In Re Santos Y.
INTRODUCTION
The trial court, feeling compelled by the Indian Child Welfare Act, ordered the Minor in this dependency case removed from the home of the only parents the Minor knows, and transferred to a home on a Chippewa Indian reservation in Minnesota. We apply the “existing Indian family doctrine” to reverse the trial court‘s placement order.
SUMMARY
In a hearing under
The Minor is a two-and-one-half-year-old, multi-ethnic boy born prematurely November 25, 1998, in Los Angeles. He has lived in foster care since birth, and with Appellants since he was three months old. Appellants presently remain his caretakers, and were granted de facto parent status. The Minor regards Appellants as his parents, and the permanent plan for the Minor, issued prior to the order considered here, was that Appellants would adopt him should his parents fail to reunify.
The Minor was detained by respondent Los Angeles County, through its Department of Children and Family Services (hereinafter, the Department), immediately after his birth, due to a toxicology screen positive for cocaine. A dependency petition was sustained on January 13,1999, based on the toxicology screen, as well as a finding that the natural parents’ home was uninhabitable, littered with trash and debris, vermin-infested, and foul smelling.
The Minor‘s mother is Kathleen B. (the Mother). The Minor‘s declared father is Noah B. (the Father, also known as Noah Y.)2 The Mother has been separated for four years from her husband, who lives in Los Angeles. She has had an intimate relationship with Noah B. for the past three years.
Each biological parent of the Minor has some Native-American heritage, and both
The Tribe is a federally recognized Indian tribe for purposes of the ICWA,3 with headquarters is at Cass Lake in North Central Minnesota. The Tribe has component reservations, and it consists of Chippewa Indians of the White Earth, Leech Lake, Fond du Lac, Bois Forte, and Grand Portage Reservations, and the Nonremoval Mille Lac Band of Chippewa Indians. (The Revised Constitution and ByLaws of the Minnesota Chippewa Tribe, Minnesota, Preamble) (Minnesota Chippewa Constitution).4 The governing bodies of the Minnesota Chippewa Tribe are the Tribal Executive Committee and the six Reservation Business Committees. (Minnesota Chippewa Constitution, Article III.) The Grand Portage Band Reservation (the Reservation) is located at the extreme northeastern corner of Minnesota, near that state‘s juncture with Michigan and the Canadian province of Ontario, and is home to 400 to 500 people.
The court based its determination that the ICWA applied to the Minor on a June 3, 1999, letter from the Tribe to the Mother, stating that: the Mother was of one-half Chippewa descent; she was enrolled in the Grand Portage Band; her father and grandparents had been enrolled members of the Tribe; the “Minor was eligible” under the ICWA; the Tribe would forward her letter to the Band; and the Mother should inform the Department that all notices regarding the Minor should be sent to the Tribe, to the attention of the Tribe‘s Director of Human Services in Cass Lake, Minnesota.
The Tribe had been served notice of the case on Dеcember 17, 1998, within three weeks of the Department‘s having filed its initial dependency petition, and the Tribe was served regularly thereafter; it made no appearance up to and including the time that reunification services to the parents were terminated on September 21, 1999. At the September 21, 1999 hearing at which the court ordered services to the parents terminated, the court ordered the Department to contact the Tribe and to engage it in attempting to find an adoptive placement for the Minor. In December 1999, after the Tribe had located the Mother‘s first cousin, who had decided that it would be in the Minor‘s best interest that he be adopted by Appellants, the Tribe notified the Department that it did
On March 3, 2000, contrary to the Tribe‘s representations, the Band petitioned in intervention, and on May 30, 2000, it asserted that the ICWA required that the Minor be placed for adoption with a Band member on the Reservation. ICWA placement preferences (
Based on its finding that the ICWA applied to the Minor, the trial court assumed that the ICWA dictated the Minor‘s placement. On May 31, 2000, the Chairman of the Grand Portage Reservation Tribal Council wrote to the court, advising that the Band had located a member interested in adopting the Minor. The court held a hearing on September 29, 2000 and October 2-3, 2000, more than 18 months after the Minor had been placed with Appellants, during which it received expert and lay testimony concerning the existence of good cause to deviate from ICWA placement preferences with respect to the Minor‘s adoptive placement. Appellants and the Minor separately opposed the Band‘s proposal that the Minor be removed from Appellants and placed on the Reservation. Based on a finding that the Minor did not possess extraordinary physical or emotional needs, the court declined to find good cause to depart from ICWA placement preferences, ordered the Minor removed from his home with Appellants, and ordered him placed with a prospective adoptive mother on the Reservаtion. Appellants appealed. We issued and dissolved a stay, granted a petition for supersedeas, and appointed counsel for the Minor. Counsel for the Minor filed a respondent‘s brief in favor of reversing the order of the juvenile court.
We issued a published opinion on July 20, 2001, reversing the trial court‘s opinion on two grounds: (1) unconstitutionality of the ICWA as applied, under the existing Indian Family Doctrine; and (2) waiver of assertion of ICWA placement preferences. On August 6, 2001, the Band filed a petition for rehearing that did not address our disposition, a reversal of the trial court ruling ordering the Minor placed on the Reservation, but requested instead, further reconsideration of the Band‘s relationship to the Tribe; the Band requested either rehearing on the issue of the Band‘s independent entitlement to notice of the dependency proceedings or, in the alternative, deletion of all references in the opinion concerning the Band‘s separate status as an Indian tribe, waiver, and entitlement to notice under ICWA. Although no competent evidence in the trial court proved that the Band was entitled to notice separate from that provided the Tribe, documents filed in support of the Band‘s petition for rehearing created sufficient ambiguity that we deemed it in the interest of justice to grant rehearing and reconsider the case, notwithstanding our view that application of the doctrine of ostensible agency would compel the conclusion that assertion of ICWA placement preferences had been waived.
After reconsideration, we again reverse the trial court‘s placement order, finding application of the ICWA to the Minor to be unconstitutional under the Fifth, Tenth, and Fourteen Amendments to the United States Constitution.
FACTUAL and PROCEDURAL BACKGROUND
1. Detention Hearing (December 2, 1998)
The Minor was born prematurely on November 25, 1998, and removed from his parents’ care due to a positive toxicology
The juvenile court immediately queried the parents concerning tribal associations. The Mother informed the court that she was enrolled in the Tribe. The Father stated that he was of Navajo descent through a grandmother. On December 17, 1998, the Department served, by certified mail, a “Notice of Involuntary Child Custody Proceedings Involving Indian Child” to the Navajo Tribe of Arizona/New Mexico at Window Rock, Arizona, and to the “Minnesota Chippewa Tribe” at Cass Lake, Minnesota. For the February 5, 1999 hearing, the Department sent a similarly addressed notice by certified mail to the tribes.
2. Jurisdictional Hearing (January 13,1999)
An amended dependency petition was filed January 13, 1999, adding uninhabitable home allegations to the allegations in the initial petition. The home was described as unsanitary, littered with trash and debris, foul smelling, and overrun with mice and rats. The allegations of the petition, as amended, were sustained, and the court entered jurisdictional orders. A dispositional hearing was set for February 5, 1999.
According to the Department‘s report to the court, the Father had related that he was not registered with the Navajo tribe and did not participate in any tribal customs. The Mother informed the Department that she was a member of the Tribe, but that she had lost any documents connecting her with the Tribe when her mother had died (17 years before).
3. Dispositional Hearing (February 5, 1999)
At the February 5, 1999 dispositional hearing, the juvenile court maintained foster care placement, reunification services, and allowed the parents twice-weekly monitored visits. The court set a non-appearance progress report hearing for May 17, 1999, and calendared a “Permanent Plan Hearing” for August 6,1999.
The Department reported that the Tribe had notified it by letter on February 2, 1999, that it had no record that either the Mother or the Minor was enrolled. On April 5, 1999, because “Neither the Chippewa Tribe nor the Navajo Nation could find any record of Santos’ parents being registered as ... tribe members,” the Department‘s ICWA Program “closed [it‘s] file on this case....” Nonetheless, notice was thereafter given to both the Chippewa and Navajo Tribes concerning scheduled hearings.
The Department reported that the Minor had been placed with Appellants on March 27, 1999, and that the concurrent plan for the Minor, as of Aрril 15, 1999, was that Appellants would adopt him if his parents were unable to reunify. On April 15, 1999, the Department first discussed adoption with appellant Lucila C, and she had confirmed that she and her husband, Arturo, wanted to adopt the Minor.
4. Six-Month Review Hearing (May 17,1999)
In its report for the May 17,1999 review hearing, the Department related the parents’
The Department informed the court that it was improbable that the Minor could be returned to his parents’ home by the August 6, 1999 permanent plan hearing date, and that it was likely that the Minor could be placed in permanent planning for adoption by Appellants by the August 1999 date. The Department related: “The minor appears to have a special bond with his foster family. The minor is a happy and healthy child. The minor is always smiling and appears to enjoy the foster mother‘s love and attention. The foster parents have fallen in love with the minor and want to adopt the minor if family reunification with the parents is not successful.”
The Department‘s report informed the court that on February 2, 1999, the Tribe had sent a letter to the Department stating that the Minor was not enrolled in the Tribe, but that “[t]he issues of the Indian Child Welfare Act status in this case remain unknown as the Minnesota Chippewa Tribe has yet to respond to request for further information and up date as to eligibility of the minor and or family to fall under that definition.”
At the May 17, 1999 six-month review hearing, the previous orders for suitable placement and reunification services were continued. The Department informed the court that although the Navajo tribe had sent a letter confirming “no heritage,” the Minnesota Chippewa Tribe had not responded to the Department‘s request for clarification regarding the Minor‘s eligibility for membership. The court stated that the Tribe needed to either say yes or no, and ordered that the parents and the Tribe be given notice for the August 6, 1999 continued six-month review hearing. On July 15, 1999, notice of the August 6, 1999 hearing was sent to the Tribe. It was sent again on July 26, 1999.
5. Six-Month Review Hearing (August 6,1999)
On August 3, 1999, the Department‘s children‘s social worker (CSW) received a copy of a letter from the Tribe, asserting that the ICWA applied tо the Minor. The letter, dated June 3, 1999, was addressed to the Mother, and was mailed by her to the Department on July 27, 1999, seven weeks after it was written. The letter stated that the Mother‘s father and grandparents were enrolled in the Tribe, that the Mother was half-degree Chippewa, that the Minor was “eligible for ICWA,” and that the Tribe would forward her letter to the Grand Portage Band, where she was enrolled. The Tribe‘s letter to the Mother, written on the letterhead of the Minnesota Chippewa Tribe at Cass lake, Minnesota, advised her to inform the Department that it was required to send all notices regarding the Minor to “our tribe.” The letter, signed by Adrienne Adkins, Director, the Minnesota Chippewa Tribe, Human Services Division, advised, “I will wait to hear from you and L.A. County.” The signator was the same person to whom the Department had sent its initial notice, and the address of the Tribe was that employed by the Department in its notices to the Tribe.5 On August 4, 1999, the Department faxed to the Tribe a
On August 6, 1999, at the hearing at which the Department had indicated that the Minor could be placed in permanent planning for adoption by Appellants, the Mother‘s attorney told the court that he had a letter from the Tribe stating that the Minor was eligible for enrollment.6 The court then continued the six-month review hearing from August 6, 1999, to September 21, 1999, for a supplemental report and for a hearing contested by the Mother. Based upon the letter from the Tribe, the court found that the ICWA applied to the Minor, and ordered the Department to find a Native-American home for the Minor, if possible. The Tribe did not appear.
6. Six-Month Review Hearing (September 21,1999)
The Department‘s report for the September 21, 1999 hearing informed the court that the parents remained noncompliant with court-ordered treatment, that they had not visited the Minor in the past five months, and that the Department recommended that the matter be set for a hearing under section 366.26 to terminate parental rights and to select and implement a permanent plan of adoption for the Minor. The Department‘s CSW reported that she had been informed by the Indian Child Welfare Services agency that no “Indian homes”7 were available as of August 10, 1999, and that the agency promised to notify the Department if a vacancy arose.
The Department‘s report stated that on August 17, 1999, the CSW spoke with аppellant Lucila G., informing her that the Minor was “being registered in the Chippewa Tribe” and “that the court had ordered for the Minor to be placed in a Native American home.” The CSW reported that the “foster mother wept and held Minor Santos very tight[ly] and repeatedly told the Minor how much she loved him.... CSW informed foster mother that there was [sic] no Native American[ ] homes available at the moment so for the present time Minor Santos would remain under her care.... Foster mother states that if the parents fail to reunify with [the Minor, Appellants] are interested in adopting the Minor and teaching the Minor about his Indian heritage as he grows.”
The Department‘s report included a, letter dated August 17, 1999, from Lisa A. Carruthers, M.S., of “Rosemary Children‘s Services.”8 The letter stated that Appellants wished to adopt the Minor, that the Minor at nine months of age was “very attached” to Appellants, that Appellants had provided the Minor “a very loving and nurturing home” and would continue to provide “a warm and loving upbringing.” The letter said that Appellants “are aware of [the Minor‘s] Native American descent, and are amenable to teaching Santos about his heritage as he grows older.” The letter also related that the Minor “may have a very difficult adjustment if he is moved to another home and such a move could prove to be adverse to his emotional wellbeing.”
The juvenile court found that return of the nine-month-old Minor to the custody of his parents would create a substantial risk of detriment to him and that reasonable reunification efforts had been provided to the parents, but that those efforts had been unsuccessful. The court found that no substantial probability existed that the Minor would be returned to the parents within six months, terminated reunification services, and scheduled a section 366.26 permanent plan hearing for January 18, 2000. The court directed the CSW to notify the Tribe that the Minor was not in an appropriate ICWA foster home, stating that the Tribe needed “to get involved right now ... so that the native tribe of the child can find an adoptive home.”
7. The Hearings for Permanency Planning
a. January 18, 2000 Hearing
For the January 18, 2000, section 366.26 permanent plan hearing, the Department recommended termination of parental rights and a permanent plan of adoption by Appellants. The Department advised that removal of the Minor from Appellants would be seriously detrimental to the Minor‘s emotional well-being because of his substantial psychological ties to Appellants, and recommended that the court find that the Minor‘s present placement was necessary and appropriate.
The Department‘s report for the hearing stated that the Minor had adjusted well in Appellants’ home, and described the Minor “as a normal, happy, well functioning child at his current foster home. Minor appears to be very bonded with his foster parents. CSW has observed the foster parents and the Minor to be emotionally bonded with each other. This is evident by the way the Minor hugs the foster parents freely. The foster parents Arturo and Lucila have provided Minor Santos with a nurturing environment that has enabled Minor to develop appropriately for his age.” The Department‘s report also explained that Appellants were anxious to adopt the Minor.
The Department described Appellants as a married couple who had been together for 24 years. The report related that Arturo G. was 50 years old and employed; Lucila G. was 43 years old, and a homemaker. According to the Department, Appellants successfully raised three children of their own to adulthood, and have grandchildren. The Department‘s report for the permanency plan hearing stated that Appellants “appear to be very capable parents” and that they “have provided their natural children with a loving and nurturing home environment.”
The Department‘s report recommended that the natural parents not have future visits with the Minor because they had not visited regularly, and had not built a relationship with him. The report related that Minor had become upset and cried when the parents had visited for the first time in five months.
The Department‘s report advised the court that following the court‘s instruction to it to contact the Tribe to involve it in finding an adoptive home for the Minor, a series of telephone contacts between the Department‘s CSW and the tribal social worker (TSW) for the Grand Portage Band had taken place. The Department reported that in a November 9, 1999 telephone conversation, the TSW related that she had discussed the Minor‘s case with her supervisor who, she reported, would be setting up a meeting with Grand Portage Reservation Tribal Council members to determine
The Tribe did not appear at the hearing. The court found that the Tribe had received notice of the hearing, and related that: “The Tribe‘s information is they do not intend to intervene or transfer. They intend the child to remain exactly where he is.” The Mother requested that the matter be set for further hearing, and indicated that she would raise not only issues related to her relationship with the Minor, but also related to the Tribe, such as late notice to it.
The court queried the Department‘s CSW regarding whether she had any information concerning the Tribe, and the
CSW responded: “I spoke with the Tribe this morning, with the supervisor, JoAnne Lhotha, L-H-O-T-H-A. She instructed me that it‘s the Tribe‘s position that they‘re in agreement with the child to remain where placed, that the resource they thought they had, the first cousin is not a good resource, that they don‘t have any financial funds for this child or anything like that. So they‘re in agreement the child should remain where placed.”
Because proper notice had not been given to the Father, a continuance of the hearing wаs necessary. The court ordered the Department to “obtain [an] expert letter from the Tribe” and to serve the Father, the Mother, and the Tribe with notice for the next hearing. The court continued the hearing to March 3, 2000. Notice for the March 3, 2000 hearing was sent to the Tribe.
b. March 3, 2000
On March 3, 2000, the day of the continued permanent plan hearing, the Band filed a petition to intervene and a motion to continue the hearing for 60 days to allow its counsel to review and investigate the case. The Band‘s moving papers asserted that it had only “recently approved the associating of local counsel to petition to intervene in this matter,” and also claimed that it had “received delayed notice of this matter [from the Tribe] and only recently received complete information regarding the Indian mother‘s circumstances.” The Band alleged that the first notice it had of the Minor‘s case was the notice the Department had served on the Tribe on July 26, 1999, and that service on Tribe had delayed its actual notice. Notice was further delayed, the Band alleged, because the Tribe had to trace enrollment records to determine which of its bands
The court granted the motion to intervene, notwithstanding the fact that it was “very late,” continued the matter to April 27, 2000, and ordered the Department to provide the Band with copies of the case reports.
c. April 27, 2000
On April 27, 2000, the day of the continued section 366.26 permanent plan hearing, the Mother filed a petition pursuant to section 388 to modify the court‘s previous orders, asking the court to return the Minor to her custody or reinstitute reunification services for six months. The Mother failed to appear at the hearing, having called her attorney earlier in the day to report a medical emergency. By this date, the Mother was living in Oregon, and the Minor was one year old.
The Band‘s attorney told the court that the Band‘s position was the Mother should “get a second chance based on the changed circumstances.” In response to queries by the court, the Department related “that the Tribe has not been able to locate a home for the child.” The court appointed Dixie Noble, Ph.D., to examine and evaluate the Minor and Appellants concerning future placement and to talk to the attorneys for the Band. Noble, a Native American, was appointed as an “Indian expert for an Indian child.” Noble was to address: “[w]hether or not we can remove this child, after this amount of time, from his current home to a tribal member who‘s available for adoption; what kind of trauma; and if so, then what? Is she looking at a possible transition? Is she looking at the Tribe changing its position and approving the current foster home after they get to know them?”
The court continued the matter to June 1, 2000, for a contested hearing.
d. June 1,2000
In its report for the continued contested section 366.26 permanent plan hearing, the Department recommended that the court order the Minor to remain a dependent of the court, and that he be referred for adoption services. It also recommended that the court find that Appellants were willing and capable of providing a stable and permanent environment for the Minor, and that “removal [of the minor from Appellants] would be seriously detrimental to the emotional well-being of [the Minor] because [he] has substantial psychological ties to [Appellants].” The Department advised that further visitation between the Mother and the Minor would not be detrimental to the Minor.
The Chairman of the Grand Portage Reservation Tribal Council sent a letter to the court, dated May 31, 2000, stating: “The Band will support continued efforts to reunify the mother with the child if the mother can present adequate evidence at the June 1, 2000, ... section 388 hearing of a positive change of circumstance.... [¶] However, if the mother fails to present adequate evidence of changed circumstances, then the Band would support termination [sic] of reunification services and adoptive placement in a Band member home or Indian home. Further, the Band has now located a Band member interested in adopting this child. The Band member home is approved by the Band as an Indian foster home and [is] currently licensed by the Band for short-term and long-term foster care. The Band believes that if reunification services fail, that adoption by this Band member is in the child‘s best interest.”
e. July 26, 2000
On July 26, 2000, the section 366.26 permanent plan hearing, which had been continued from January 18, 2000, to March 3, 2000, to April 27, 2000, to June 1, 2000, was again on calendar.
The court had before it a letter from the Band, reporting that it had a new possible placement for the Minor. Also on calendar was Appellants’ motion for de facto parent status.
In their motion for de facto parent status, Appellants described how, when initially placed with them, the Minor had been fragile and sickly, often requiring medical attention. They related that he had had long periods of crying and difficulty breathing, and had suffered from diarrhea, sleep disturbances, and persistent coughing. They described how they had taught the Minor to walk and talk and how he had become part of their family. They declared: “We consider this child to be our child and he considers us his parents. We love Santos. Our commitment to this child is total. We want to adopt Santos and finish raising him, providing him a warm, stable and permanent home.”
The trial court granted Appellants’ motion for de facto parent status.
The record indicated that Dixie Noble, Ph.D., had not yet commenced the interviews that she had been appointed on April 27, 2000, to conduct. In regard to the evaluation, counsel for Appellants informed the court: “[I]t is my clients’ deepest wish to maintain contact with the Tribe, and they are willing to travel to Minnesota to take the child there, and they wish to participate fully.... They recognize the value of the culture and seek only to reinforce it.”
The court continued the section 366.26 permanent plan hearing to August 31, 2000, in order to allow Noble an additional four weeks in which to conduct interviews and write her report.
f. August 31, 2000
On August 28, 2000, the Chairman of the Grand Portage Reservation Tribal Council wrote the court, advocating placement of the Minor with Jacki K., “an extended family member and Band member and resident of the Grand Portage Reservation,” and recommending the Minor‘s eventual adoption by Jacki K., should the Mother‘s parental rights should be terminated. The chairman‘s letter stated that the Minor‘s adoption by a Band family would give him the “added benefit” of helping “develop his tribal identity.” The letter enclosed an August 23, 2000 report and a home study by the TSW.
The TSW report asserted that Jacki K. was a relative of the Mother,10 and related that the TSW and the Band‘s “Mental Health consultant, Dr. Mary Sa,” visited the Minor and Appellants in Los Angeles during August 2000.11 The report stated
The home study of Jacki K. began: “I have known Jacki for the past four years. Jacki is an enrolled member of the Grand Portage Band of Lake Superior [sic] Chippewa Indians.” The study portrayed the proposed adoptive mother, Jacki K., as someone who considered herself “a good person,” and it described Jacki K. as “a single woman of twenty eight years old” who “lives alone in this new trailer that she has placed on her leased land on the Reservation.” The report related that Jacki K.‘s 18-year-old brother and her father lived in Grand Portage.
The home study stated that Jacki K. worked full time as the reservation‘s director of education, having been promoted to that position from the reservation‘s accounting department. It related that her office was located opposite the Community Center, which has a day care center for which the Minor would be eligible. The study stated that on May 9, 2000, the TSW called Jacki K. into her office and asked her to “think about” adopting the Minor, whom the TSW described as a toddler born positive for cocaine, who had been placed in foster care at about age three months, appeared to be doing very well, and was eligible for tribal enrollment. On May 10, 2000, the following day, Jacki K. told the TSW that she had spent the evening thinking about the Minor and talking on the telephone with her mother, and that she had decided that she would like to adopt if things did not work out with the Minor‘s biological mother. On June 2, 2000, when the TSW telephoned Jacki K. to ask if she were still interested in adopting the Minor, Jacki K. responded affirmatively, and told the TSW that she had received information leading her to believe she was related to the child as a third cousin to the Mother.
On August 30, 2000, the day before the scheduled continued section 366.26 permanent plan hearing, the Mother filed a second section 388 petition, seeking to modify the court‘s orders. Again, the Mother sought an order for return of the Minor to her custody or, in the alternative, reinstatement of the reunification services for six months. The petition alleged: “Although late, the mother has done everything requested. She has been clean and sober for some time an[d] has done everything as reflected in the attached declarations ....” The attachments indicated that the Mother had completed an outpatient drug and alcohol treatment program on May 26, 2000, and was regularly attending Alcoholic Anonymous and Narcotics Anonymous meetings.
The court denied the Mother‘s section 388 petition—in part because the Mother continued to reside in Oregon and Oregon authorities refused to approve her home.12
g. September 1, 2000
The trial court received the report of Dixie Noble, Ph.D., the psychologist the court had appointed on April 27, 2000, four months earlier. Noble‘s report recommended that the Minor “be placed in Kinship care with Jacki K. at the Tribal land in Grand Portage Minnesota.” Noble grounded this recommendation on the following: “Jacki has been carefully evaluated by Tribal authorities and has been found to be an excellent potential adoptive mother for Santos. In her care, Santos will also have the advantage of a culturally endowed environment, a true belonging, and a concerned and loving extended family. This will far outweigh any emotional traumata [sic] he may experience while making the adjustment.” Her report also claimed that “Santos is not now emotionally fragile. He would not be catastrophically damaged by such a shift in homes. No doubt he will experience some emotional discomfort over time. It most likely will not be severe and enduring, thanks to the firm foundation of bonding with the birth mother during pregnancy and 9 days post birth and the 18 months of excellent care provided by the Foster parents.” (Italics added.)
Noble‘s report described the Minor as “a cute, olive skinned, dark-eyed, 21-month-old Chippawa [sic] boy who was well groomed and casually dressed for play.... Santos appeared to understand both Spanish and English. However, Spanish is the language that he has begun to try and speak. [¶] Santos was spirited, but not frenetic. ... In ... his play, Santos[‘] intelligence, grasp of physical situations and emotional cues from others, his common sense, all appeared to be well within normal limits if not slightly high.”
Noble described Lucila G. as “a very pleasant, kind woman, not quite middle-aged woman who appeared to be in excellent physical health. She was slightly short by Caucasian standards but well within the normal limits for her background and ethnicity.... She was fully cooperative and gracious throughout the evaluation process. At the same time, she did not become so involved with others that she was not mindful of the children. [¶] Although no psychological testing was done, Lucille [sic] appeared to be intelligent, thoughtful without undue tension or anxiety.... [¶] It was clear that she has provided a warm and nurturing environment for Santos to thrive and grow with ease. She was not overly clinging and attentive with him but responded to his needs in a natural unhurried manner. Her mothering and nurturing skills are entirely appropriate and successful. All the children approach her without fear, yet with respect.... [¶] Although her spoken English is limited, she understands very well and can communicate effectively in the English that she does speak. Lucille [sic] is deeply attached to Santos and has fully invested herself in his care. Having made such a selfless personal investment, it is clear to see that she would feel his absence with emotional pain and loss. At the same time, as she has stated to the tribal social workers, if it is best for Santos to leave them, she would facilitate the transition in order to make it as easy as possible for Santos.”
Noble interviewed Jan Gullet, the Grand Portage TSW, and the tribal mental health consultant, Mary Sa. She also spoke with the Band‘s local attorney and interviewed the Mother. She did not interview Jacki K. But she states in her report: “Jacki has been carefully investigated by background checks and home studies. She is well known in the Tribal community for her good work with children and her fine character since her own childhood. Jacki is a distant relative of Kathleen; therefore, she is a blood relative to Santos. As an Indian person, a Tribal member, a relative of the biological mother and a well-trained, experienced child guidance provider, Jacki is a highly qualified prospective adoptive mother for Santos and is in exact keeping with the requirements of ICWA.”
Noble‘s report showed that she spent the largest proportion of her time with Jan Gullet, Mary Sa, and the Mother. In the course of her evaluation, Noble did not meet with Appellants individually, as she had with the Mother and the Band‘s representatives, with whom she met for one and two hours respectively. Noble wrote in passing in her evaluation that she did not know whether Appellants “have ever had an infant of their own.”
In her evaluation of this case, Noble discussed the terms “bonding” and “attachment” at some length, associating “bonding” with the prenatal period, birth, and the first few days after birth. “If the [prenatal and immediate post-natal] bonding is successful,” she states, “then the infant can begin to form `attachments’ to others.” With respect to foster care, Noble stated that “[i]f bonding has not occurred, then subsequent `attachments’ would not be possible.” She then concluded: “Attachments can be lost and rebuilt. Bonding cannot. It is much better for the сhild if as little change as possible can be provided for at least the first year of life.... A two-year-old still requires careful transitions and avoidance of frequent disruptions of caregivers. After the age of three or four years, the risk of emotional harm is less provided the child is well adjusted.”
With regard to adoption, Noble admitted that “[a]doption is not risk-free. It has become increasingly clear that adoptees do not `forget’ about their birth parents.” Noble claimed that “`Kinship’ adoptions are more successful than non-relative adoptions ... `open’ adoptions are more successful.... [¶] The rate of adolescent suicide has increased alarmingly.... The highest rate of adolescent suicide is among Native American children ... [and] is high on the reservations. It is high in urban families. It is highest when non-Indian families adopt Indian children.” Noble concludes that “Santos is NOT BONDED
Because Noble‘s report had not been provided to the parties prior to the day of the hearing, the court continued the matter to September 28, 2000, for a contested section 366.26 hearing.
h. September 28-October 3, 2000
The section 366.26 hearing, originally scheduled for January 18, 2000, took place as rescheduled on September 28, 2000. Jacki K., the prospective adoptive mother for the Minor, was called. She testified that she had never seen the Minor before September 2000, and that she had seen him twice, once for an hour, and the second time for other for an hour and a half. She related that she first had learned of the Minor‘s existence from the tribal council in May 2000, and she described the reservation and her life there.
Mary Sa, a “prelicensed” psychologist and a provider of mental health services for the Grand Portage Reservation, testified briefly concerning her observations of Jacki K.‘s second visit with the Minor, and related that she was available to provide mental health services, such as play therapy, to the Minor and Jacki K.
Dixie Noble, Ph.D., testified that she had conducted an evaluation of the Minor and Appellants. She had observed the Minor on three occasions in order to formulate her opinions: (1) on August 2, 2000, for a half-hour or 40 minutes, at the Rosemary Day Care Center, in the presence of the Mother and Lucila G., other foster children, and agency staff; (2) on August 13, 2000, for more than an hour, at Appellants’ home, where the Minor, other foster children, Appellants, Ms. Sa, Ms. Gullet, and two or three representatives of the Department were present; and (3) briefly in the court waiting room on August 31, 2000. In toto, Noble had spent approximately 10 minutes alone with the Minor, in an encounter during the August 13, 2000 visit.
Noble did not interview Lucila G. or Arturo G. at any time.
Noble does not speak Spanish, and the court had directed her to avail herself of the services of a Spanish-speaking social worker or someone from the interpreters’ office for interviews of Appellants in the course of her evaluation. Noble, however, had no interpreter or Spanish-speaking social worker with her during the August 2, 2000 “conjoint visit at Rosemary Child Services,” one of the two meetings with Lucila G. upon which Noble based her evaluation. During Noble‘s second and final meeting with Lucila G., the August 13, 2000 visit to Appellants’ home, Ms. Sa and a social worker were available to translate. Notwithstanding the availability of translators, Noble testified that she did not interview Lucila G. during either of her two meetings with her, but that she had a few casual “conversational comments” with the de facto mother. Arturo G. was present during Noble‘s August 13, 2000 visit at Appellants’ home. This was Noble‘s only meeting with the de facto father, and Noble testified that she did not speak with him.
Noble testified that because she did not observe the Minor to exhibit any problematic behavior or profound developmental disability, his best interests lie in being “moved to be with his tribe and his family.” Her view was that “transported” children, i.e., children “that [sic] have not been kept with the Indian heritage,” “often end up very badly in adolescence.”
The Department presented as a witness clinical psychologist, Alfredo E. Crespo, Ph.D., whose report was admitted into evidence. Dr. Crespo‘s report related
In his summary, Crespo concluded “that Santos is attached to [Appellants] and ... he has been integrated into their lives. In my opinion the disruption of his attachment to the only family he has known will likely create intense immediate distress should the Court decide to send him to live with the Chippewa tribe‘s proposed prospective adoptive mother in Minnesota. The disruption of his attachment also raises long-range risk factors that create additional concerns about his future adjustment and emotional health in the event that the Court follows Dr. Noble‘s recommendations.”
Crespo also noted that the Minor‘s present attachment to Appellants was insecure, probably stemming from Appellants’ own insecurities as they faced the possibly of losing the Minor. But, Crespo opined, “it is quite likely that Santos[`] attachment pattern may become secure in nature should the Court decide to sanction the adoption requested by his foster parents.”
Citing certain professional authority, Crespo also presented definitions of “bonding” and “attachment” that differed from Noble‘s. For Crespo, “attachment is defined as that which stems from the child and bonding as that which stems from the caretaker.” He repudiated the claim that a mother and child bond during the first few days of life.
With respect to the short-range outlook for Santos, Crespo asserted that “there is no question that the minor will be distressed by separation from the only stable and loving caregivers he has known during his life. This distress can be predicted to be additionally complicated by the prospective adoptive mother‘s plan for day-care, a care-taking arrangement quite different from that to which he has become accustomed in his foster home.... In addition, given that he has been raised in a Spanish speaking home, his attachment to his prospective adoptive Chippewa mother will be further complicated by a language barrier.”
With respect to long-range prediction, Crespo stated that “there is a great and growing body of research which suggests that disrupted attachments is [sic] associated with multiple emotional and psychological problems. The loss of a mother before age 12, for example, has been found to be a predisposing factor for [d]epression in adult life. In my opinion, allowing the foster parents to adopt him precludes risk factors for long-term emotional problems except for those associated generally with [a]doption. However, the foster parents, the foster mother in particular, have already displayed a willingness to learn more about and respect as well as celebrate Santos’ Native American heritage.”
The Department‘s CSW was called as a witness. She testified to case activity notes for May 8, 2000, which reported a conversation the Reservation TSW had had with the Department‘s CSW. As paraphrased by the court, the notes related that the TSW had said she would seek a letter from the Tribe stating its position regarding the case, that she felt that the Mother should get more reunification services, and that if the Minor could not be returned to his Mother, he could be adopted by Appellants.
At closing argument, the Department, submitted on the court‘s tentative decision and “acknowledg[ed] ICWA placement preferences.”
The Minor opposed the proposed removal from his de facto family. He urged that the contemplated uprooting from his family and a change to an entirely different environment would be calamitous, and argued that his eventual connection to the Tribe did not outweigh the serious trauma from being uprooted from a loving home.
After the conclusion of testimony at the contested permanent plan hearing, the trial court terminated the parental rights of the Mother and the Father and found that the Minor was likely to be adopted. The trial court, commenting that for the Minor, “being Indian is not an optional lifestyle ... he is a Grand Portage child ...,” ordered that the Minor be placed in the adoptive home of Jacki K., and denied Appellants’ request for a stay.
APPELLANTS’ CONTENTIONS
Appellants contend that:
(1) the ICWA is unconstitutional;
(2) the ICWA may not be applied constitutionally to this case because the Minor is not part of an existing Indian family, and neither he nor his mother participated in Indian tribal life;
(3) the Tribe waived its right to assert the application of the ICWA; and
(4) the court applied an incorrect standard and abused its discretion in its determination that good cause did not exist to depart from ICWA placement preferences.
DISCUSSION
I. Controlling Authority
A. The Indian Child Welfare Act
The Indian Child Welfare Act (
The stated purpose of the ICWA is to “protect the best interests of Indian children and to promote the stability and security of Indian tribes and families by the establishment of minimum Federal standards for the removal of Indian children from their families and the placement of such children in foster care or adoptive homes which will reflect the unique values of Indian culture, and by providing for assistance to Indian tribes in the operation of child and family service programs.” (
Title I of the ICWA applies to child custody proceedings14 (
If, in an involuntary child custody proceeding, probable cause exists to believe that the proceeding involves an Indian child within the meaning of the Act, the Indian child‘s tribe must be notified of the pendency of the action, and of its right to intervene. (
On petition of either parent or of the Indian child‘s tribe, state court proceedings for foster care placement or for termination of parental rights to an Indian child must be transferred to a tribal court unless “good cause exists,” either parent objects, or the tribe declines jurisdiction. (
The ICWA contains adoptive, foster care, and preadoptive placement preferences. (
The ICWA expressly directed the Secretary of the Department of the Interior to promulgate regulations to carry out the Act within 180 days of its enactment. (
B. California‘s Implementation of the Indian Child Welfare Act
Rule 1439, California Rules of Court, implements the ICWA for California courts. Rule 1439 incorporates the ICWA definitions of Indian child, Indian child‘s tribe, and Indian tribe without modification (
Rule 1439(f) of the California Rules of Court is virtually identical to title 25 of the United States Code section 1912 concerning the manner in which an Indian child‘s tribe is to be notified; it adds that notice to the tribe shall be to the tribal chairman unless the tribe has designated another agent for service (
Rule 1439 of the California Rules of Court provides that if the court has reason
Rule 1439(k) addresses standards and preferences in placements of Indian children. “Foster and adoptive placements of Indian children must follow a specified order of preference in the absence of good cause to the contrary.” (
“(A) the requests of the parent or Indian custodian;
“(B) the requests of the Indian child;
“(C) the extraordinary physical or emotional needs of the Indian child as estаblished by a qualified expert witness.” (
C. The Existing Indian Family Doctrine
While the stated purpose of the ICWA is to serve the best interests of the Native American children, families, and tribes, these interests are often in tension. To address situations in which application of the ICWA is unwarranted or unconstitutional, courts have applied an analysis known as the “existing Indian family doctrine,” and have declined to apply the ICWA to situations in which a child is not being removed from an existing Indian family.15
A split of authority has developed between state courts adopting the doctrine, and those declining to do so. Following Kansas‘s lead, numerous state courts adopted the “existing Indian family doctrine,” refusing to apply the Act where its purpose, the improper removal of Indian children from their Indian families, would not be served. Other states rejected the doctrine, primarily based on a plain language statutory construction of the Act. According to these courts, a narrow focus on the interests of a partiсular existing family failed to recognize the broader interests of the Indian tribe in preserving tribal culture.
The single United States Supreme Court case addressing the Act, Mississippi Choctaw Indian Band v. Holyfield, supra, 490 U.S. 30 490 U.S. 30, 109 S.Ct. 1597 (Holyfield), involved the question whether twin children, whose parents lived on a reservation and traveled to a distant town to give birth to them and relinquish them, were “domiciled” on the reservation within the meaning of the Act. Some courts have construed Holyfield as having raised questions about the continuing viability of the “existing Indian family doctrine” as defined by Baby Boy L. and its progeny, while other courts have construed Holyfield as being limited to its facts, and having no effect on the “existing Indian family doctrine.”
At present, nine states have adopted the doctrine, nine have rejected it, and the position of the remaining states is unclear.16
1. California‘s Application of the “Existing Indian Family” Doctrine
California courts initially rejected the “existing Indian family doctrine.” In In re Junious M. (1983) 144 Cal.App.3d 786, 193 Cal.Rptr. 40, the juvenile court had refused to apply ICWA notification requirements in a proceeding to terminate parental rights under former
This District first considered the “existing Indian family doctrine” in In re Wanomi P. (1989) 216 Cal.App.3d 156, 264 Cal. Rptr. 623, in the context of a dependency proceeding to determine custody of a child born in California to a member of a Canadian Indian tribe. In reversing the trial court‘s determination that the ICWA applied so as to deprive the California court of jurisdiction, Division One noted in dictum: “Regulating the unwarranted removal of children from Indian families by nontribal public and private agencies was among the objectives of the ICWA as stated in the legislative findings. (
In 1991, the First Appellate District rеvisited the “existing Indian family doctrine,” post-Holyfield, in Adoption of Lindsay C. (1991) 229 Cal.App.3d 404, 280 Cal.Rptr. 194, an action in which the stepfather of a child who had been born out of wedlock to a non-Indian mother and an Indian father had filed, with the mother‘s consent, a petition to adopt the child. Notice had been given to the father, who was a full-blooded Indian, but not to his tribe. Finding true the petition‘s allegations that the father had willfully failed to communicate with the child and had failed to pay child support, the court terminated the
Five years later, in In re Bridget R., supra, 41 Cal.App.4th 1483, 49 Cal.Rptr.2d 507, Division Three of this District rejected the traditional formulation of the “existing Indian family doctrine,” which precluded application of the ICWA to an Indian child who had not lived in an Indian family. At the same time, it held that recognition of the existing Indian family doctrine was necessary under the facts of the case in order to preserve the constitutionality of the ICWA.
Bridget R. involved two-year-old twin children whose parents had voluntarily relinquished them for adoption shortly after their birth. Although the parents had originally informed the adoption agency that they had no Indian heritage, the father later told the parties that he was of Indian descent. The parents then invoked the ICWA in an attempt to invalidate their relinquishments, have the children removed from the adoptive parents with whom they had lived since birth, and have the children placed with a member of the father‘s extended Indian family. In a decision that held the ICWA to be unconstitutional as applied, Division Three reversed the trial court‘s ruling that vacated the parents’ relinquishments. The court held that “under the Fifth, Tenth and Fourteenth Amendments to the United States Constitution, ICWA does not and cannot apply to invalidate a voluntary termination of parental rights respecting an Indian child who is not domiciled on a reservation, unless the child‘s biological parent, or parents, are not only of American Indian descent, but also maintain a significant social, cultural or political relationship with their tribe.” (Bridget R., supra, 41 Cal.App.4th at p. 1492, 49 Cal.Rptr.2d 507.)
In arriving at the conclusion that the ICWA would be unconstitutional as aрplied, Division Three analyzed the constitutional principles, which govern family rights, ultimately concluding that children hold fundamental rights and interests in family relationships which are of constitutional dimension and which do not necessarily depend on the existence of a biological relationship. (Bridget R., supra, 41 Cal.App.4th at pp. 1505-1506, 49 Cal. Rptr.2d 507.)
The court noted that “prior judicial decisions establish that, where a child has formed familial bonds with a de facto family with whom the child was placed owing to a biological parent‘s unfitness [citation] ... and where it is shown that the child would be harmed by any severance of those bonds, the child‘s constitutionally protected interests outweigh those of the biological parents.” (Bridget R., supra, at p. 1506, 49 Cal.Rptr.2d 507.) Where the interests of an Indian tribe, which are based solely on the ICWA, interfere with the child‘s fundamental rights to be secure in a permanent home, the ICWA becomes constitutionally suspect, and must be subjected to strict scrutiny, under which it must be found to serve a compelling governmental interest and to be actually necessary and effective in accomplishing that purpose. (Id. at pp. 1506-1507, 49 Cal. Rptr.2d 507.)
In Bridget R., the Court found the ICWA to have met the first prong of the strict scrutiny test, acknowledging the preservation of American Indian culture to be a compelling interest. It found, however,
In Bridget R., Division Three also subjected the ICWA to an equal protection analysis, and again found the ICWA unconstitutional as applied. Starting from the indisputable proposition that the ICWA requires Indian children who cannot be cared for by their natural parents to be treated differently from non-Indian children who are similarly situated, the Court observed that as a result of the disparate treatment mandated by the Act, fewer adoptive homes are available to an Indian child, and an Indian child who has been placed in an adoptive or potential adoptive home is at greater risk than a non-Indian child of being removed from that home and being placed with strangers. The Court held that “[t]o the extent this disparate and sometimes disadvantageous treatment is based upon social, cultural or political relationships between Indian children and their tribes, it does not violate the equal protection requirements of the Fifth and Fourteenth Amendments. [Citations.] However, where such social, cultural or political relationships do not exist or are very attenuated, the only remaining basis for applying ICWA rather than state law in proceedings affecting an Indian child‘s custody is the child‘s genetic heritage—in other words, race.” “`[A]ll racial classifications, imposed by whatever federal, state, or local governmental actor, must be analyzed by a reviewing court under strict scrutiny. In other words, such classifications are constitutional only if they are narrowly tailored measures that further compelling governmental interests.’ [Citations.]” (Bridget R., supra, 41 Cal.App.4th at p. 1508, 49 Cal.Rptr.2d 507.) The Court rejected the contention that the ICWA does not create a race-based classification because application of the Act triggered by the child‘s membership in the tribe, holding that “any application of ICWA which is triggered by an Indian child‘s genetic heritage, without substantial social, cultural or political affiliations between the child‘s family and a tribal community, is an application based solely, or at least predominantly, upon race and is subject to strict scrutiny undеr the equal protection clause. So scrutinized, and for the same reasons set forth in our
The third aspect of the analysis in Bridget R. was a discussion of the Indian commerce clause, “The Congress shall have power ... [¶] ... [¶] ... [t]o regulate ... commerce ... with the Indian Tribes” (
Bridget R. was followed by the Fourth Appellate District case of In re Alexandria Y. (1996) 45 Cal.App.4th 1483, 53 Cal. Rptr.2d 679, which applied the existing Indian family doctrine to a proceeding to terminate parental rights and implement a preadoptive placement. Affirming the trial court‘s refusal to apply thе ICWA so as to require a Native American adoptive placement, where neither the child nor the enrolled tribe member mother had any significant social, cultural, or political relationship with Indian life, the Fourth District held that “recognition of the existing Indian family doctrine [was] necessary to avoid serious constitutional flaws in the ICWA” (In re Alexandria Y., supra, 45 Cal.App.4th at p. 1493, 53 Cal.Rptr.2d 679), and held that the trial court had acted properly in refusing to apply the ICWA “because neither [the child] nor [the mother] had any significant social, cultural or political relationship with Indian life; thus, there was no existing Indian family to preserve.” (Id. at p. 1485, 53 Cal. Rptr.2d 679.) The court observed that not only did neither the mother nor the child have any relationship with the tribe, but also that the father was Hispanic, and that the child was placed in a preadoptive home where Spanish was spoken. “Under these
The following year, in Crystal R. v. Superior Court (1997) 59 Cal.App.4th 703, 69 Cal.Rptr.2d 414, the Sixth Appellate District applied the “existing Indian family doctrine” to a proceeding to terminate parental rights of a father who was an enrolled tribe member. The juvenile court had found the ICWA applicable to the case, whereupon the minor and her de facto parents, joined by the social service agency, filed a writ petition seeking to preclude application of the ICWA. The Sixth District granted the petition, and directed the trial court to conduct a hearing in which the father and the tribe bore the burden of proof, by preponderance of the evidence, of proving that the father had maintained significant ties with the tribe.
In 1998, in In re Alicia S. (1998) 65 Cal.App.4th 79, 76 Cal.Rptr.2d 121, the Fifth Appellate District rejected a trial court application of the “existing Indian family doctrine” in a proceeding terminating a mother‘s parental rights with respect to her three children, where the mother was three-eights Paiute Indian, and an enrolled member of the Paiute tribe, and the children‘s father was one-half Pima Indian and an enrolled member of an Arizona Indian community. The juvenile court had found the ICWA to be inapplicable under the “existing Indian family doctrine,” holding that neither parent had a significant relationship to the Indian community. The Fifth District reversed, holding that the dependency proceedings were required to be conducted in conformity with the ICWA, based on the plain language of the statute. The court stated that the “existing Indian family doctrine” “conflicts with the ICWA‘s policy of protecting and preserving the interests of Indian tribes in their children [a]nd it undermines the ICWA‘s purpose to establish uniform federal standards governing the removal of Indian children from their families.” (Id, at p. 90, 76 Cal.Rptr.2d 121.) The court discussed the parents’ involvement with tribal gatherings, elections, funerals, powwows, “sweats,” and other Native-American customs, as well as efforts the mother had made to make her children aware of their Native American heritage, commenting that “this is not a case where `Indian children’ have been removed from a home having no connection whatsoever to the Indian community.”
The Fifth District noted that the trial court was left to decide, without guidance or expertise, whether “the parents’ Indian activities and beliefs were `significant’ enough to warrant application of the ICWA ... returning Indian child custody proceedings to a time ... when `“Indian children [were] removed from the custody of their natural parents by nontribal government authorities who have no basis for intelligently evaluating ... Indian home life and childrearing.“‘” (In re Alicia S., supra, 65 Cal.App.4th at p. 91, 76 Cal. Rptr.2d 121.) Although the court commented that “a dependent child‘s interests in permanence and stability ... may in some cases outweigh the competing interests of parents and tribe” (id. at p. 88, 76 Cal.Rptr.2d 121), it did not address the constitutional analysis of Bridget R.
2. Section 360.6
In 1998 the California Legislature addressed the “existing Indian family doctrine” by enacting section 360.6 to the Welfare and Institutions Code. Section 360.6 subdivision (c) provides 18 that “[a] determination by an Indian tribe that an unmarried person who is under the age of 18 is either (1) a member of an Indian tribe or (2) eligible for membership in an Indian tribe and a biological child of a member of a tribe shall constitute a significant political affiliation with the tribe and require application of the federal Indian Child Welfare Act to the proceedings.” Subdivision (e) uses language identical to that defining an “Indian child” in the ICWA. An “Indian child” is “any unmarried person who is under age eighteen and is either (a) a member of an Indian tribe, or (b) is eligible for membership in an Indian tribe and is the biological child of a member of an Indian tribe.” (
II. Constitutionality of the ICWA as Applied
Appellants contend that the ICWA is unconstitutional on its face and unconstitutional as applied. They assert that application of the ICWA to an individual who is in all respects, except in genetic heritage, indistinguishable from other residents of this state violates the Fifth, Tenth, and Fourteenth Amendments to the United States Constitution. We agree. Because we find that the ICWA is unconstitutional as applied, we decline to address the general constitutionality of that statute.
With respect to the application of the ICWA, the salient facts are these: The Minor was born in Los Angeles County and has been in placement since birth. At the age of three months, he was placed in the home of Appellants, whom he knows as his mother and father. Appellants had planned to adopt the Minor in the event that the parents’ reunification failed, as it did. The Minor wants to be adopted by Appellants, and opposes being moved to an adoptive home on the Minnesota Reservation. While the psychologist experts who evaluated the Minor disagreed concerning the long-term damage to be suffered by him were he to be removed from his home with Appellants, they agreed that such a move, at least in the short term, would be extremely distressing to him.
The Minor is multi-ethnic.20 His association with the Minnesota Chippewa Tribe is as a person of “one-quarter Chippewa Indian blood” and as the biological child of his Mother. His lifetime face-to-face interaction with the Mother has been minimal. She visited a few times before resuming residence in Oregon, and visited again while she was in Los Angeles during August 2000.
The Mother was enrolled in the Tribe as a child. She has lived her adult life in Oregon and California.21 Her only relatives known to be associated with the Tribe are a first cousin, JoAnne B., and a third cousin, Jacki K., the Band‘s prospective adoptive mother for the Minor. The record contains no indication that the Mother had ever met JoAnne B. or Jacki
The record does not show any involvement by the Mother with the Tribe prior to the Mother‘s having been informed about the ICWA and having been given a contact number for the Tribe by the Department‘s CSW.
The Revised Constitution and Bylaws of the Minnesota Chippewa Tribe, Minnesota (Chippewa Constitution or Const.)22 states that the Tribe consists of Chippewa Indians of the White Earth, Leech Lake, Fond du Lac, Bois Forte, and Grand Portage Reservations, and the Nonremoval Mille Lac Band of Chippewa Indians. Membership in the Chippewa Tribe is determined by Tribal “blood.” The Chippewa Constitution provides, in relevant part, that all children of at least one-quarter degree Minnesota Chippewa Indian blood born to a member after July 3, 1961, are eligible for membership, provided application takes place within a year of birth. (Chippewa Const., art. I, § 1(c).) The Constitution also provides for admission to the Tribe of a “person of Minnesota Chippewa Indian blood” who meets the membership requirements, but has not been enrolled due to some error. (Chippewa Const., art. I, § 3.) Thus, the time limits in which a member may be enrolled are not necessarily binding, but the membership requirement of “at least one quarter (1/4) degree Minnesota Chippewa Indian blood” is inviolate. The Constitution does not allow adopted children of Tribe members to qualify for membership in the Tribe. A minimum of one-quarter Minnesota Chippewa Indian blood is, thus, the determining factor for membership in the Tribe.
The Tribe deems the Minor eligible for enrollment.
A. Substantive Due Process
Family rights are afforded substantive protection under the due process clause of the Fifth and Fourteenth Amendments. (Santosky v. Kramer (1982) 455 U.S. 745, 753, 102 S.Ct. 1388, 71 L.Ed.2d 599.)23 The United States Supreme Court “`has long recognized that freedom of personal choice in matters of marriage and family life is one of the liberties protected by the Due Process Clause of the Fourteenth Amendment.’ [Citation.]” (Moore v. East Cleveland (1977) 431 U.S. 494-499, 97 S.Ct. 1932, 52 L.Ed.2d 531.) As this district of the Court of Appeal discussed in Bridget R., both the United States and California Supreme Courts have recognized that an individual‘s rights respecting family relationships do not necessarily depend upon the existence of a biological connection, and that interests in familial ties which grow between members of a de facto family may outweigh biological relationships in some circumstances. (In re Bridget R., supra, 41 Cal.App.4th at p. 1505, 49 Cal.Rptr.2d 507.)
The United States Supreme Court has issued several opinions establishing
As noted in Bridget R., the right of a child to a familial relationship is “[i]f anything, ... more compelling than adults‘, because children‘s interests in family relationships comprise more than the emotional and social interests which adults have in family life; children‘s interests also include the elementary and wholly practical needs of the small and helpless to be protected from harm and to have stable and permanent homes in which each child‘s mind and character can grow, unhampered by uncertainty and fear of what the next day or week or court appearance may bring. [Citation.]” (In re Bridget R., supra, 41 Cal.App.4th at p. 1504, 49 Cal. Rptr.2d 507.)
Legislation which substantially interferes with the enjoyment of a fundamental right is subject to strict scrutiny (Sherbert v. Verner (1963) 374 U.S. 398, 83 S.Ct. 1790, 10 L.Ed.2d 965), i.e., it must be set aside or limited unless it serves a compelling purpose and is necessary to the accomplishment of that purpose. Thus, application of the ICWA that fundamentally interferes with the Minor‘s right to retain his existing stable familial relationships requires that the statute be subjected to strict scrutiny to determine whether, as applied, it serves a compelling government purpose and, if so, whether its application is actually necessary and effective to the accomplishment of that purpose. (In re Bridget R., supra, 41 Cal. App.4th at p. 1507, 49 Cal.Rptr.2d 507.)
The test we apply is: (1) whether the tribal interests which the ICWA protects are sufficiently compelling
The Minor is a party (§ 317.5(b)), represented by counsel charged with advocating his independent interests (§ 317, subds.(c), (e)). He has defined his best interests as remaining with his de facto family.
There is no Indian family here to preserve. The Mother‘s contacts with the Minor were limited to a few visits before she moved back to Oregon, visits during August 2000, while Dr. Noble‘s evaluation was pending, a couple of letters, and daily and weekly phone calls from Oregon which began in May 2000, when the Minor was 18 or 19 months old, in which the Mother would talk to the Minor until he hung up.
The Mother‘s connection with the Tribe is predicated on her enrollment, but she has lived a half-continent away from the Tribe‘s activities and culture as an adult. The record does not indicate that she had any connection with the Tribe prior to the Department‘s CSW giving her a contact number.
The Minor‘s sole connection with the Tribe is a one-quarter “Minnesota Chippewa Tribe” genetic contribution from an enrolled bloodline, and enrollment based on that genetic contribution. While placing the Minor for adoption on the Grand Portage Reservation would, in the most attenuated sense, promote the stability and security of the Tribe by providing one more individual to carry on Minnesota Chippewa cultural traditions, we find the “repatriation” to the Reservation of a child of assimilated parents, solely because of the child‘s one-quarter Minnesota Chippewa Tribe genetic heritage, to be a constitutionally impermissible application of the statute.
The length of time the Minor has been in his de facto family plays a significant role in our determination. Our Supreme Court has held that when reunification services to the parents are terminated, a critical juncture is reached in which the child‘s interests in a stable placement become paramount, outweighing the fundamental, constitutionally protected interest of his biological parents in their relationship with him. (In re Marilyn H., supra, 5 Cal.4th 295, 308, 19 Cal.Rptr.2d 544, 851 P.2d 826.) When the Minor‘s interest outweighs the constitutionally protected interest of a biological parent, it necessarily outweighs the interest of a tribe, whose interest is solely a creature of statute.
Section 360.6 does not change our analysis. Notwithstanding the declaration that “the State of California has an interest in protecting Indian children who are members of, or eligible for membership in, an Indian tribe” (§ 360.6, subd. (a)(1)), California has no independent constitutional authority with respect to Indian tribes. “With the adoption of the
To the extent that section 360.6 may be deemed to be an incorporation by reference of the ICWA, the issue remains that of whether the ICWA embodies a compelling state interest that is closely tailored to the purpose of Congress‘s enactment as applied to this child. For the reasons discussed above, we find that it does not.
B. Equal Protection
The dependency statutes embody three primary goals for children adjudged dependents of the juvenile court: (1) to protect the child (
The ICWA unquestionably requires Indian children who are dependents of the juvenile court to be treated differently from court dependents who are not Indian children. As this District observed in Bridget R., and as demonstrated here, because fewer foster and adoptive homes are potentially available to an Indian child than are available to non-Indian children, an Indian child in foster or foster-adoptive placement is at greater risk of forming family attachments, only to have them disrupted. In the Minor‘s case, application of the ICWA resulted in the Minor‘s being subjected to repeated deferrals of the implementation of a permanent plan for him. These delays culminated in the court‘s ordering him removed from the care of foster parents, who wanted to adopt him, for no reason other than that the foster parents were not of Native American ancestry. Had the juvenile court not deemed the ICWA to apply to the Minor, it is likely that he would have been adopted by Appellants by December 1999, close to his first birthday.
To the extent such disparate treatment is based upon social, cultural, or political relationships between an Indian child and its tribe, it is inconsistent with the equal protection requirements of the Fifth and Fourteenth Amendments. (Bridget R., supra, 41 Cal.App.4th 1483, at p. 1508, 49 Cal.Rptr.2d 507.) Absent social, cultural, and political relationships, or where the relationships are very attenuated, the only basis for applying ICWA rather than state law in dependency proceedings is the child‘s genetic heritage. (Ibid.) This is what occurred here.
The United States Supreme Court has enunciated three standards of review for analyzing constitutional equal protection
The Band and amici contend that the ICWA involves a political classification, and is therefore subject to the rational basis level of scrutiny generally applied to economic regulation and other classifications in which the conditions for the higher levels of review are absent. (Romer v. Evans (1996) 517 U.S. 620, 631, 116 S.Ct. 1620, 134 L.Ed.2d 855.) They rely on Morton v. Mancari (1974) 417 U.S. 535, 94 S.Ct. 2474, 41 L.Ed.2d 290 (Mancari), which involved a Bureau of Indian Affairs (BIA) preference in employment which favored individuals who were “one-fourth or more degree Indian blood and ... member[s] of a Federally-recognized Indian tribe.” (Id. at p. 553, fn. 24, 94 S.Ct. 2474.) In Mancari, the Court found that although the preference had a racial component, it was “not even a `racial’ preference.” (Id. at pp. 553-554, 94 S.Ct. 2474.) Instead, the Court characterized the preference for members of a Fedеrally-recognized tribe as “an employment criterion reasonably designed to further the cause of Indian self-government and to make the BIA more responsive to the needs of its constituent groups. It is directed to participation by the governed in the governing agency ... similar in kind to the constitutional requirement that a United States Senator, when elected, be `an Inhabitant of that State for which he shall be chosen....‘” (Ibid.) Because the preference applies only to members of‘“federally recognized“’ tribes, and thereby excludes many individuals who are racially classified as “`Indians,‘” the Court said, “the preference is political rather than racial in nature.” (Id. at p. 553, fn. 24, 94 S.Ct. 2474.) The Court was careful to emphasize that the employment preference did not pertain to any government agency or activity other than “employment in the Indian service,” and characterized a preference extending to employment in other federal agencies as presenting an “obviously more difficult question” not reached by the opinion. (Id. at p. 554, 94 S.Ct. 2474.) The Mancari Court applied the rational basis test to the hiring preference, finding that the BIA employment preference for members of federally recognized tribes could be “tied rationally to the fulfillment of Congress’ unique obligation toward the Indians,” and that it was “reasonable and rationally designed to further Indian self-government.” (Id. at p. 555, 94 S.Ct. 2474.) In a later discussion of Mancari the Court remarked that “[t]he opinion was careful to note ... that the case was confined to the authority of the BIA, an agency described as `sui generis.’ [Citation.]” (Rice v. Cayetano (2000) 528 U.S. 495, 520, 120 S.Ct. 1044, 145 L.Ed.2d 1007.)
In Adarand Constructors, Inc. v. Pena, supra, 515 U.S. at page 200, 115 S.Ct. 2097, the Supreme Court found federal contracting race-based presumptions favorable
Justice Stevens dissented on several grounds in Adarand, among them, and specifically relevant here, he objected that the majority‘s concept of consistency wоuld subject preferences for Native Americans to the same scrutiny as invidious discrimination against minorities: “We should reject a concept of `consistency’ that would view the special preferences that the National Government has provided to Native Americans since 1834 as comparable to the official discrimination against African Americans that was prevalent for much of our history.” (Id. at pp. 244-245, 115 S.Ct. 2097, fn. omitted (dis. opn. of Stevens J.).) Citing to Mancari, Justice Stevens pointed out that Mancari‘s conclusion, that the classification “`one fourth or more degree Indian blood and be a member of a Federally-recognized tribe‘” was not racial because it did not encompass all Indian tribes, was parallel to the argument rejected by the majority in Adarand, that the small business preference was not racial, because not all members of the preferred minority groups were eligible for the preference. (Id. at. pp. 244-245, fn.3, 120 S.Ct. 722.) Justice Stevens also noted that Mancari‘s reliance on the plenary power of Congress to legislate on behalf of Indian tribes paralleled the unsuccessful Adarand respondents’ reliance on the power granted to Congress under section 5 of the Fourteenth Amendment to legislate on behalf of minorities.26
As stated in Bridget R., “[A]ny application of ICWA which is triggered by an Indian child‘s genetic heritage, without substantial social, cultural or political affiliations between the child‘s family and a tribal community, is an application based solely, or at least predominantly, upon race and is subject to strict scrutiny under the equal protection clause.” (Bridget R., supra, 41 Cal.App.4th at p. 1509, 49 Cal. Rptr .2d 507.) The test we apply is whether the classification serves a “compelling governmental interest” and is “narrowly tailored” to achieve its goal. (Adarand Constructors, Inc. v. Pena, supra, 515 U.S. 200 at p. 226, 115 S.Ct. 2097, 132 L.Ed.2d 158.)
The facts upon which we relied in concluding that application of the ICWA to this Minor constituted a violation of substantive due process lead to the conclusion that application of the ICWA to the Minor constitutes a violation of equal protection of the laws under the Fifth and Fourteenth Amendments to the United States Constitution. The record rеflects that the Minor has no association with the Tribe other than genetics, i.e., his one-quarter “Minnesota Chippewa blood” from an enrolled bloodline of the Tribe. Whether we characterize this genetic association as racial, ethnic, or ancestry,27 a determination based on “blood,” on its face invokes strict scrutiny to determine whether the classification serves a compelling governmental interest and is narrowly tailored to achieve that interest.
We find that it does not.The enactment of section 360.6 does not alter the outcome of an equal protection analysis. As we discussed earlier, California has no independent constitutional authority authorizing it to enact legislation governing federally recognized Indian tribes. Moreover, to the extent that section 360.6 could be viewed as incorporating the ICWA, incorporation could not result in any lesser level of scrutiny than would be required absent the incorporation.
C. The Tenth Amendment
As discussed in Bridget R., the Supreme Court has indicated that Congress exceeds its enumerated authority when it legislates in matters generally left to the jurisdiction of the states unless the legislation bears a substantial nexus to the enumerated power under which the legislation is enacted. (Bridget R., supra, 41 Cal.App.4th at pp. 1510-1511, 49 Cal.Rptr.2d 507.) Since Bridget R., the Supreme Court has reinforced the requirement that a substantial nexus exist between Congress‘s exercise of an enumerated power and the activity regulated by that exercise. In United States v. Morrison (2000) 529 U.S. 598, 120 S.Ct. 1740, 146 L.Ed.2d 658, the Court held that the interstate commerce clause did not provide Congress authority to enact the civil remedy provisions of the Violencе Against Women Act, inasmuch as the provision did not regulate activity which substantially affected interstate commerce. This year, in Solid Waste Agency of Northern Cook Cty. v. Army Corps of Engineers (2001) 531 U.S. 159, 121 S.Ct. 675, 148 L.Ed.2d 576, the Court held that enactment of the Migratory Bird Act exceeded Congress‘s powers under the Commerce Clause.
In this case, no substantial nexus exists between the Indian commerce clause and the ICWA. Application of the ICWA to a child whose only connection with an Indian tribe is a one-quarter genetic contribution does not serve the purpose for which the ICWA was enacted, “to protect the best interests of Indian children and to promote the stability and security of Indian tribes and families” (
Section 360.6 does not avoid a Tenth Amendment violation. The incorporation by reference of the ICWA in section 360.6 cannot convert the ICWA into an exercise of California‘s reserved power to legislate regarding family relations, because the legislation singles out the family relations of members of federally recognized Indian tribes, a subject over which the State of California lacks reserved power. (
Because it is unnecessary to our decision to reach Appellant‘s other assignments of error, we reverse solely on the ground that the ICWA is unconstitutional as applied.
DISPOSITION
The placement order is reversed. The writ of supersedeas is dissolved, and the matter is remanded for further proceedings consistent with this opinion.
We concur: NOTT, J. and COOPER, J.
Notes
Rejecting the doctrine: Alaska (Matter of Adoption of T.N.F. (Alaska 1989) 781 P.2d 973); Arizona (Michael J., Jr. v. Michael J., Sr. (Ariz.App.2000) 198 Ariz. 154, 7 P.3d 960); Idaho (Matter of Baby Boy Doe (1993) 123 Idaho 464, 849 P.2d 925); Illinois (In re Adoption of S.S. (1995) 167 Ill.2d 250, 212 Ill.Dec. 590, 657 N.E.2d 935); Michigan (In re Elliott (1996) 218 Mich.App. 196, 554 N.W.2d 32); Minnesota (In re Welfare of S.N.R. (Minn.App.2000) 617 N.W.2d 77); New Jersey (Matter of Adoption of a Child of Indian Heritage (N.J.1988) 111 N.J. 155, 543 A.2d 925); South Dakota (Matter of Adoption of Baade (S.D.1990) 462 N.W.2d 485); Utah (State, in Interest of D.A.C. (Utah App.1997) 933 P.2d 993.)
“... nor shall any person ... be deprived of life, liberty, or property, without due process of law....” (