him; or
(3) That the alleged father voluntarily acknowledge his paternity of the child.
(b) If the parties accept a recommendation made in accordance with subsection (a), judgment shall be entered accordingly.
(c) If a party refuses to accept a recommendation made under subsection (a) and genetic tests, including blood tests have not been taken, the court shall require the parties to submit to genetic tests, if practicable. Thereafter the judge shall make an appropriate final recommendation. If a party refuses to accept the final recommendation, the action shall be set for trial.
(Emphases added.) The purpose of
The settlement procedures contemplated by this Section are voluntary. If any party refuses to accept a settlement recommendation, the action will be set for trial. It is expected, however, that, as soon as reliable blood test evidence becomes available on a large scale, the great majority of cases toill be settled consensually in the light of such evidence.
(Emphasis added.) Consequently, we agree with the ICA that the language conditioning genetic testing on such testing being “practicable” refers only to the practical aspects of completing the testing and does not permit the family court to consider the “best interest of the child” in deciding whether to order testing in the first place. See ICA Op.,
2. Son’s Interest
Finally, we wish to emphasize that our decision deals exclusively with Mother’s ability to pursue a chapter 584 paternity action. It does not address the propriety of the family court’s decision that Son was precluded from bringing this action on the ground that he was in privity with Mother during the divorce proceeding. Son did not cross-appeal the family court’s judgment. It is well-settled that “an appellee is ordinarily not entitled to attack a judgment without a
IV. CONCLUSION
Based on the foregoing, we hold that the enactment of chapter 584 does not displace this court’s previous decision in Blackshear, does not prevent a proper litigant in a paternity action from asserting defenses based upon res judicata and equitable estoppel, and a final judgment—-including a divorce decree—can serve as the basis for such defenses. We further hold that Mother is barred by the doctrine of issue preclusion, or collateral estoppel, from bringing an action against Alleged Father to establish paternity pursuant to
Notes
. We note here that Mother opposed the eviden-tiary proceedings on the ground that
. As it has been used in recent jurisprudence, the doctrine of res judicata generally encompasses two concepts: claim preclusion and issue preclusion (or collateral estoppel). Dorrance v. Lee,
Courts sometimes use the term res judicata when referring to claim preclusion, see, e.g., In re Herbert M. Dowsett Trust,
. The court in Love held that the appellant could proceed with an action in the trial court to vacate the divorce decree with (lie goal of disestablishing paternity because the appellant had alleged "extrinsic fraud” in the earlier divorce proceeding. See Love,
. Eighteen jurisdictions, including Hawai'i, have substantially adopted the UPA. See UPA Table of Authorities, 9B U.L.A. 377 (2001). Of these, the only jurisdiction that has permitted relitigation of the issue is Washington, and that was in a case with unusual factual circumstances. In McDaniels v. Carlson,
. The UPA does not expressly address these issues.
. This interpretation is consistent with the underlying purposes of the UPA and chapter 584.
We note that, notwithstanding its final paternity decision,
Dissenting Opinion
Dissenting Opinion by
with whom ACOBA, J., Joins.
Recently, this court has had reason to consider the purpose of judicial publication. Publication is critical to the development of law. I am concerned that this court periodically abdicates its role in guiding the public on important legal issues by misusing its power to issue summary disposition orders. My concern first arose when this court surprisingly disposed of Baehr v. Miike,
I begin by explaining when summary disposition orders may properly be used. The guidelines for disposition of cases are set forth by the report of the Hawai'i Chapter of the American Judicature Society’s Special Committee on Unpublished Judicial Opinions:
(1) Summary disposition orders are issued when the appellate courts are affirming a judgment and the issues raised are decided by application of well-known legal principles to unremarkable facts.
(2) Memorandum opinions are issued when the appellate courts are reversing a judgment or when they are affirming, affirming in part and vacating in part, or affirming in part and reversing in part, but are applying well-known legal principles to unremarkable facts.
(3) Published opinions are issued when explication of the law will provide some benefit to parties, courts, and practitioners. Published opinions are more likely when the case involves unique issues of law, cases of first impression, the application of known legal principles in circumstances different from previous cases, or when known legal principles need further explanation or limitation.
Furthermore, the ABA Standards for Appellate Courts § 3.36 instruct, “A full written opinion reciting the facts, the questions presented, and analysis of pertinent authorities
It logically follows, then, that the guidelines envisioned that the accompaniment of a dissenting or concurring opinion necessarily designates the disposition for publication, unless the court unanimously finds reason not to publish. The current practice of the court disregards the existence of dissenting or concurring opinions in déciding whether or not to publish, so long as the majority is satisfied that publication is not warranted. I ask whether there is a clearer indication of an “unsettled question” than the Supreme Court itself being divided on an issue. If the case involves, as the above criteria suggests, “the application of well-known legal principles” such that publication will not “provide some benefit,” then the correct result and the correct basis for the result should be obvious to any individual well-trained in the law. Thus, in the absence of a unanimous agreement otherwise, the existence of disagreement among Supreme Court justices removes the case from summary disposition order eligibility.
I caution that improper use of a summary disposition order has the deleterious effect of stifling the development of law. At the present time, our rules of appellate procedure forbid citation to summary disposition orders in all but a few limited situations. See Ha-wai'i Rules of Appellate Procedure (HRAP), Rule 35(c).
(2) Manner of Implementation.
(A) As members of a panel prepare for argument, they shall give thought to the appropriate mode of disposition (order, memorandum and order, unpublished opinion, published opinion). At conference the mode of disposition shall be discussed and, if feasible, agreed upon. Any agreement reached may be altered in light of further research and reflection.
(B) With respect to cases decided by a unanimous panel with a single opinion, if the writer recommends that the opinion not be published, the writer shall so state in a cover letter or memorandum accompanying the draft. After an exchange of views, should any judge remain of the view that the opinion should be published, it must be.
(C) When a panel decides a case with a dissent) or with more than one opinion, the opinion or opinions shall be published unless all participating judges decide against publication. In any case decided by the court en banc the opinion or opinions shall be published.
(D) Any party or other interested person may apply for good cause shown to the court for publication of an unpublished opinion.
(E) If a District Court opinion in a case has been published, the order of court upon review shall be published even when the court does not publish an opinion.
(F) Unpublished opinions may be cited in filings with or arguments to this court only in related cases. Otherwise only published opinions may be cited. A published opinion is one that appears in the ordinary West Federal Reporter series (not including West’s Federal Appendix) or as a recent opinion intended to be so published. All slip opinions released by the clerk’s office are intended to be so published unless they bear the legend “Not For Publication” or some comparable phraseology.
(G) Periodically the court shall conduct a review in an effort to improve its publication policy and implementation.
(Emphasis added.)
. A summary disposition order is generally understood to be a one-line affirmance, in effect adopting the reasoning of the trial court. It should also be generally understood that the decision must be a unanimous one. In cases where unanimity cannot be reached, it should not be disposed of via summary disposition order. In Baehr, the majority filed a four-page summary disposition order, with a five-page concurrence attached. It is problematical that despite nine pages of discussion, the case was still disposed of via summary disposition order.
. In its April 24, 2002 report, the Hawai'i Chapter of the American Judicature Society’s Special Committee on Unpublished Judicial Opinions recommended that HRAP Rule 35 should be amended to allow a party to cite a memorandum opinion or unpublished dispositional order in any action or proceeding, provided it has persuasive value. Until HRAP Rule 35 is amended, the inability to cite to unpublished judicial opinions remains a danger of tiered publication. As discussed infra, however, this danger may also be obviated by other measures.
. I attempted to retrieve the Yucoco decision from the Judiciary website by selecting the month and year of disposition, and then scrolling down tire days until I found the decision. When I clicked on the memorandum opinion, however, I found that it was inexplicably unavailable. It appears that in order to obtain a copy of Yucoco, one would need to submit a request to the Supreme Court Clerk’s Office. The Clerk’s Office will then provide it at a charge of $1.00 for the first page, and $0.50 for each additional page.
. There should be no question that separate opinions are more than simply the losing side of a vote. Publication of dissenting and concurring opinions assures the public that its court of last resort is not acting as a Star-chamber, assists future courts in revisiting issues where error may have been made or the times require further consideration, provides the legal community with a more thorough understanding of the different viewpoints espoused by the justices of the court, and oftentimes provides a basis for legislative response. The majority’s current practice demonstrates its belief that a minority of the court is incapable of correctly determining that an opinion has precedential value. The danger of such practice is that the majority that makes the substantive decision always has the power to decide if the dissent will be permitted to express its disagreement with the majority.
.In his dissenting opinion in Poe v. Hawai'i Labor Relations Board,
Judge Jefferson’s experience in a California Court of Appeals case, People v. Para, No. CRA 15889 (Cal.Ct.App. Aug. 1979), is instructive:
Initially, it appeared that the majority felt the same as I do regarding the fact that the majority opinion merited publication in the Official Reports. When circulated to me, the majority opinion was approved of by the two justices making up the majority and was marked for publication in the Official Reports. It was only after I had circulated my dissenting opinion to the two justices who make up the majority that they decided to reverse their original position regarding publication in the Official Reports. I do not think this reversal of position is justified.
Poe,
. Several federal and state jurisdictions incorporate a rule similar to the First Circuit's Rule 36(b)(2)(C) into their appellate procedures. See, e.g., U.S.Ct. of App. 5th Cir., Rule 47.5.1 ("An opinion may also be published if it: is accompanied by a concwring or dissenting opinion (emphasis added)); U.S.Ct. of App. 6th Cir., Rule 206 ("The following criteria shall be considered by panels in determining whether a decision will be designated for publication in the Federal Reporter: ... (4) whether it is accompanied by a concurring or dissenting opinion .... An opinion or order shall be designated for publication upon the request of any member of the panel." (emphases added)); U.S.Ct. of App. 8th Cir., App. I ("The Court or a panel will determine which of its opinions are to be published, except that a judge may make any of his opinions available for publication." (emphasis added)); U.S.Ct. of App. 9th Cir., Rule 36-2 ("A written, reasoned disposition shall be designated as an OPINION only if it: ... Is accompanied by a separate concwring or dissenting expression, and the author of such separate expression requests publication of the disposition of the Court and the separate expression." (capitalization in original; emphasis added)); Alabama Rules of Appellate Procedure, Rule 53 {"[I]f in a "No Opinion" case a Justice or Judge writes a special opinion, either concurring with or dissenting from the action of the court, the reporter of decisions shall publish that special opinion, along with a statement indicating tire action to which the special opinion is addressed.” (emphasis added)); Rules of the Supreme Court of Arizona, Rule 111(b)(4) (“Dispositions of matters before the court requiring a written decision shall be by written opinion when a majority of the judges acting determine that it involves a legal or factual issue of unique interest or substantial public importance, or if the disposition of matter is accompanied by a separate concwring or dissenting expression, and the author of such separate expression desires that it be published, then the decision shall be by opinion." (internal section numbering omitted; (emphasis added)); Indiana Rules of Appellate Procedure, Rule 65 ("A judge who dissents from a nol-for-publicalion memorandum decision may designate the dissent for publication if one (1) of the criteria above is met.” (emphasis added)); Louisiana Revised Statutes, Uniform Rules, Courts of Appeal, Rule 2-16.2 ("An opinion may also be published if it is accompanied by a concurring or dissenting opinion ...(emphasis added)); Rules of the Supreme Court of Kansas, Rule 7.04 ("A memorandum opinion shall not be published unless there is a separate conewring or dissenting opinion in the case, and the author of such separate opinion requests that it be reported; or unless it is ordered to be published by the Supreme Court.... Concurring and dissenting opinions shall be published only if the majority opinion is published.” (emphasis added)); North Dakota Supreme Court Administrative Rules, Rule 27, Section 14(c) {"The opinion may be published only if one of the three judges participating in the decision determines that one of the standards set out in this rule is satisfied. The published opinion must include concurrences and dissents.”) (emphasis added)); South Carolina Appellate Court Rules, Rule 220 ("The Supreme Court may file a memorandum opinion dismissing an appeal, affirming or reversing the judgment appealed from, or granting other appropriate relief when, in unanimous decision, the Supreme Court determines that a published opinion would have no precedential value and any one or more of the following circumstances exists and is dispositive of issues submitted to the Court for decision: (A) that a judgment of the trial court is based on findings of fact which are not clearly erroneous; (B) that the evidence to support a jury verdict is or is not insulficient; (C) that the order of an administrative agency is or is not supported by such quantum of evidence as prescribed the statute or law under which judicial review is permitted; or (D) that no error of law appears.” (emphases added)); Texas Rules of Appellate Procedure, Rule 47.5 ("A concurring or dissenting opinion may be published if, in the judgment of its author, it meets one of the criteria established in 47.4. If a concurrence or dissenl is to be published, the majority opinion must be published as well.” (emphasis added)).
Dissenting Opinion
Dissenting Opinion of
with whom RAMIL, J., joins.
I respectfully disagree with the majority’s position, inasmuch as- (1) the question of the
I.
The purpose of HRS chapter 584 is to provide a method whereby certain parties may ascertain the identity of the natural or biological father of a subject child. Confirming a paternity determination made in a divorce proceeding, when the issue has not been actually and fully litigated, as the majority does, violates the purpose evident in HRS chapter 584. Accordingly, I cannot agree with the majority’s view that the identity of a child’s natural and biological father, as set forth in a divorce action that does not actually and fully litigate the question of a child’s paternity, is to be given res judicata status. Because the issue of the genetic identity of Son’s natural or biological father is at the heart of a paternity action, I believe it is wrong to bind Respondent/Plaintiff Appellant Jane Doe (Mother) to a decision that purportedly established Presumed Father as Son’s natural or biological father in such a previous divorce action.
II.
At odds with the purpose of chapter 584, the majority contends that (1) res judicata may prevent a party from asserting or denying paternity under HRS chapter 584 when a previous divorce decree has already adjudicated paternity, see Doe v. Doe,
The majority relies upon Dorrance v. Lee,
Actual litigation is defined as “[wjhen an issue is properly raised, by the pleadings or otherwise, and is submitted for determination, and is determined!.]” Restatement (Second) of Judgments § 27 emt. d (1980). By contrast, a determination is not conclusive “as to issues which might have been but were not litigated and determined in the prior action.” Id. § 27 emt. e. As explained in the Restatement,
[a]n issue is not actually litigated if the defendant might have interposed it as an affirmative defense but failed to do so; nor is it actually litigated if it is raised by a material allegation of a party’s pleading but is admitted (explicitly or by virtue of a failure to deny) in a responsive pleading; nor is it actually litigated if it is raised in an allegation by one party and is admitted by the other before evidence on the issue is adduced at trial; nor is it actually litigated if it is the subject of a stipulation between the parties.
Id. In the present case, Son’s paternity was never actually litigated in the divorce proceeding. The divorce decree stated that “[t]here are two children[,] the issue of this marriage!,]” but whether Presumed Father was, indeed, the natural or biological father of Son was never actually litigated. Instead, the divorce decree is more analogous to the examples of non-litigated circumstances cited in the Restatement comment above, such as when an admission is made and evidence relating to the issue is never heard before a court and a considered judgment is never made. This view applies to paternity actions:
Where the paternity question is not contested in the divorce action, but a finding of paternity is made, the cases are not in agreement on the effect of the decision. The Restatement (Second) of Judgments limits collateral estoppel to those cases in which an issue is “actually litigated”, defining that phrase to mean that the issue was properly raised by pleadings or otherwise, was submitted for determination and was determined. Some of the divorce cases would apparently go beyond the Restatement and hold that if a finding of paternity is made, even though not contested, it is binding on the husband in later proceedings. Others have held that if paternity was not actually contested in the divorce action, a husband or wife may raise and litigate the issue in later proceedings.
2 Homer H. Clark, Jr., The Law of Domestic Relations in the United States § 18.1, at 354-55 (2d ed.1987) (footnotes omitted).
Accordingly, issue preclusion, as argued by Alleged Father and Presumed Father, is not applicable in the instant case.
III.
A.
Moreover, contrary to the majority’s assertion, our case law does not support a finding of res judicata when paternity is not actually litigated in a divorce action, and then later challenged. In Blackshear v. Blackshear,
Several years later, Mr. Blackshire filed a motion to modify the agreed upon child support payments, due to alleged extraordinary expenses and for other reasons. See id. Mr. Blackshire also sought to have evidence placed into the record that two of the four children were not, in fact, his. See id. The family court determined that it had no jurisdiction to alter the terms of the child support agreement. See id. With regard to the attempt by Mr. Blackshire to raise the question of the children’s paternity, the family court concluded that “[t]he matter of legitimacy was found to be res judicata.” Id. Mi’. Blackshire appealed.
On appeal, the majority of this court’s analysis dealt with the question of jurisdiction to modify the child support agreement. As to the question of paternity, this issue was summarily dismissed with no analysis. As observed by the Intermediate Court of Appeals (ICA) in its opinion, see Doe v. Doe,
B.
The ICA majority concluded that Black-shear was decided under prior law and is thus distinguishable from the instant case. Prior to the adoption of the Uniform Parentage Act (UPA),
The rebuttability of the presumption was very limited under the statutes. Under RLH chapter 332, establishment of paternity could be petitioned for, but only under limited circumstances and never by the husband. RLH § 332-1 provided that
[a]ny unmarried woman or any married women [sic] who was separated from and was not living with her husband prior to and at the time her child was conceived, when her pregnancy can be determined by competent medical evidence, or within two years after the delivery of her child, may petition ... for an adjudication of paternity and for other relief under the provision of this chapter against the person whom she alleges is the father of such child.
RLH § 324-43 (1955), pertaining to divorce actions, allowed a husband to raise the question of paternity, but only when the divorce was predicated upon an allegation of adultery by the wife, and the legitimacy of the children was questioned. See id. (“A divorce [based on the wife’s] adultery ... shall not affect the legitimacy of the issue of the marriage, but the legitimacy of such children, if questioned, shall be tried and determined by the judge. In ... such case the legitimacy of such children shall be presumed, until the
As noted supra, the Blackshears were apparently living together at the time of conception. Thus, Mr. Blackshear’s opportunity to challenge the paternity of the two children could only be made at the time of the divorce pursuant to RLH § 324-43, and then only if Mrs. Blackshear was accused of adultery. This, apparently, was not the case. Mr. Blackshear could not reopen his divorce proceeding to question paternity of the two children, because there was no statutory authority for him to do so, inasmuch as that action could not be raised by a presumed or alleged father under any circumstances. Mr. Black-shear also lacked standing to raise the paternity issue under RLH chapter 332, as RLH § 332-1 excluded presumed or alleged husbands from bringing an action under that chapter. Hence, the Blackshear court could have determined that the presumption of paternity was, at the time of Mr. Blackshear’s motion, irrebuttable.
The ICA majority relied solely upon RLH § 332-1, the existing paternity chapter, in concluding that, “[i]n light of [RLH] § 332-1 (1955), claim preclusion is not the only reasonable interpretation” of Blackshear ⅛ unexplained statement. ICA opinion, 99 Ha-wai'i at 34,
C.
Unlike the law in 1955, the current divorce statutes no longer expressly authorize paternity determinations, except when the divorce action is joined with an action for paternity under HRS chapter 584. See
Notwithstanding the foregoing provisions of this section the court’s authority with respect to the review, rehearing, renewal, modification, or revocation of decrees, judgments, or orders entered in the here-inbelow listed classes of proceedings shall be limited by any specific limitations set forth in the statutes governing these proceedings or in any other specifically applicable statutes or rules. These proceedings are as follows: ... [p]aternity proceedings under chapter 584[.]
Moreover, HRS chapter 584 does not provide for res judicata effect of divorce decrees or any other adjudication affecting the ability of parties to seek a paternity determination under its own provisions. It does, however, specifically address the res j^ldicata effect of an order obtained under HRS chapter 584 on other proceedings, providing that a ruling under HRS chapter 584 “shall be determinative for all purposes.”
IV.
In its decision, the majority makes the blanket statement that the purpose of HRS chapter 584 is to provide each child with an identifiable legal father. See op.
In its opinion, the majority states that it “disagreed] with the ICA that the policy enunciated by chapter 584 is to permit a ‘presumptively legitimate child of questionable parentage’ to ‘know the truth of her [or his] parentage!.]’ ” Op.
V.
The determination of paternity relates not to the ascertainment of a legal father, but to the finding of the natural father. This is reflected in the statutory language in HRS chapter 584.
Furthermore,
Evidence relating to paternity may include:
(1) Evidence of sexual intercourse between the mother and the alleged father at any possible time of conception;
(2) An expert’s opinion concerning the statistical probability of the alleged father’s paternity based upon the duration of the mother’s pregnancy;
(3) Genetic test results, including blood test results, weighted in accordance with evidence, if available, of the statistical probability of the alleged father’s . paternity;
(4) Medical or anthropological evidence relating to the alleged father’s paternity of the child based on tests performed by experts. If a man has been identified as a possible father of the child, the court may, and upon request of a party shall, require the child, the mother, and the man to submit to appropriate tests;
(5) A voluntary, written acknowledgment of paternity;
(6) Bills for pregnancy and childbirth, including medical insurance premiums covering this period and genetic testing, without the need for foundation testimony or other proof of authenticity or accuracy, and these bills shall constitute prima facie evidence of amounts incurred for such services or for testing on behalf of the child; and
(7) All other evidence relevant to the issue of paternity of the child.
Id. Nowhere in the provisions of HRS chapter 584 is there a suggestion that the purpose of the procedures included therein is to “ensure that every child, to the extent possible, has an identifiable legal father.” Op. at 8,
Rather, the language of HRS chapter 584 manifestly supports the ICA’s reading of this section, that HRS chapter 584 is aimed at determining the natural or biological father of a subject child. See ICA opinion, 99 Ha-wai'i at 35,
VI.
In consonance with this purpose, presumptions are set forth in
The methods for determining the identity of the natural or biological father of a child have evolved over time. When initially used by courts to determine who was the true father of a child, the accuracy of blood grouping testing
Since millions of men belong to the possible groups and types, a blood grouping test cannot conclusively establish paternity. However, it can demonstrate nonpaternity, such as where the alleged father belongs to group 0 and the child is group AB. It is a negative rather than an affirmative test with the potential to scientifically exclude the paternity of a falsely accused putative father.
Little v. Streater,
On the other hand, genetic testing “can statistically exclude the rest of the world’s male population by a probability formula. Thus, the putative father can now be conclusively included into the set of possible fathers which is infinitesimally small. Accordingly, the likelihood that a properly conducted positive paternity test is wrong is astronomically remote.” E. Donald Shapiro, Stewart Rei-fler, & Claudia L. Psome, The DNA Paternity Test: Legislating the Future Paternity Action, 7 J.L. & Health 1, 3-4 (1992-93) [hereinafter The DNA Paternity Test ].
VII.
When the UPA was first formulated in 1973, genetic testing, with its high degree of accuracy, was not available. See Nat’l Conf. of Comm’rs Unif. State Laws, Summary: The Uniform Parentage Act, http://
The 1973 Uniform Act provided for blood testing in a paternity action. The results were evidence in that action. The “blood” testing of the time could help identify a natural father, but was nowhere as certain and determinative as genetic testing subject to rigorous standards as the 2000 Uniform Act contemplates. Precise genetic testing has changed determination of parentage dramatically.
Id. (emphases added). Because blood typing was not conclusive, the Commission created “[a] network of presumptions ... for application to cases in which proof of external circumstances indicate a particular man to be the probable father.” UPA § 204 cmt. (2000). However, the 2000 revision to the UPA eliminates the conflicting presumptions provision, because “[t]he existence of modern genetic testing obviates this old approach to the problem of conflicting presumptions when a court is to determine paternity.” Id.
VIII.
The majority contends that “the genetic presumption is not more important than the other presumptions; it is one of several that must be considered in light of the fundamental purpose of [HRS] chapter 584.”
The presumptions are distinct from one another, and what is necessary to rebut one presumption may differ from what is required to rebut another presumption. For example, with the presumption that a man not excluded as the natural father after genetic testing is the natural father, may be rebutted by challenging the reliability of the testing procedures or the results, see, e.g., Cable v. Anthou,
First, if the defendant introduces evidence the expert testing was conducted improperly, or the wrong gene frequency table was used, or the opposing expert is biased, the defendant may demonstrate his paternity index is not 100 or more.... Second, the defendant may prove he is infertile or otherwise had no access to the mother during the period of conception.... Third, a defendant might prove another man who had access to the mother also has a high paternity index, which would raise a competing or “inconsistent” presumption. For example, two related men could have access to the mother.
County of El Dorado v. Misura,
On the other hand, the presumption of legitimacy is challengeable on the basis of genetic testing demonstrating that another man has a high probability of paternity. See, e.g., Tindle v. Gay,
IX.
The majority also erroneously suggests that the 1995 amendment to
The legislative history reveals that this provision was added in order to “ensure compliance with the requirements of the Omnibus Reconciliation Act of 1993.”
As noted supra, the provision relating to genetic testing was not included as a presumption until 1995. See 1995 Haw. Sess. L. Act 106, § 1, 176. Accordingly, Hawaii’s adoption of the UPA, incorporated as HRS chapter 584, encompassed the “old approach” that the network of presumptions was required, because no sufficiently exact method of determining who was the natural or biological father existed. The inclusion of genetic testing as a recognized method of determining paternity in 1995 obviates other presumptions. Thus, when genetic testing is conducted, depending upon the results of that test, it is determinative of who the natural or biological father is, subject to rebuttal challenges to the test results. If genetic testing is not conducted, the network of presumptions apply, because, without genetic testing, those assumptions are helpful in assessing who is likely to be the natural or biological father.
X.
Also, the policy behind the UPA, as stated in our ease law, is to provide for a legal
From its inception in Í975,HRS § 584-6(a) permitted certain specified person to bring an action for the purpose of declaring the “nonexistence” of the father and child relationship. The language expressly allowing a presumed father to bring such an action was added toHRS § 584-6(a) by Act 224, § 1, 1991 Haw. Sess. Laws 518, effective June 6, 1991. Thus, the family couH was wrong in stating that “the purpose of the Uniform Parentage Act is not to take fathers from kids, but to give them parents."
Id. The UPA plainly establishes that the biological parentage of a child may be a separate matter from the legal parentage of a child, and both are relevant.
Additionally, our statutes establish that the purpose of HRS chapter 584 is not simply to assure that every child has an assigned father but, rather, that every child be assured of some legal relationship to his or her natural or biological father. Had our laws been intended to ensure the former, paternity of a child born to a married mother would be conclusive. No provision would be made that would allow such a presumption to be rebutted. There would be no need to, inasmuch as the child would have “an identifiable legal father.” Op.
XI.
Public policy supports an accurate determination of the truth of a child’s genetic parentage, regardless of who instigates the action. The United States Supreme Court has stated that a child and an alleged father share an interest “in an accurate and just determination of paternity.” Little,
These policies of allowing a child to know the truth of his or her parentage and to participate as the natural or biological child in the resources of his or her parent do not support a blind following of an unlitigated conclusion as to paternity. When paternity is not fully litigated in the divorce proceeding, the “truth” is not brought to light, and the child’s substantial interests are ignored. Given the accuracy of genetic testing, the majority’s conclusion that such testing is only one of many factors to consider is simply untenable.
Accordingly, I would affirm the ICA’s decision and remand this case for further proceedings consistent with its opinion.
. As explained in Black's Law Dictionary 480 (6th ed. 1990),
DNA profiling or fingerprinting is an analysis of Deoxyribonucleic Acid (DNA) resulting in the identification of an individual’s patterned chemical structure of genetic information!; a] method of determining distinctive patterns in genetic material in order to identify the source of a biological specimen, such as blood, tissue or hairf; a] forensic technique used in ... paternity cases to identify, or rule out, father of child.
(Citations omitted.)
. The Uniform Parentage Act was adopted in 1975 and became effective on January 1, 1976. See 1975 Haw. Sess. L. Act 66, at 115-26.
. As explained by the Supreme Court:
The application of blood tests to the issue of paternity results from certain properties of the human blood groups and types: (a) the blood group and type of any individual can be determined at birth or shortly thereafter; (b) the blood group and type of every individual remain constant throughout life; and (c) the blood groups and types are inherited in accordance with Mendel's laws. If the blood groups and types of the mother and child are known, the possible and impossible blood groups and types of the true father can be determined under the rules' of inheritance. For example, a group AB child cannot have a group O parent, but can have a group A, B, or AB parent. Similarly, a child cannot be type M unless one or both parents are type M, and the factor rh’ cannot appear in the blood of a child unless present in the blood of one or both parents.
Little v. Streater,
. Act 106 also added the presumption of paternity based upon a voluntary acknowledgment of paternity filed with the department of health. See
. The Omnibus Reconciliation Act of 1993 required that states meet certain thresholds in establishing paternity of non-marital children each year:
[T]he Omnibus Budget Reconciliation Act of 1993, established new paternity establishment percentages^ i.e., the total number of non-marital children in the State under one year of age for whom paternity is established or acknowledged during the fiscal year, to the total number of non-marital children bom in the State during such fiscal year,] which States must meet in operating their child support enforcement programs. The bill also made technical changes in how the paternity establishment percentage is calculated.
139 Cong. Rec. S15942 (daily ed. Nov. 17. 1993) (Statements on Introduced Bills and Joint Resolutions). Under the State Paternity Programs, each state was required to create "[p]ro-cedures which create a rebuttable or, at the option of the State, conclusive presumption of paternity upon genetic testing results indicating a threshold probability that the' alleged father is the father of the child.” 139 Cong, Rec. H5881 (daily ed. Aug. 4, 1993) (Conf. Rep. on H.R. 2264, Omnibus Budget Reconciliation Act of 1993).
The purpose of these provisions was to aid in child support enforcement.
The Child Support Enforcement Program was enacted as part of the Social Security Act in 1975. The States operate their own programs within Federal law and regulations. The Federal Government pays for 66 percent of the administrative costs. States are responsible for establishing paternity, locating absent parents, establishing child support orders, and enforcing child support. The Federal role includes monitoring and evaluating State programs, providing technical assistance, and in certain instances, helping States locate absent parents and collect child support payments. The Internal Revenue Service (IRS) collects some child support in arrears by offsetting income tax refunds otherwise due to taxpaying obligors.
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The provision would require each State to have in effect laws requiring the use of additional procedures ... which create a rebuttable or, at the option of the State, conclusive presumption of paternity upon genetic testing results indicating a threshold probability of the alleged father being the father of the childf.]
Id. at H6018.