Lead Opinion
OPINION
Paul Leendertz, father of the minor child at issue in this proceeding, appeals the District Court’s grant of a petition filed by the mother, Marina Karpenko, for the child’s return under the Hague Convention on the Civil Aspects of International Child Abduction. For the following reasons, we will affirm the grant of Kar-penko’s petition and order the minor child’s immediate return to her mother in the Netherlands.
I. Background
This action follows a long, bitter dispute between Leendertz and Karpenko over custody of their minor child, E.L., born in Pennsylvania in 2001. Leendertz and Kar-penko were married at the time of E.L.’s birth, but separated in 2002 and officially divorced in 2007. In September 2002, the Pennsylvania Court of Common Pleas issued an order incorporating a Custody Stipulation executed by the parties which provided that (1) Karpenko would obtain primary physical custody and live with E.L. in the Ukraine, Karpenko’s native country; and (2) Leendertz would have regular visitation rights to be arranged in the Ukraine, the Netherlands, or the United States. Leendertz has family in the Netherlands and, as a commercial pilot, is able to visit the Netherlands.
Karpenko initially moved with E.L. to the Ukraine, but at Leendertz’s request, she relocated to Ede, Netherlands. E.L. arrived in the Netherlands at age two and began attending Dutch public school at age four. E.L. has numerous Dutch friends and socializes with Karpenko’s relatives in the Netherlands. E.L. learned Dutch as her primary language and became immersed in Dutch culture.
Although Karpenko’s relocation from the Ukraine to the Netherlands was ostensibly to accommodate Leendertz, Karpen-ko refused to allow full visitation in accordance with the court-ordered Custody Stipulation. In 2007, following further deterioration of relations, Karpenko moved to a new location in Ede, Netherlands, and refused to provide Leendertz with her address or phone number. In 2008, both parties filed petitions for sole physical and legal custody: she in the Dutch District Court of Arnhem, he in the Pennsylvania Court of Common Pleas. The Dutch court stayed Karpenko’s petition pending a decision by the Pennsylvania court.
By Order of May 20, 2009, the Pennsylvania Court of Common Pleas granted sole custody of E.L. to Leendertz. That order purports to (1) transfer sole legal and primary physical custody to Leendertz; (2) grant Leendertz “sole authority to apply for and obtain a United States passport for the minor child without Mother’s consent or authorization and without any further notice to Mother;” (3) grant Leendertz authority to “obtain custody of the child at any place that she may be found, whether in the United States or any other country” without any further proceedings; (4) grant
In the Netherlands, a foreign order is not enforceable until domesticated by a Dutch court. Dutch Civil Code, Title 9, Article 985, et seq. However, rather than reducing the May 20, 2009, Order to a domestic judgment under Dutch law, Leendertz arranged to seize E.L. in the Netherlands and return with her to Pennsylvania without notice to Karpenko or the Dutch court presiding over the custody proceeding there. On May 27, 2009, Leen-dertz located E.L. on the sidewalk outside her school in the Netherlands. With the help of an unidentified third party, Leen-dertz placed E.L. in a car and drove her to Germany, where they flew to Dubai and ultimately the United States. Dutch authorities issued an Amber Alert within minutes of E.L.’s removal. By Order of May 29, 2009, a Dutch court ruled that (1) at the time of E.L.’s removal, Karpenko and Leendertz had joint custody under Dutch law; (2) Leendertz acted unlawfully by removing the child without Karpenko’s permission; and (3) Leendertz shall immediately return E.L. to Karpenko. Leen-dertz refused to comply with the Dutch Order and currently resides with his new wife and E.L. in Northampton, Pennsylvania.
On July 20, 2009, Karpenko filed the instant petition for return of E.L. under the Convention on the Civil Aspects of International Child Abduction, done at The Hague on October 25, 1980, T.I.A.S. No. 11,670 at 1, 22514 U.N.T.S. at 98, reprinted, in 51 Fed.Reg. 10, 494 (1986) (Hague Convention), as codified by the International Child Abduction Remedies Act, 42 U.S.C. § 11601, et seq. (ICARA). Karpenko claims she is entitled to the immediate return of her daughter because Leendertz wrongfully removed her from the Netherlands to the United States.
The District Court for the Eastern District of Pennsylvania granted Karpenko’s petition for E.L.’s return on March 3, 2010. To avoid potentially relocating E.L. multiple times during the pendency of this proceeding, however, the District Court stayed enforcement of its Order pending appeal. Leendertz appeals the District Court’s grant of Karpenko’s Hague Convention petition. Karpenko cross-appeals the District Court’s entry of the stay.
II. Jurisdiction and Standard of Review
The District Court properly exercised jurisdiction under 42 U.S.C. § 11603(a), which confers United States district courts with original jurisdiction over actions arising under the Convention.
We review the District Court’s factual findings for clear error. Factual
III. Discussion
The Hague Convention, Article 1, sets forth its two primary objectives: “(a) to secure the prompt return of children wrongfully removed to or retained in any Contracting State; and (b) to ensure that rights of custody and of access under the law of one Contracting State are effectively respected in the other Contracting States.” The Hague Convention does not provide a forum to resolve international custody disputes, but rather it provides a legal process “to restore the status quo prior to any wrongful removal or retention, and to deter parents from engaging in international forum shopping in custody cases.” Yang,
Under the Hague Convention, the petitioner bears the initial burden of proving by preponderance of the evidence that the child was habitually resident in a State signatory to the Convention and was wrongfully removed to a different State as defined by Article 3.
A court must determine (1) when the removal or retention took place; (2) the child’s habitual residence immediately prior to such removal or retention; (3) whether the removal or retention breached the petitioner’s custody rights under the law of the child’s habitual residence; and (4) whether the petitioner was exercising his or her custody rights at the time of removal or retention.
The District Court held an evidentiary hearing, after which it issued the following
Leendertz argues that the District Court’s factual findings are clearly erroneous. We disagree. Leendertz’s claims of error do not leave us with a firm conviction that any of the factual findings are mistaken. For example, Leendertz argues that the District Court failed to consider the parties’ settled parental intent regarding the child’s location in its analysis of habitual residence. As “critical” evidence of settled parental intent that E.L. would reside in the United States, Leendertz relies on a February 28, 2002, custody agreement which purports to stipulate E.L.’s habitual residence to be the United States. Even assuming it were possible for parents to contractually stipulate a child’s habitual residence, Leendertz’s reliance on the February 28, 2002, agreement is misplaced. That stipulation was vacated when the Pennsylvania court adopted the parties’ subsequently executed Custody Stipulation on September 19, 2002. The September 19, 2002, Custody Stipulation states that E.L. would reside in the Ukraine.
In another claim of purported error, Leendertz argues the District Court disregarded evidence that his conduct complied with Dutch and American law “[a]t all times,” and therefore he did not breach Karpenko’s custody rights by removing E.L. from the Netherlands. Leendertz contends he was legally entitled to rely on the Pennsylvania court’s May 20, 2009, Order when he seized E.L. outside her school in the Netherlands. However, that Order purports to exercise power authorizing conduct by Leendertz on foreign soil— in particular, a “snatch and grab,” as accurately characterized by the District Court. A Pennsylvania state court lacks jurisdiction to authorize such conduct; therefore, the Pennsylvania court’s May 20, 2009, Order was a nullity in the Netherlands until domesticated by a Dutch court. On May 29, 2009, a Dutch court ruled that Leendertz acted unlawfully by removing the child without Karpenko’s permission. These facts support the District Court’s finding that Leendertz breached Karpenko’s custody rights.
At oral argument, a member of this panel posed a novel question which was not raised or briefed by the parties or considered by the District Court: Should this Court exercise its equitable power to deny relief under the Hague Convention because Karpenko filed this petition with unclean hands? The doctrine of unclean hands, named for the equitable maxim that “he who comes into equity must come with clean hands,” “is a self-imposed ordinance that closes the doors of a court of equity to one tainted with inequitableness or bad faith relative to the matter in which he seeks relief, however improper may have been the behavior of the defendant.” Precision Instrument Mfg. Co. v. Auto. Maint. Mach. Co.,
Karpenko’s conduct in the Netherlands was decidedly not commendable; it was wrong for her to interfere with Leendertz’s visitation rights and to refuse to disclose the child’s new address after relocating. But we are not aware of any authority that would support dismissal of a Hague Convention petition on grounds of unclean hands.
We conclude that application of the unclean hands doctrine would undermine the Hague Convention’s goal of protecting the well-being of the child, of restoring the status quo before the child’s abduction, and of ensuring “that rights of custody and of access under the law of one Contracting State are effectively respected in the other Contracting States.” Hague Convention, art. 1(b).
Furthermore, wrongful removal of a child is most likely to occur when strained relations between parents are at their worst. As part of the irresponsible behavior that may accompany such strained relations, one or both parents may interfere with the other’s custody rights. The
As we have mentioned, a petitioner’s prior conduct may be relevant to determining whether relief should be granted, but such conduct does not destroy eligibility to file a claim under the Hague Convention. Once a petition is filed, the court will consider the petitioner’s prior conduct in the context of the respondent’s affirmative defenses, such as an assertion that returning the child would pose a grave risk of harm. The affirmative defenses allow consideration of those aspects of the petitioner’s conduct which directly relate to the child’s wellbeing. Here, Leendertz did raise the affirmative defense of physical or psychological harm to the child. The District Court found for Karpenko on this issue. In addition, any irresponsible conduct by either party will be a consideration by the proper court in future custody proceedings.
Moreover, when considered against the facts of this case, we can see how inappropriate the doctrine of unclean hands would be because Leendertz engaged in precisely the type of conduct that the Hague Convention was designed to deter. Leendertz brazenly violated Dutch law when he snatched his daughter from school and ran with her from Germany to Dubai to the United States. Dutch authorities responded by issuing an Amber Alert, much the way American authorities would respond if such illegal conduct were to be committed in the United States.
If Leendertz had simply followed the procedures under Dutch law to domesticate the Pennsylvania court’s May 20, 2009, Order, the Dutch court would have had the opportunity to consider this claim of custody. In 2008, when the parties filed separate custody petitions in the United States and the Netherlands, the Dutch court stayed Karpenko’s custody proceeding pending a ruling by the Pennsylvania court rather than granting Karpenko custody in Leendertz’s absence. The Dutch court’s handling of the case demonstrates its willingness to consider Leendertz’s interests and the Pennsylvania court’s decision. By resorting to self-help, Leendertz foreclosed an opportunity to perfect a claim to custody. We conclude that the doctrine of unclean hands does not bar Karpenko’s pursuit of statutory remedies under the Hague Convention to restore the status quo before E.L.’s abduction.
IV. Conclusion
For the above stated reasons, we will affirm the District Court’s Order, granting Karpenko’s petition under the Hague Convention, lift the stay of enforcement of that Order so that E.L. may be returned to the Netherlands immediately, and dismiss Karpenko’s cross-appeal of the stay as moot.
Notes
. The District Court properly rejected Leen-dertz’s arguments for abstention under Younger v. Harris,
. Article 3 of the Convention provides:
The removal or the retention of a child is to be considered wrongful where—
a. it is in breach of rights of custody attributed to a person, an institution or any other body, either jointly or alone, under the law of the State in which the child was habitually resident immediately before the removal or retention; and
b. at the time of removal or retention those rights were actually exercised, either jointly or alone, or would have been so exercised but for the removal or retention.
. The affirmative defenses require the respondent to prove (l)that a grave risk that the child's return would expose him or her to physical or psychological harm or otherwise place the child in an intolerable situation by clear and convincing evidence; (2) that the child’s return would not be permitted by the fundamental principles of the requested State relating to the protection of human rights and fundamental freedoms by clear and convincing evidence; (3) that the child is now settled in his or her new environment by preponderance of the evidence; (4) that the person from whom the child was removed was not exercising custody rights at the time of removal or retention, or had consented to or subsequently acquiesced in the removal or retention by preponderance of the evidence; or (5) that the child objects to being returned and has attained an age and degree of maturity at which it is appropriate to take account of its views by preponderance of the evidence. 42 U.S.C. § 11603(e)(2).
. The District Court explained its holding on habitual residence as follows:
The child moved with the Mother to the Netherlands when she was only two years old. The child has lived in the Netherlands with the Mother for the past six years. At the time she was removed, the child was attending school in the Netherlands where she has numerous friends. Her primary language is Dutch and she was fully involved in all aspects of daily and cultural life in the Netherlands. There can be no doubt that the Netherlands, not the United States, is the place where she has been physically present from the age of two until she was removed at the age of eight and which held a degree of settled purpose from the child’s perspective.
. Our sister court has exercised inherent equitable power to deny relief in the analogous but distinct context of fugitive disentitlement, which “limits access to courts in the United States by a fugitive who has fled a criminal conviction in a court in the United States,” Prevot v. Prevot,
Dissenting Opinion
dissenting.
My colleagues conclude that the Hague Convention and the International Child Abduction Remedies Act (ICARA), 42 U.S.C. §§ 11601-11610, divest this Court of its elemental power to deny relief to a litigant with “unclean hands” relative to the equitable remedy sought. I disagree, as I cannot accept that the Convention sub silentio undermines our power — and indeed, our obligation — to deny equitable re
I.
Both the Hague Convention and its available remedy — the return of a child— are equitable in nature. See Hazbun Escaf v. Rodriquez,
Although the doctrine of unclean hands is frequently interposed as an equitable defense, we may raise the doctrine sua sponte, see Highmark,
the equitable doctrine of unclean hands is not a matter of defense to the defendant. Rather, in applying it[,] courts are concerned primarily with their own integrity, and with avoiding becoming the abettor of iniquity.
Ne. Women’s Ctr., Inc. v. McMonagle,
Contrary to the majority’s conclusion, the doctrine of unclean hands is fully applicable to litigation under the Hague Convention. Although the majority is correct that the unclean-hands doctrine is not among the Convention’s enumerated exceptions, I presume that “Congress is knowledgeable about existing law pertinent to the legislation it enacts,” Goodyear
The majority is mistaken in assuming that Hague litigation is immune from traditional equitable doctrines. In Journe v. Journe,
Courts have similarly invoked their equitable powers to deny Hague relief under the fugitive disentitlement doctrine. In Prevot v. Prevot,
The majority finds the unclean-hands doctrine inapplicable in Hague litigation because it “would undermine the Hague Convention’s goal of protecting the well-being of the child, of restoring the status quo before the child’s abduction, and of ensuring ‘that rights of custody and of access under the law of one Contracting State are effectively respected in the other Contracting States.’ ” Maj. Op. at 265 (quoting Hague Convention, art. 1(b)). But that argument proves too much. When we apply equitable doctrines to deny a remedy to which a claimant is otherwise entitled, we necessarily subordinate the substantive law to our Court’s obligation to defend our jurisprudential reputation and integrity. Cases under the Hague Convention have been no exception. Thus, when courts have applied the fugitive dis-entitlement doctrine to Hague matters, they have subordinated Hague policies to deter “abuses of American criminal process,” Prevot,
The majority states that “fugitive disen-titlement does not apply to Karpenko’s conduct here,” Maj. Op. at 265 n. 5, but offers no justification for distinguishing between the equitable doctrines of fugitive disentitlement and unclean hands. I readily concede that the unclean-hands doctrine is inapplicable to some categories of lawsuits, as when litigants represent the public interest, e.g., Perma Life Mufflers v. Int’l Parts Corp.,
The majority contends finally that, even if the Hague Convention is subject to the doctrine of unclean hands, it inappropriate in this case because “Leendertz engaged in precisely the type of conduct that the Hague Convention was designed to deter.” Maj. Op. at 266. As a factual matter, I disagree. The majority acknowledges, but downplays, the fact that Leendertz removed his daughter to the United States in reliance on an order from a Pennsylvania court that purported to authorize him to “obtain custody of the child at any place that she may be found, [including “at her school,”] whether in the United States or any other country.” App. 445-447. Significantly, it additionally specified that “[n]o further proceedings or any further orders shall be required for Father to obtain custody of the child.” App. 445-447. Although the Pennsylvania court may have lacked the authority to enter an order with such a huge sweep, that order doubtless made this case of unlawful removal an exceptional one. Here, Leen-dertz did not eschew legitimate legal processes for self-help; he did not remove his child to the United States because he was unwilling or unable to obtain judicial relief. Indeed, given Leendertz’s multi-year effort to gain access to his daughter through the court system, I doubt he would have removed the child to the United States but-for the Pennsylvania court’s order purporting to authorize his actions. I am aware of no other case in which a Hague respondent effected an unlawful removal that was purportedly authorized by an American court. Under these circumstances, I conclude that Leendertz’s conduct was qualitatively different from that
In sum, I would hold that the doctrine of unclean hands is fully applicable in Hague Convention cases, as “[p]ublic policy ... makes it obligatory for courts to deny a plaintiff relief once his ‘unclean hands’ are established.” Gaudiosi,
II.
The equitable doctrine of unclean hands applies when a party seeking relief has committed an “unconscionable” act that is “immediately related to the equity the party seeks in respect to the litigation.” Highmark,
In September 2002, Leendertz and Kar-penko entered a stipulation in which they agreed that Karpenko would have primary physical custody of the child in the Ukraine, subject to Leendertz’s right to visit the child four times per year, for a total of thirteen weeks. Karpenko v. Leendertz, No. 09-03207,
Since 2006, Karpenko has unconscionably denied Leendertz all access to the child, in complete violation of the parties’ 2002 agreement and the laws of both the United States and Holland. See id. at *2. Additionally, when Karpenko moved with the child to a new address in the Netherlands in 2007, she did not provide Leen-dertz with her new address or telephone number. Id. In numerous telephone messages, Karpenko has threatened Leendertz that he will never see E.L. again and has warned him that, if he tries to see her, Karpenko will change the child’s name and get her a new passport. Id. Other evidence indicated that Karpenko maligned Leendertz and denied the child access even to Leendertz’s relatives in the Netherlands. See App. 455. In my view this conduct is malicious and unconscionable; it goes far beyond a simple “interfere[nce] with [Leendertz’s] custody rights.” Maj. Op. at 265.
Karpenko also behaved unconscionably in disregarding the custody orders of Pennsylvania courts and manipulating those courts to her advantage. Not insignificantly, Karpenko first obtained the right to leave the United States with E.L. via the September 2002 order of the Pennsylvania Court of Common Pleas. See Karpenko,
When the District Court granted Kar-penko’s Petition for Return of Child, she very nearly succeeded in making the federal court system an “abettor” of her inequitable conduct. See Ne. Women’s Ctr.,
Karpenko’s petition under the Hague Convention is but her latest effort to make American courts the instrumentalities of her inequitable conduct. In my view, we are duty-bound to deny Karpenko all equitable relief in view of her unconscionable and fraudulent conduct — her manipulation of the American legal process, her defiance of court orders, and her unrelenting iniquity toward Leendertz. It is plain that Kar-penko seeks equity in this Court after she “gained an advantage” by “act[ing] fraudu
. See also, e.g., Bell v. Aerodex, Inc.,
. See also Prevot v. Prevot,
. See March v. Levine,
. Through the ages, great writers and dramatists have sounded the call for the intervention of relief now reflected by modern day equity
