In the Matter of the Adoption of I.K., a minor child.
J.S., Appellant,
v.
P.K. and J.K., Appellees.
Supreme Court of Utah.
*465 Clark R. Nielsen, Kathryn J. Steffey, Salt Lake City, for appellant.
Larry S. Jenkins, Richard J. Armstrong, Lance D. Rich, Salt Lake City, for appellees.
On Certification from the Utah Court of Appeals.
INTRODUCTION
WILKINS, Justice:
¶ 1 In this direct appeal, Appellant J.S. seeks to challenge the adoption of I.K., his alleged daughter. We are asked to determine (1) whether Utah's adoption statute, specifically Utah Code sections 78B-6-120 to -122,[1] violates J.S.'s due process rights as applied; (2) whether it was error for the district court, finding that J.S. did not comply with New Mexico law, to deny his motion to dismiss; and (3) whether the district court erred in determining that J.S. lacked standing to challenge the adoption. We hold that regardless of whether sections 78B-6-120 to -122 would violate due process as applied to J.S., the question is moot because he failed to meet the requirements of New Mexico law. Accordingly, the district court did not err by denying his motion to dismiss nor by *466 determining that he lacked standing. As a result, we affirm the district court.
BACKGROUND
¶ 2 In January and February of 2007, J.S. (the Natural Father) and T.C. (the Birth Mother), residents of New Mexico, engaged in a physically intimate relationship, resulting in the pregnancy of the Birth Mother. Though the couple ended their relationship in February 2007, the Birth Mother contacted the Natural Father in March 2007 to inform him that she was pregnant and intended to have an abortion. The Natural Father objected to the abortion, but agreed to drive the Birth Mother to the abortion clinic. Once at the clinic, personnel allegedly informed the Birth Mother that she could not undergo the procedure due to problems with her medical records. The Birth Mother told the Natural Father that she would have someone else drive her when she returned to have the abortion and that she did not want the Natural Father to be further involved. However, without informing the Natural Father, the Birth Mother did not have an abortion and gave birth to Baby Girl C (now named and referred to as I.K.) in October 2007. Though a permanent resident of New Mexico, the Birth Mother delivered the baby in Colorado, a state with which the Birth Mother had no connections.
¶ 3 On November 11, 2007, without informing the Natural Father, the Birth Mother consented to adoption and relinquished the baby to Act of Love, a Utah adoption agency. The Birth Mother did not have any other contacts with the State of Utah. Act of Love placed I.K. with Utah adoptive parents, P.K. and J.K. (the Adoptive Parents), who filed a petition for adoption in Utah on November 13, 2007.
¶ 4 The Natural Father first received notice of I.K.'s birth on November 4, 2007, when he was contacted by Family Matters, a New Mexico adoption agency. The Natural Father refused to consent to the adoption of I.K. and contacted an attorney to protect his parental rights. Shortly after refusing consent to Family Matters, the Natural Father received a phone call from the Birth Mother, during which she asserted her determination to place I.K. for adoption. The Natural Father continued to object. Through his attorney, the Natural Father filed a petition to establish paternity and custody in New Mexico on November 20, 2007. The Natural Father also offered to provide financial support for I.K. in December 2007, which the Birth Mother refused. However, at no time did he file with the New Mexico Putative Father Registry.[2]
¶ 5 Unaware of the pending Utah adoption case, the Natural Father continued his paternity case in New Mexico. Only just before an emergency custody hearing on January 23, 2008 did he learn that the baby had been placed for adoption in Utah. Nevertheless, proceeding with his case, on February 12, 2008, the New Mexico court found the Natural Father to be the father of I.K. and awarded him temporary custody during the paternity action.
¶ 6 One week earlier, on February 6, 2008, Act of Love filed a Verified Petition to Determine Birth Father's Rights (Birth Father Petition) in Utah as a separate action from the adoption case. On February 26, 2008, the Natural Father filed, in Utah, a Verified Motion to Dismiss Adoption that requested custody and a Motion to Transfer and Consolidate the Birth Father Petition with the adoption case. The district court consolidated the cases, but on April 30, 2008, after hearing oral argument, denied the motion to dismiss the pending adoption. The district court found that the Natural Father had failed to "establish his legal rights in either Colorado, New Mexico or Utah before the birth mother executed her relinquishment" and had not offered any evidence "why he failed to do so or why it was somehow impossible for him to do so." The court also found that the Natural Father failed to file notice with the New Mexico Putative Father Registry as required by New Mexico law. The court treated the Natural Father's motion to dismiss as a request for intervention, which it denied due to lack of standing. In denying *467 the motion to dismiss, the Utah court also rejected the Natural Father's argument that the New Mexico custody order should be given full faith and credit under the United States Constitution. The court concluded that full faith and credit was inappropriate because neither the Adoptive Parents nor Act of Love were named as parties and because it was a temporary, not final, order. It is from the final order denying the motion to dismiss the pending adoption that the Natural Father appeals.
STANDARD OF REVIEW
¶ 7 "Constitutional issues, including questions regarding due process, are questions of law that we review for correctness." Chen v. Stewart,
ANALYSIS
¶ 8 The Natural Father seeks to enforce a parental right to contest the adoption of I.K. Under Utah law, an unmarried biological father must establish his parental rights by strictly complying with certain statutory requirements. See Utah Code Ann. §§ 78B-6-120(1)(f), -121(1) to (5), -122(1) (2008). If he fails to meet these requirements, the statute provides an alternative three-part method for establishing parental rights. First, the unmarried biological father must not have known, and "through the exercise of reasonable diligence could not have known, before the time the mother executed a consent to adoption or relinquishment of the child for adoption, that a qualifying circumstance existed." Id. § 78B-6-122(1)(c)(i)(A). A qualifying circumstance exists when between the time of conception and the date of the mother's consent to adoption or relinquishment of the child for adoption, (1) either the mother or child permanently or temporarily resided in Utah; (2) the baby was born in Utah; or (3) the mother intended to give birth to or place the baby for adoption in Utah or under Utah law. Id. § 78B-6-122(1)(a). Second, the unmarried biological father must, prior to the mother's consent to adoption or relinquishment of the child for adoption, have "fully complied with the requirements to establish parental rights in the child, and to preserve the right to notice of a proceeding in connection with the adoption of the child" of the state where the child was conceived or the last state where the father knew, or through reasonable diligence should have known, that the mother resided. Id. § 78B-6-122(1)(c)(i)(B). Finally, the father must demonstrate a "full commitment to his parental responsibilities." Id. § 78B-6-122(1)(c)(i)(C). If the unmarried biological father fails to "fully and strictly comply" with these requirements, he is "considered to have waived and surrendered any right in relation to the child, including the right to . . . consent, or refuse to consent, to the adoption of the child." Id. § 78B-6-122(2).
¶ 9 In this case, it is undisputed that the Natural Father did not comply with the first set of Utah's statutory requirements. Therefore, he seeks to establish his parental rights through the alternative method. Arguably, under the first prong, the Natural Father did not know of a qualifying circumstance prior to the Birth Mother's relinquishment of the baby for adoption. Neither the Birth Mother nor the baby ever resided even temporarily in Utah, the baby was not born in Utah, and the record reveals no indication that the Birth Mother intended to give birth to the baby in Utah. Although the Birth Mother did place the baby for adoption with a Utah adoption agency, the Natural Father did not become aware of this fact until just before January 23, 2008, more than two months after the Birth Mother relinquished the baby for adoption. For these reasons, the Natural Father asserts he met the first prong. However, we need not decide this issue because we find that he failed to satisfy the second prong. A failure at any stage of this alternative method for establishing parental rights is fatal to the Natural Father's appeal.
¶ 10 Under the second prong, the Natural Father had to comply with the law of New *468 Mexico, where the baby was conceived. New Mexico law allows an unmarried biological father to establish his parental rights by initiating a paternity action. See N.M. Stat. §§ 32A-5-3(F)(4)(a)(1), -17(A)(5) (2008). The Natural Father initiated his paternity action in New Mexico on November 20, 2007, nine days after the Birth Mother relinquished the baby for adoption. This action clearly failed to comply with the Utah deadline. However, the Natural Father argues that applying the Utah deadline is a violation of his due process rights. The question then remains whether he complied with New Mexico law, for if not, he failed to comply with Utah law.
¶ 11 As to the third prong of the test, because we hereafter conclude that the Natural Father failed to satisfy the second prong, we need not consider whether he demonstrated a full commitment to his parental responsibilities. Thus, we turn next to the discussion of whether the Natural Father complied with New Mexico law.
I. THE NATURAL FATHER FAILED TO COMPLY WITH NEW MEXICO LAW
¶ 12 The Natural Father filed his paternity action after the Birth Mother relinquished the baby for adoption and after the Adoptive Parents filed an adoption petition. We first must determine whether this action was timely under New Mexico law applicable at the time the Natural Father filed his action in the courts of New Mexico.
A. The New Mexico Court of Appeals Decision in Helen G. I Was Reversed by the New Mexico Supreme Court and Is Not the Rule of Law
¶ 13 The Natural Father argues that he complied with New Mexico law applicable at the time he filed his paternity action. The New Mexico adoption statute requires consent to adoption from an "acknowledged father," which status may be obtained by filing an action for paternity. N.M. Stat. §§ 32A-5-3(F)(4)(a)(1), -17(A)(5) (2008). Though the statute does not specifically provide a deadline for this action, the New Mexico courts have interpreted it. At the time the Natural Father filed his paternity action, the New Mexico Court of Appeals had recently decided Helen G. v. Mark J.H. (Helen G. I),
¶ 14 When a case is granted certiorari review, it remains unresolved until the higher court takes final action. This is not to say that lower courts do not have the obligation to follow an intermediate appellate decision until it is reviewed. Indeed, "[w]hen the court of appeals renders a decision on an issue, that decision is automatically part of the law of this state, unless and until contravened by this court, the legislature, or the people through the processes authorized for the making of new law." Grand County v. Rogers,
B. The New Mexico Supreme Court Decision in Helen G. II Does Have Retroactive Effect
¶ 15 The decision announced by the New Mexico Supreme Court in Helen G. II reversed the New Mexico Court of Appeals and declared that the time for filing a paternity action in order to establish parental rights is "before the initiation of adoption proceedings."
¶ 16 In the case of Helen G. II, the New Mexico Supreme Court interpreted a provision of an existing statute that it had not previously interpreted.
C. The Natural Father Did Not Meet the Deadline to Qualify Under the "Any Other Factor" Element of the New Mexico Statute
¶ 17 The Natural Father also argues that in the event he did not establish his parental rights by timely filing a paternity action in New Mexico, his actions also qualified him as an acknowledged father under a different statutory provision of New Mexico law.
¶ 18 Under the New Mexico adoption statute, an unmarried biological father may establish parental rights for an adoptee under six months of age at the time of placement by obtaining the status of acknowledged father. In New Mexico, an individual earns this status by satisfying any one of seven requirements, which include filing a paternity action, as previously discussed, or through "any other factor the court deems necessary to establish a custodial, personal or financial relationship with the adoptee." N.M. Stat. § 32A-5-3(F)(4)(a)(1), (7) (2008).
¶ 19 The Natural Father claims to have satisfied this "any other factor" requirement. He argues that because, once he learned of the child's birth, he took reasonable steps to become an acknowledged father by filing a paternity action, and he offered support for the child to the Birth Mother, his actions constitute factors that established the required relationship. However, as the Adoptive Parties assert, this requirement is also subject to the deadline announced in Helen G. II. Indeed, the New Mexico Supreme Court stated that "a biological father [may] take any other action prior to the filing of the adoption petition that the court `deems necessary to establish a custodial, personal or financial relationship with the adoptee.'" Helen G. II,
¶ 20 The Natural Father both filed his paternity action and offered financial support after the Adoptive Parents filed their petition for adoption. Accordingly, he did not timely comply with New Mexico law and thus failed to meet the requirements of Utah law.
II. THE NATURAL FATHER'S FAILURE TO COMPLY WITH NEW MEXICO LAW RENDERS HIS DUE PROCESS ARGUMENT MOOT
¶ 21 The Natural Father has failed to establish his parental rights under either New Mexico or Utah law. As a consequence, no due process rights accrue to him with regard to the adoption proceeding. As previously explained, the Utah Adoption Act requires an unmarried biological father without knowledge of a Utah adoption to comply with another state's requirements for establishing parental rights "before the mother execute[s] a consent to adoption or relinquishment of the child for adoption." Utah Code Ann. § 78B-6-122(1)(c)(i)(B) (2008).
¶ 22 We have previously held this deadline in the Utah adoption statute to be facially valid. See, e.g., In re Adoption of Baby Boy Doe,
¶ 23 Thus, under the impossibility exception articulated in Baby Boy Doe and similar cases, the Natural Father argues that applying this statutory deadline is a violation of his due process rights. If we were to reach this issue, the Adoptive Parties argue that amendments to the statute have eliminated the common law impossibility exception. Indeed, when Ellis and Baby Boy Doe were decided, the statute did not contain a provision allowing an unmarried biological father to establish his parental rights in another state. Baby Boy Doe,
¶ 24 While we note that this case would likely not present a due process violation as applied because the Natural Father had sufficient opportunity to protect his parental rights, the fact remains that he failed to comply with New Mexico law. Without establishing his parental rights in Utah or another state, the Natural Father effectively lost those rights and any due process rights associated with them.
III. FAILURE TO ESTABLISH PARENTAL RIGHTS DEPRIVED THE NATURAL FATHER OF STANDING TO INTERVENE IN THE ADOPTION PROCEEDING
¶ 25 Finally, the Natural Father argues that the district court erred in holding that he lacked standing to intervene in the adoption proceeding because the New Mexico district court order determining his paternity and right to custody was sufficient to give him an interest in the proceeding, regardless of Utah's determination of his parental rights. The Natural Father's standing claims arise under the Utah Rules of Civil Procedure and Utah case law. We will discuss both grounds.
A. Utah Rule of Civil Procedure 24 Does Not Provide the Natural Father with Standing to Intervene
¶ 26 The Natural Father first claims standing under Utah Rule of Civil Procedure 24, which grants a timely application for intervention "when the applicant claims an interest relating to the property or transaction which is the subject of the action and he is so situated that the disposition of the action may as a practical matter impair or impede his ability to protect that interest." Utah R. Civ. P. 24(a)(2). According to the rule, the party must have an interest in the proceeding. In the case of an adoption, that interest would amount to parental rights in the child. As previously discussed, the Natural Father failed to timely establish his parental rights under either Utah or New Mexico law. Therefore, without parental rights, he has no interest in the proceeding that would endow him with standing to intervene under rule 24.[5]
*472 B. Utah Common Law Does Not Provide the Natural Father with Standing to Intervene
¶ 27 The Natural Father next argues that under Utah case law, his New Mexico paternity order was sufficient to vest in him a protectable interest, regardless of whether Utah had determined his parental rights. For this argument, he relies on a Utah Court of Appeals case, In re Adoption of K.C.J.,
[T]he presence or absence of parental rights does not determine whether a person has standing to intervene in an adoption proceeding. Rather, what is required is a person's direct interest in the subject matter of the litigation such that [his or her] rights may be affected, for good or for ill, and this interest may arise from the intervenor's status or circumstances.
¶ 28 In the instant case, the Utah district court afforded the Natural Father the opportunity to argue the effect of his New Mexico paternity order; he argued the validity of the order under the Full Faith and Credit Clause in his briefing before the district court. Although the court later rejected his arguments, refusing to enforce the paternity order, the Natural Father was afforded the due process required under K.C.J.
¶ 29 In addition, in K.C.J. the court granted standing based on a valid Oklahoma paternity order. Id. ¶ 18. Here, the Natural Father does not have a valid paternity order from another state that vests him with an interest sufficient for standing. As explained above, because the Natural Father failed to file his paternity action within the time required by New Mexico law, he did not establish his status as an acknowledged father, and the later paternity order was of no force or effect. As a result, he gained no legal rights in New Mexico and the district court correctly found that he did not have standing to intervene in the adoption proceeding.
CONCLUSION
¶ 30 The Natural Father filed his paternity action in New Mexico after the Utah adoption proceedings had begun. While the New Mexico statute grants acknowledged father status upon the filing of a paternity action, filing must occur before the initiation of an adoption proceeding. The New Mexico Court of Appeals decision in Helen G. I allowing for filing during the pendency of an adoption proceeding does not constitute binding law because it was reversed on certiorari review. The New Mexico Supreme Court's reversal of the case, requiring filing prior to the initiation of an adoption proceeding, was binding because as a first-impression statutory interpretation, it did not announce a new rule of law and therefore had retroactive effect. Accordingly, the Natural Father failed to comply with New Mexico law, and it was not error for the district court to deny *473 his motion to dismiss the adoption. Because the Natural Father failed to establish his parental rights in New Mexico, he also failed to accrue the concomitant due process rights with regard to application of the Utah deadline for establishing his parental rights. Finally, the district court did not err by finding that the Natural Father lacked standing to intervene because his New Mexico paternity order was invalid and of no force or effect and therefore did not grant him a protectable interest in the adoption proceeding.
¶ 31 Affirmed.
¶ 32 Chief Justice DURHAM, Associate Chief Justice DURRANT, Justice PARRISH and Justice NEHRING concur in Justice WILKINS' opinion.
NOTES
Notes
[1] Formerly Utah Code section 78-30-4.14, this statute and the entire Adoption Act were renumbered in February 2008. Because none of the relevant language was changed, we cite to the current version throughout this opinion.
[2] The Natural Father claims that he could not file with the Putative Father Registry until he had obtained a paternity test, which he has been unable to obtain without access to I.K.
[3] The trial court found, and the Natural Father does not challenge the fact, that he failed to establish his parental rights under the law of any other state.
[4] Utah Code section 78-30-4(3) was the 1983 predecessor to the current section 78B-6-121(3). Section 78-30-4(3) required a man claiming paternity to protect his parental rights "by registering with the registrar of vital statistics in the department of health . . . prior to the date the illegitimate child is relinquished or placed with an agency licensed to provide adoption services or prior to the filing of a petition by a person with whom the mother has placed the child for adoption." Id. § 78-30-4(3)(a), (b) (Supp.1983).
[5] The Natural Father asks us to give full faith and credit to the New Mexico district court order determining his paternity and granting him temporary custody of I.K. However, this argument is not at issue. The February 8, 2008 paternity order was of no force and effect because he had not established his initial right to make the determination. Because he missed the deadline required by New Mexico law to qualify as an acknowledged father, the district court in New Mexico was unable to grant him any rights. Thus, in the event we did give full faith and credit to the February 8 order, which determination we do not make today, we could give no more credit to the order than New Mexico would give. As the order would be of no force or effect in New Mexico, we need not grant it any greater status.
