In the Matter of the ADOPTION OF a Child known as D.M.
No. 23434
Supreme Court of South Dakota
Decided Feb. 8, 2006
Argued on April 26, 2005. Reassigned July 22, 2005. 2006 SD 15
[¶ 21.] Affirmed.
[¶ 22.] GILBERTSON, Chief Justice, and KONENKAMP, Justice, concur.
[¶ 23.] SABERS and MEIERHENRY, Justices, dissent.
SABERS, Justice (dissenting).
[¶ 24.] I dissent.
[¶ 25.] The State had the burden to prove beyond a reasonable doubt every element of the crime charged. In this case, the defendant was sitting on her motorcycle, stopped at a stop sign, when her motorcycle was struck from behind, through no fault of her own.
[¶ 26.] The State claims that Motzko had an abnormal mental and physical condition depriving her of the clearness of intellect and self control she normally possessed. There is no showing that Motzko had an abnormal mental or physical condition. There is also no showing that Motzko was deprived of the clearness of intellect and self control she normally possessed. Therefore, the State failed to put forward adequate evidence supporting its claim. Even though the evidence and inferences are to be viewed in the light most favorable to the verdict, we should not lose sight of our duty to determine whether the evidence was “sufficient to sustain a finding of guilt beyond a reasonable doubt.” Id. 6 supra. When, as in the present case, the evidence falls short of that standard, we should not hesitate to reverse.11
[¶ 27.] In addition, under the circumstances of this case, I submit it was error for the trial court to refuse her proposed jury instruction which provided:
In South Dakota it is not illegal to drink and drive unless the consumption of alcohol is of a degree to render the driver under the influence of an alcoholic beverage as stated in the foregoing instruction.
[¶ 28.] This is a correct statement of the law in South Dakota and the jury should have been so instructed under the circumstances of this case.
[¶ 29.] MEIERHENRY, Justice, joins this dissent.
Joan M. Cline of Feehan & Cline, P.C., Rapid City, SD, for adoptive parents and appellees.
Lawrence E. Long, Attorney General, Ann M. Holzhauser, Assistant Attorney General, Pierre, SD, for appellee State of South Dakota.
MEIERHENRY, Justice (on reassignment).
[¶ 1.] Faye and Kelly Degen (Degens) sought to intervene in the adoption proceedings of their grandniece, D.M. The trial court denied Degens’ motion to inter
FACTS
[¶ 2.] Degens originally sought to intervene in the abuse and neglect proceedings in which parental rights to D.M. were terminated. The Department of Social Services (DSS) had approved Degens as an adoptive family along with two other families but ultimately recommended adoptive placement with a non-relative family.1 After being denied a right to intervene in the abuse and neglect proceeding, the Degens sought relief from this Court. See In re D.M., 2004 SD 34, 677 N.W.2d 578. On appeal, we held that the rules of civil procedure did not give Degens the right to intervene in the dispositional phase of the abuse and neglect proceeding. Id. ¶ 11. Subsequently, the foster family with whom DSS had placed D.M. filed a petition to adopt the child. Degens then sought to intervene in the adoption proceeding. Again, Degens’ motion to intervene was denied. Degens appeal and raise the following issue:
ISSUE
Whether a relative approved by DSS for placement can intervene as a matter of right and challenge the agency‘s proposed adoptive placement with unrelated foster parents.
DECISION
Right to Intervene Pursuant to
[¶ 3.] The trial court held that because Degens do not have an independent legal right to adopt D.M., they do not have standing to intervene in the adoption proceeding. On appeal, Degens assert that they have a legally protected interest in D.M. making them real parties in interest. They assert that intervention is necessary to enable the trial court to determine the best adoptive placement for D.M. Since the issue involves a question of law, our review is de novo. Id. ¶ 4.
[¶ 4.] Degens base their right to intervene on
Upon timely application anyone shall be permitted to intervene in an action: ... (2) 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, unless the applicant‘s interest is adequately represented by existing parties.
This is a court rule the purpose of which is “to obviate delay and multiplicity of suits by creating an opportunity to persons directly interested in the subject matter to join in an action or proceeding already instituted.” Mergen v. N. States Power Co., 2001 SD 14, ¶ 5, 621 N.W.2d 620, 622. We have emphasized that intervention is strictly procedural and “that intervention standards are flexible, allowing for some tailoring of decisions to the facts of each case.” Southard v. Hansen, 342 N.W.2d 231, 233-34 (S.D. 1984) (citing Kozak v. Wells, 278 F.2d 104 (8th Cir. 1960)).
[¶ 5.] South Dakota‘s court rule
In our review, Rule 24 is construed liberally, and we resolve all doubts in favor of the proposed intervenors. Kansas Pub. Employees Retirement Sys. v. Reimer & Koger Assoc., Inc., 60 F.3d 1304, 1307 [8th Cir. 1995]; Sierra Club v. Robertson, 960 F.2d 83, 86 (8th Cir. 1992) (doubts resolved in favor of proposed intervenor); Arkansas Elec. Energy Consumers v. Middle S. Energy, Inc., 772 F.2d 401, 404 (8th Cir. 1985) (Rule 24 is to be liberally construed); Corby Recreation, Inc. v. General Electric Co., 581 F.2d 175, 177 (8th Cir. 1978) (doubts should be resolved in favor of proposed intervenor); Kozak v. Wells, 278 F.2d 104, 111-12 (8th Cir. 1960) (Rule 24 is to be liberally construed).
Id. The Eighth Circuit requires the applicant to “satisfy a tripartite test in order to intervene.” Id. at 1160. The tripartite test is as follows:
1) the party must have a recognized interest in the subject matter of the litigation; 2) that interest must be one that might be impaired by the disposition of the litigation; and 3) the interest must not be adequately protected by the existing parties.
Id. at 1160-61 (citation omitted). We adopt this tripartite test and apply it to the instant case.
Whether Degens have a Recognized Interest in D.M.‘s Adoption
[¶ 6.] Applying the tripartite test in this case, we must first determine if Degens have a recognized interest in the subject matter of the litigation. The Eighth Circuit, in analyzing what constitutes a “recognized interest” sufficient to satisfy the rule, said:
Although ... this court defined an interest sufficient to support intervention as “a recognized interest in the subject matter of the litigation,” the courts of appeals of other circuits have stated that intervention requires that the intervenor have an interest in the proceedings that is “direct, substantial, and legally protectable.” These standards are not contradictory. The applicant for intervention must have an interest in the subject matter of the litigation, i.e., an interest that is “direct,” as opposed to tangential or collateral. Furthermore, that interest must be “recognized,” i.e., both “substantial” and “legally protectable.”
Id. at 1161 (citations omitted). We have applied a similar test to determine the sufficiency of an interest. We stated in Jackson v. Board of County Commissioners for Pennington County:
“While the intervention statutes of the states differ, there is a general concurrence in the decisions that the interest which entitles a person to intervene in a suit between other parties must be in the matter in litigation and of such direct and immediate character that the intervenor will either gain or lose by the direct legal operation and effect of the
judgment. The interest must be one arising from a claim to the subject matter of the action or some part thereof, or a lien upon the property or some part thereof; one whose interest in the matter of litigation is not a direct or substantial interest, but is an indirect, inconsequential, or contingent one, cannot intervene.”
76 S.D. 495, 500, 81 N.W.2d 686, 689 (1957) (quoting 39 Am.Jur. Parties § 61). It therefore follows that before Degens can intervene, they must be able to show that they have a recognized interest in the litigation. Their interest must be “of such direct and immediate character that [they] will either gain or lose by the direct legal operation and effect of the [adoption order].” Id. Their interest must also “arise[] from a claim to the subject matter of the action,” id., and it must be “direct, substantial, and legally protectable.” Union Electric, 64 F.3d at 1161.
[¶ 7.] Degens claim that their legally protectable interest stems from a provision in DSS‘s Child Protection Services Procedures Manual, 06-03. The manual is given to caseworkers to guide and assist them in making appropriate assessments of children and their circumstances and in making recommendations regarding foster care and adoption placement. The manual provides in relevant part:
The order of preferences for a permanent family is:
1. Birth Family
Father, mother, grandparents, uncles, aunts, cousins, and other persons identified by the child‘s family as significant others should be sought out as permanent families to provide care for the child.
Furthermore, the manual provides that “[w]hen it is impossible for a child to live with birth family members who may, or may not adopt, the Department attempts to place the child with a non-related adoptive family.” Degens argue that since DSS placed the child with non-related foster parents for adoption, no one is representing D.M.‘s birth family. They contend that it is in the child‘s best interest to be adopted by family members. Unless they are allowed to intervene, they claim that the court will be unable to weigh the importance of familial ties when determining D.M.‘s best interests. Degens further argue that leaving the adoption selection entirely within the discretion of DSS “runs afoul of the court‘s statutory duty to do what is in the child‘s best interest.”
[¶ 8.] The South Dakota Legislature agreed that family members of abused and neglected children wishing to adopt should have a right to intervene. That right was established, however, as part of the abuse and neglect proceedings. See 2005 SD Laws ch 140 §§ 1-2; see also
[¶ 9.] Unfortunately for Degens, the legislation came too late. All abuse and neglect proceedings involving D.M. had been completed prior to the new law taking effect. Consequently, the only avenue of challenge left for Degens was through the adoption proceedings. The adoption statutes, however, do not specifically give family members the right to intervene. When the Legislature added the right to challenge adoptive placement, it did so only as part of the abuse and neglect proceedings.3
[¶ 10.] We have long recognized that “adoption is a creature of statute.” Calhoun v. Bryant, 28 S.D. 266, 133 N.W. 266, 270 (1911). Consequently, the rights and procedures for adoption are governed by statute. Challenges to adoptions are likewise controlled by statute. The language of
In an adoption proceeding or in any proceeding that challenges an order of adoption or order terminating parental rights, the court shall give due consideration to the interests of the parties to the proceedings, but shall give paramount consideration to the best interests of the child.
Id. The only persons identified as participants or parties to an adoption are the persons adopting the child, the child, DSS, and other persons whose consent is necessary. See
[¶ 11.] Courts from other jurisdictions have addressed this issue with varying results. The cases, however, offer little guidance because of their dependence on their own state statutes. See, e.g., Baker v. Webb, 127 S.W.3d 622, 626 (Ky. 2004) (holding that biological relatives had the right to intervene in an adoption proceeding); In re B.C., 1988 OK 4, 749 P.2d 542, 545 (concluding that foster parents had standing “to intervene and to assert their justiciable interest” in an adoption proceeding because they stood “in loco parentis“); In re Adoption of B.T., 150 Wash.2d 409, 78 P.3d 634, 639 (2003) (concluding that a paternal grandmother and step-grandfather had standing to petition for adoption by broadly interpreting the standing requirement of Washington‘s adoption statutes). But see, e.g., In re Adoption of C.C.L.B., 2001 MT 66, ¶¶ 19-20, 305 Mont. 22, 22 P.3d 646, 650 (concluding that second cousins had no “direct, substantial, legally protectable interest” in adoption despite legislative and departmental policies that favored adoptive placement with extended family members because second cousin was not “‘extended family members’ as that term is employed in Montana adoption law“); In re Adoption of J.C.G., 177 Wis.2d 424, 428, 503 N.W.2d 908, 910 (1993) (conclud
[¶ 12.] As with the cases from other jurisdictions, our decision is controlled by our own state statutes. Although the Legislature amended the abuse and neglect statutes to give certain family members standing to intervene, it did not afford the same rights in the adoption statutes. Neither do we find that the policies espoused in the DSS manual give Degens a legally protectable interest. We are sympathetic to Degens’ plight and their commendable efforts to enlist the assistance of the court in the adoption of their grandniece. Nevertheless, we cannot stretch the definition of a legally protectable interest to include an internal policy statement in an employee manual written by DSS. Adoption rights and procedures are created by the Legislature. At this point, the Legislature has only recognized the right to intervene as part of the abuse and neglect proceedings. These are policy decisions best left to the Legislature. Unfortunately, we must again decline Degens’ request to participate in proceedings involving D.M.
[¶ 13.] We hold that Degens do not have a right to intervene under
[¶ 14.] KONENKAMP, Justice, concurs.
[¶ 15.] GILBERTSON, Chief Justice and ZINTER, Justice, concur with a writing.
[¶ 16.] SABERS, Justice, dissents.
ZINTER, Justice (concurring).
[¶ 17.] I concur because, in addition to the Court‘s analysis, most courts conclude that relatives do not have a legally protectable interest in another relative‘s adoption. Lacking a legally protectable interest in their grandniece‘s adoption, Degens were not entitled to intervene as a matter of right under
[¶ 18.] As the Court notes, South Dakota‘s intervention statute is almost identical to Federal Rule of Civil Procedure 24(a)(2), which is generally construed liberally in favor of the proposed intervenor. United States v. Union Elec. Co., 64 F.3d 1152, 1158 (8th Cir.1995). Liberality, however, “does not equate with rights of indiscriminate intervention” and the rule continues to set bounds that must be observed.” 7C Charles Alan Wright, Arthur R. Miller & Mary Kay Kane, Federal Practice and Procedure § 1904 (2d ed. 1986). The rule must be followed to protect the “original parties[‘] ... interest in the prompt disposition of their controversy and the public[‘s] ... interest in efficient disposition of court business.” Id. This case demonstrates the reason for this caveat because D.M.‘s termination of parental rights and adoption proceedings, including two intervention attempts and two appeals to this Court, have now consumed four of the nine years of her life.
[¶ 19.] Under Rule 24, most jurisdictions conclude that after a child has been placed for adoption, even close relatives wishing to adopt lack the legally protectable interest necessary to intervene and
[¶ 21.] Furthermore, even if the 2005 legislation applied, it explicitly prohibited a relative‘s intervention in an adoption proceeding. Newly enacted
[¶ 22.] The Legislature‘s express prohibition regarding intervention in adoption proceedings is understandable, considering strong countervailing public policies. An Illinois court explained one such countervailing public policy:
We note also that there is a grave matter of public policy implicit in the contention of the grandparents that they have a right to intervene because they are the grandparents and are the preferred parties in an adoption case. In the absence of a statute giving the grandparents a preference (which might be unconstitutionally discriminatory) where are we to stop in allowing relatives to block a proposed adoption? Is an uncle or aunt in a less favorable position than a grandparent? Indeed, an adult cousin may have closer ties to the child than a grandparent. In many countries it is customary for a brother to adopt his deceased brother‘s children and the cases are legion in both fact and fiction, viz., David Copperfield and Tom Sawyer, of an aunt adopting a deceased sister‘s child. How can we draw the line at grandparents? Are we to subject every adoption to the hazard of being disrupted or pre-empted by an intervening relative who learns of it midway in its course? While consents cannot legally be required of such relatives, their rights to intervene might very well cause further delays and “red tape” in the adoption process and pose to prospective adopting parents and agencies the frustrating question whether to ignore such a possibility and be unpleasantly surprised half-way through the adoption, or to invite trouble by attempting to get some sort of waiver from the close relatives of the child. Nor can we overlook the possibility that such relationship might be exploited for the benefit of the relatives, disregarding the child‘s best interests. A decision which invites such unwelcome possibilities would, we think, be contrary to public policy.
The trial court found that in the absence of any allegations of unfitness on the part of the adopting parents or any question relative to the mother‘s consent or the termination of the putative father‘s rights, there was no legal basis for the petition to intervene. We agree. Petition of Benavidez, 52 Ill.App.3d 626, 630, 367 N.E.2d 971, 974-75, 10 Ill.Dec. 362, 365-66 (1977).
[¶ 24.] GILBERTSON, Chief Justice, joins this special writing.
SABERS, Justice (dissenting).
[¶ 25.] I respectfully dissent. Almost two years ago, the majority denied Degens the right to intervene in the abuse and neglect proceeding. See In re D.M., 2004 SD 34, 677 N.W.2d 578. The Legislature acted quickly to preclude such a result in the future. See 2005 SD Sess Laws ch 140, §§ 1-3 (amending
[¶ 26.] In the prior case, this Court had the opportunity to determine whether the Degens could intervene in a subsequent adoption proceeding. D.M., 2004 SD 34, ¶ 9, 677 N.W.2d at 582. It chose not to address that issue. Id. The dissent noted,
I would respectfully point out that refusing to consider whether the Degens can intervene in a subsequent adoption proceeding merely extends the “undue delay” the trial court was concerned about. Now [this] case can go back to the circuit court for consideration of the adoption, the Degens can attempt to intervene again, the court can deny intervention and the parties can once again bring this case before this court.
Id. at ¶ 21, 677 N.W.2d at 584 (Sabers, J., dissenting). Thus, had the Court either correctly decided this case in the first instance, or at least resolved the adoption issue, any further delay would have been avoided.
[¶ 27.] Now, almost two years later, the Court addresses the adoption issue and again denies Degens an opportunity to adopt their grandniece. It does so by incorrectly concluding that Degens do not have the right to intervene and by permitting DSS to ignore its internal policies. The Court also overlooks the fact that the Legislature, by amending
JUDITH K. MEIERHENRY
JUSTICE
Notes
In re Adoption of B.T., 150 Wash.2d 409, 78 P.3d 634 (2003), is inapposite because it only involved the question of standing; i.e., who could petition for adoption. The Washington court noted that “the issue before [that court was] whether grandparents [had] standing to even petition the court for the adoption of their grandchild.” Id. at 417, 78 P.3d at 638. In answering that question, the court looked “to the statutes to define standing in the adoption process.” Id. (emphasis added). Thus, In re Adoption of B.T. did not involve the right to intervene in a third party‘s adoption under Rule 24.
In Baker v. Webb, 127 S.W.3d 622 (Ky. 2004), a divided court did consider a biological relative‘s (second cousin‘s) request for intervention as a matter of right under Rule 24. Although the court found a sufficient interest, the case involved statutes and formally adopted administrative regulations that clearly provided “a preference for relative placement in adoption proceedings.” Id. at 625 (emphasis added). Thus, a legally protectable interest was provided by statute. However, as is explained hereinafter, South Dakota does not have a regulation or statute granting such a preference in adoption proceedings.
Finally, in Matter of B.C., 749 P.2d 542 (Okla. 1988), the Oklahoma Supreme Court concluded that foster parents could intervene as a matter of right because they were “in loco parentis.” Id. at 545. Under Oklahoma law, “‘in loco parentis’ means in place of a parent, and a ‘person in loco parentis’ [is] defined as one who has assumed the status and obligations of a parent without a formal adoption.” Id. (citation omitted). Therefore, the foster parents, who had cared for and treated the child as a member of their family for approximately six and a half years, were “persons in loco parentis.” Id. Their status as “persons in loco parentis” also provided them with “standing to intervene and to assert their justiciable interest in the adoption.” Id. Unlike Matter of B.C., however, D.M. has never become a member of the Degen family by residing with them for an extended period of time. Therefore, Degens did not possess in loco parentis status. On the contrary, only the foster family (who ultimately adopted D.M.) held in loco parentis status sufficient to establish a legally protectable interest under the reasoning of Matter of B.C.
