In re W.B., JR., a Person Coming Under the Juvenile Court Law. THE PEOPLE, Plaintiff and Respondent, v. W.B., JR., Defendant and Appellant.
No. S181638
Supreme Court of California
Aug. 6, 2012.
55 Cal.4th 30
Jonathan E. Demson, under appointment by the Supreme Court, for Defendant and Appellant.
Mark Radoff and Delia Parr for California Indian Legal Services as Amicus Curiae on behalf of Defendant and Appellant.
Paulino G. Duran, Public Defender (Sacramento), Arthur L. Bowie and Randi Barrat, Assistant Public Defenders, for the Office of the Public Defender for Sacramento County as Amicus Curiae on behalf of Defendant and Appellant.
Edmund G. Brown, Jr., and Kamala D. Harris, Attorneys General, Dane R. Gillette, Chief Assistant Attorney General, Gary W. Schons, Assistant Attorney General, Steven T. Oetting and Meredith S. White, Deputy Attorneys General, for Plaintiff and Respondent.
W. Scott Thorpe; and Albert C. Locher, Assistant District Attorney (Sacramento) for California District Attorneys Association as Amicus Curiae on behalf of Plaintiff and Respondent.
Jennifer B. Henning for California State Association of Counties as Amicus Curiae.
CORRIGAN, J.—Passed in 1978, the Indian Child Welfare Act (
The minor argues state legislation has expanded ICWA to delinquency proceedings under
I. BACKGROUND
The minor, W.B., Jr. (W.B.), has been the subject of several delinquency petitions. He was referred to probation in 2003 and 2006 on allegations of felony burglary and robbery, but these matters were closed for lack of evidence. Referred to diversion in November 2006 for possessing marijuana
In June 2008, another
On October 14, 2008, just two months after disposition of the robbery case, a subsequent
The probation officer reported that the county‘s interagency placement committee (CIPC) unanimously recommended that W.B. be placed in foster care. The committee believed his treatment needs, which included “anger management, victim awareness, [and] impulse control,” would be best met in
On appeal, W.B. argued the dispositional order placing him in foster care had to be reversed because the juvenile court had failed to comply with the notice requirements of ICWA. The Court of Appeal disagreed, holding notice was not required because federal law specifically excludes delinquency cases from ICWA, and any interpretation of California law that would expand ICWA‘s application to delinquencies would be invalid under federal preemption principles. We granted review.
II. DISCUSSION
A. Overview of California‘s Juvenile Court Law
In California, the juvenile court‘s jurisdiction over a minor can be invoked in two ways: (1) by a dependency petition (
Allegations that a minor refuses to obey orders of a parent or guardian, is beyond parental control, violates age-based curfew ordinances, or is truant or disobedient in school, must be brought in a petition filed under
In the broadest sense, adjudications under
In the course of our discussion, we will occasionally refer to a minor‘s “criminal conduct” as a shorthand to differentiate behavior that would constitute a crime if committed by an adult from status offenses, which are punishable only because of the minor‘s age. However, in juvenile court, a minor is not designated as a “defendant,” nor accused of a “crime,” even though the allegation would describe a crime in adult court. (
1. Foster Care Placements in Delinquency Proceedings
A temporary or permanent foster care placement typically arises in the context of juvenile dependency proceedings, in which the court determines whether a child‘s home is unfit. If allegations of parental abuse or neglect are substantiated, the court assumes jurisdiction and removes the child from the family home for the child‘s own well-being. Such a child is adjudged to be a “dependent” of the court. (
Although the great majority of children enter foster care through the dependency process, a child may also enter foster care in a delinquency placement.4 Foster care placement is one of several dispositional options available to the delinquency court. If the allegations of a
While a delinquent ward may be allowed to remain at home, the grounds for removing a ward from parental custody are established by statute. Removal is warranted only if the court finds: (1) the parent has not or cannot provide “proper maintenance, training, and education” for the child; (2) previous attempts at in-home probation have failed to reform the child; or (3) the child‘s welfare requires that custody be taken from the parent. (
If a delinquent ward is removed from parental custody, even temporarily, reunification services must usually be provided to address the minor‘s needs and facilitate a safe return to the family home. (
Every six months, the court must review the status of a ward removed to foster care. (
2. “Dual Status” Minors
Delinquency courts follow a system parallel to that used in dependency courts for removing a child from the family home. The dependency and delinquency systems serve overlapping but slightly different aims, however. Whereas the dependency system is geared toward protection of a child victimized by parental abuse or neglect, the delinquency system enforces accountability for the child‘s own wrongdoing, both to rehabilitate the child and to protect the public. (
Although California juvenile courts address the needs of dependent and delinquent minors differently, some minors who come before the court seem to fall under both systems. Sociological research has demonstrated a strong link between childhood abuse or neglect and later delinquent behavior. (See, e.g., Judicial Council of Cal., Fact Sheet, Intersection Between Juvenile Dependency and Delinquency: Available Research (June 2005) pp. 2–4 <http://www.courts.ca.gov/documents/Ab129-FactSheetMay05.pdf> [as of Aug. 6, 2012].) Research reveals that dependent children violate criminal laws at a significantly higher rate than children who have not been the subject of dependency petitions. (Note & Comment, Dependents Who Become Delinquents: Implementing Dual Jurisdiction in California under Assembly Bill 129 (2006) 5 Whittier J. Child & Fam. Advocacy 507, 511–512.) In general, however, California law prohibits a minor from simultaneously being declared a dependent child and a delinquent ward.
In 1989, in response to a Court of Appeal decision that outlined several potential problems with allowing concurrent delinquency and dependency jurisdiction over a minor (In re Donald S. (1988) 206 Cal.App.3d 134), the Legislature added
In 2004, the Legislature created a small exception to the ban on dual jurisdiction.
Few California counties have adopted these joint protocols, however. Currently, eight years after the enactment of
B. Federal Law Regarding Placement of Indian Children
In the juvenile dependency system, children are removed from the family home not as punishment for their own misconduct, but because conditions in the home subject them to abuse or neglect. Additional procedures are required if a child is of Indian heritage. Congress has determined that, as a matter of federal policy, protective steps must be taken before an Indian child may be removed. In 1978, these protections were codified in ICWA. (
1. ICWA Requirements
ICWA is a federal law giving Indian tribes concurrent jurisdiction over state court child custody proceedings that involve Indian children living off of a reservation. (
When applicable, ICWA imposes three types of requirements: notice, procedural rules, and enforcement. (See In re S.B. (2005) 130 Cal.App.4th 1148, 1156–1157.) First, if the court knows or has reason to know that an ” ‘Indian child’ ” is involved in a ” ‘child custody proceeding,’ ” as those terms are defined in the Act (
Next, after notice has been given, the child‘s tribe has “a right to intervene at any point in the proceeding.” (
Finally, an enforcement provision offers recourse if an Indian child has been removed from parental custody in violation of ICWA. Upon a petition from the parent or the child‘s tribe to “any court of competent jurisdiction,” a foster care placement or termination of parental rights will be invalidated if the action was conducted in violation of ICWA. (
2. ICWA Definitions
ICWA is quite precise in setting out the scope of its provisions. It applies to any ” ‘child custody proceeding’ ” involving an ” ‘Indian child.’ ” (
Congressional intent to preclude the application of ICWA in most state juvenile delinquency proceedings is also evident from collateral materials. For example, a letter from the assistant secretary of the United States Department of the Interior to the sponsor of the bill that enacted ICWA,8 stressed that limitations on the Act‘s scope were “crucial to the carrying out” of its provisions. (H.R.Rep. No. 1386-95, 2d Sess., p. 31 (1978).) The Interior Department believed “delinquency proceedings where the act committed would be a crime if committed by an adult should be excepted from the definition” of placements to which ICWA applied, because the “standards and preferences” of ICWA “have no relevance in the context of a delinquency proceeding.” (H.R.Rep. No. 1386-95, 2d Sess., p. 31 (1978).)
Federal guidelines published by the BIA to guide state courts in implementing ICWA also state that “most juvenile delinquency proceedings are not covered by the Act . . .” (U.S. Dept. of the Interior, Bureau of Indian Affairs, Guidelines for State Courts; Indian Child Custody Proceedings, 44 Fed.Reg. 67584, 67587 (Nov. 26, 1979) (BIA Guidelines).)9 However, according to the BIA Guidelines, “the Act does apply to status offenses, such as truancy and incorrigibility, which can only be committed by children, and to any juvenile delinquency proceeding that results in the termination of a parental relationship.” (BIA Guidelines, 44 Fed.Reg. 67587.) Commentary to this guideline explains why Congress excluded most delinquency placements from ICWA‘s requirements: “The entire legislative history makes it clear that the Act is directed primarily at attempts to place someone other than the parent or Indian custodian in charge of raising an Indian child—whether on a permanent or temporary basis. Although there is some overlap, juvenile delinquency proceedings are primarily designed for other purposes. Where the child is taken out of the home for committing a crime it is usually to protect society from further offenses by the child and to punish the child in order to persuade that child and others not to commit other offenses.” (Id., 44 Fed.Reg. 67587.)
In summary, ICWA grants the parents and custodians of Indian children, as well as the child‘s tribe, several procedural and substantive rights in “child custody proceedings.” As defined in the Act, these proceedings include all foster care or adoptive placements of Indian children except placements made in the context of most juvenile delinquency proceedings and parental custody awards in divorce proceedings. (
C. California‘s Implementation of ICWA
1. Background
After Congress enacted ICWA, the states adopted procedures to implement it. For many years, the only guidance for California‘s juvenile courts in applying ICWA came from a California Rule of Court.10 Former Rule 1360, and then former Rule 1439, incorporated most of ICWA‘s definitions and established substantially identical requirements for the placement of Indian children outside the home. (See In re Santos Y., supra, 92 Cal.App.4th at pp. 1301-1303.) The rule‘s application was expressly limited to juvenile dependency proceedings. (Former Rule 1439(b) [“This rule applies to all proceedings under section 300 et seq. . .“].) However, in 2005 the Judicial Council expanded the rule to cover all delinquency proceedings when the child is at risk of entering foster care or is in foster care. (R.R. v. Superior Court, supra, 180 Cal.App.4th at p. 199.) These amendments survive in the current version of the rule. (Rule 5.480.)11
2. California‘s Statutory Scheme
ICWA‘s many procedural requirements for juvenile dependency and delinquency cases are found in sections 224 through 224.6. We examine these statutes to determine whether, and to what extent, the Legislature extended requirements of the federal Act to delinquency proceedings in California.
Established principles of statutory construction apply. Our goal is to determine the Legislature‘s intent and adopt a construction that best effectuates the purpose of the law. (Miklosy v. Regents of University of California (2008) 44 Cal.4th 876, 888 [80 Cal.Rptr.3d 690, 188 P.3d 629]; In re J. W. (2002) 29 Cal.4th 200, 209 [126 Cal.Rptr.2d 897, 57 P.3d 363].) We begin with the statutory language because it generally provides the most reliable indication of legislative intent. (City of Burbank v. State Water Resources Control Bd. (2005) 35 Cal.4th 613, 625 [26 Cal.Rptr.3d 304, 108 P.3d 862]; People v. Gardeley (1996) 14 Cal.4th 605, 621 [59 Cal.Rptr.2d 356, 927 P.2d 713].) “‘If the statutory language is unambiguous, we presume the Legislature meant what it said, and the plain meaning of the statute controls. [Citation.]’ [Citation.] We consider extrinsic aids, such as legislative history, only if the statutory language is reasonably subject to multiple interpretations.” (Miklosy v. Regents of University of California, at p. 888.)
a. Statutory Language
Section 224.3 defines when and how the juvenile court must inquire about a child‘s possible Indian ancestry. Section 224.3, subdivision (a) states: et seq. in which the child is at risk of entering foster care or is in foster care . . . .” (Italics added.) The only exception is for “voluntary foster care and guardianship placements where the child can be returned to the parent or Indian custodian on demand.” (Rule 5.480.) As we will discuss (post, fn. 17), this rule is overbroad.
“The court, county welfare department, and the probation department have an affirmative and continuing duty to inquire whether a child for whom a petition under Section 300, 601, or 602 is to be, or has been, filed is or may be an Indian child in all dependency proceedings and in any juvenile wardship proceedings if the child is at risk of entering foster care or is in foster care.” (Italics added.)
This language is clear. It creates an obligation for the juvenile court, the county welfare department, and the probation department to inquire about the child‘s Indian status in all dependency proceedings and in any delinquency case involving a child who is already in foster care or who appears to be at risk of entering foster care. “At risk of entering foster care” is a term specifically defined. It “means that conditions within a minor‘s family may necessitate his or her entry into foster care unless those conditions are resolved.” (
Once the court has learned that a child under its jurisdiction may have Indian ancestry, the next step ICWA typically requires is notice to the tribe or, if no tribe is identified, to the BIA. (
“Indian child custody proceeding” is a term of art. Section 224.1, subdivision (d) states, in part: “‘Indian child custody proceeding’ means a ‘child custody proceeding’ within the meaning of Section 1903 of the Indian Child Welfare Act, including a proceeding for temporary or long-term foster care or guardianship placement, termination of parental rights, preadoptive placement after termination of parental rights, or adoptive placement.” California‘s definition of the child custody proceedings to which ICWA applies thus incorporates, and is coextensive with, the definition in the federal Act.13 As noted, the definition of “child custody proceeding” in title 25 United States Code section 1903 expressly excludes delinquency proceedings based on an act that would be criminal if committed by an adult.
Section 224.3, subdivision (a) is the only provision in California‘s ICWA legislation that expressly applies to juvenile delinquency proceedings. (See R.R. v. Superior Court, supra, 180 Cal.App.4th at p. 200.) All of the other statutes, including the two notice statutes just discussed, extend the rights and protections of ICWA to participants in “an Indian child custody proceeding.” (E.g.,
The relevant statutory language indicates that, although the Legislature created a duty of inquiry in all cases involving a potential foster care
In sum, from the language of the statutes, we distill the following. In all juvenile delinquency proceedings, including those alleging adult criminal conduct, the court and the probation department have a duty to inquire about Indian status as soon as they determine that the child is in foster care or is at risk of entering foster care due to conditions in the child‘s home. (
b. Legislative History
Legislative history also supports this interpretation. The primary purpose of Senate Bill No. 678 was to encourage full compliance with ICWA by codifying its requirements into state law. (Sen. Judiciary Com., Analysis of Sen. Bill No. 678 (2005-2006 Reg. Sess.) as amended Aug. 22, 2005, pp. 1, 6; Sen. Appropriations Com., Analysis of Sen. Bill No. 678 (2005-2006 Reg. Sess.) as amended Aug. 22, 2005, p. 1; Assem. Com. on Judiciary, Analysis of Sen. Bill No. 678 (2005-2006 Reg. Sess.) as amended June 14, 2006, p. 6.) To a large extent, the bill simply reorganized and supplemented existing provisions of the Family, Probate, and Welfare and Institutions Codes to
If our Legislature had intended to extend ICWA‘s protections to a whole new realm of juvenile delinquency cases otherwise exempted under the federal law, one would expect evidence of this intent to feature prominently in the legislative history. Yet, no mention of such a purpose appears. Legislative committee analyses consistently state that Senate Bill No. 678 “clarifies which proceedings, under California law, are Indian child custody proceedings” and thus “subject to ICWA.” (Sen. Judiciary Com., Analysis of Sen. Bill No. 678 (2005-2006 Reg. Sess.) as amended Aug. 22, 2005, p. 12, italics added, underscoring omitted.) The committee reports say nothing about extending ICWA to delinquency placements based on criminal acts. Although the bill‘s sponsor mentioned delinquency at an informational hearing before the Senate Judiciary Committee, she stated only that Senate Bill No. 678 sought “to clarify what ICWA requires in juvenile court and of the county agencies in delinquency cases.” (Sen. Judiciary Com., Transcript of Informational Hearing, “The Indian Child Welfare Act and Related Compliance Problems” (May 17, 2005) p. 4 [testimony of Sen. Denise Moreno Ducheny].)
A Court of Appeal case decided while the Legislature was actively considering Senate Bill No. 678 also supports the conclusion that the Legislature did not intend to extend ICWA to delinquency placements based on criminal conduct. In In re Enrique O., supra, 137 Cal.App.4th at page 732, a minor who had committed a sexual battery was placed in a group home based on the aggressive nature of his offense, his “home situation,” and the probation officer‘s belief that aggressive sexual misconduct required inpatient counseling. On appeal, the minor challenged the lack of ICWA notice. He asserted the 2005 amendments to former Rule 1439, which mandated notice in all section 601 and 602 proceedings in which the child is in or at risk of entering foster care, trumped the long-standing rule that ICWA does not apply in delinquency proceedings. (In re Enrique O., at p. 733.) Despite the juvenile court‘s concern about the general well-being of the
The Enrique O. decision was published while the Legislature was considering Senate Bill No. 678.16 Because the Legislature is presumed to know about existing case law when it enacts or amends a statute (People v. Overstreet (1986) 42 Cal.3d 891, 897 [231 Cal.Rptr. 213, 726 P.2d 1288]), we assume the Legislature was aware of Enrique O.‘s holding that former Rule 1439 was inconsistent with federal law and invalid to the extent it would expand ICWA to delinquency placements based on acts that would be criminal if committed by an adult. The Legislature did not signal an intent to supersede this holding. In fact, it specifically adopted and incorporated the federal definition of “child custody proceedings” that is the origin of the delinquency exemption. (
3. Application of ICWA in Delinquency Cases
We have determined that California‘s ICWA statutes require the following: In all juvenile court proceedings, both dependency and delinquency, the court, social worker, or probation officer must inquire about the child‘s Indian status whenever the child is in foster care or conditions in the child‘s family may potentially require a foster care placement. (
Different types of juvenile court cases in California therefore require different levels of ICWA compliance. It is undisputed that all dependency proceedings must be conducted in compliance with ICWA. (See, e.g., Dwayne P. v. Superior Court (2002) 103 Cal.App.4th 247, 253 [126 Cal.Rptr.2d 639] [“The ICWA confers on tribes the right to intervene at any point in state court dependency proceedings.“].) Delinquency proceedings brought under section 601 also fall within the purview of ICWA because they are based on conduct that would not be criminal if committed by an adult. However, ICWA procedures would be required only in the narrow instance in which a section 601 ward is temporarily or permanently removed from the family home. (See
Whether ICWA applies in a delinquency case brought under section 602 depends, first, on the type of offense alleged in the petition. If the section 602 petition alleges only that the minor committed a status offense (see ante, at pp. 42-43), ICWA compliance is required before the minor can be placed outside the home. Like placements under section 601 for truancy or incorrigibility, placements under section 602 based on the minor‘s commission of a status offense are subject to ICWA because they are not based on criminal conduct. However, if the section 602 petition alleges the minor committed an act that would be a crime if committed by an adult, the proceedings are generally exempt from ICWA. ICWA procedures are ordinarily not required in such proceedings because the placement of a delinquent ward outside the home will almost always be based, at least in part, on the ward‘s criminal conduct.
Under our interpretation of the relevant statutes, ICWA compliance is required in these rare section 602 cases that proceed to a termination of parental rights or that result in a foster care placement motivated solely by concerns about parental abuse or neglect. If the court sets a permanency planning hearing to terminate parental rights over a delinquent ward, or if the court contemplates ordering a delinquent ward placed in foster care and announces on the record that the placement is based entirely on parental abuse or neglect and not on the ward‘s offense, notice must be sent to the relevant tribes and all other ICWA procedures must be followed. In all other section 602 cases, it will be presumed that a placement outside the home is based upon the minor‘s criminal offense and thus not subject to ICWA.
A hybrid situation is presented in “dual status” cases. In counties with approved joint protocols, the juvenile court may exercise both dependency and delinquency jurisdiction over a minor who is designated a “dual status child.” (
D. Application to the Present Case
The minor in this case came before the juvenile court on a section 602 petition alleging he had committed residential burglary, conduct that would be a crime if committed by an adult. The court found the allegation true and ordered him placed in a suitable public or private facility but returned to his mother‘s custody upon successful completion of the placement. No termination of parental rights was contemplated. On the contrary, the probation department reported that the minor had previously been making progress at home in addressing his problems with anger and impulsiveness. The department recommended a placement outside the home not because of abuse or neglect, but because the minor had continued to commit criminal acts and presented a risk to the safety of the community.
This was a straightforward juvenile delinquency case. W.B. had committed a string of serious crimes and was ordered to spend time in a controlled setting where he could receive treatment designed to rehabilitate his delinquent behavior. W.B. was not designated a “dual status” minor. The court ordered that he be returned home after a defined period of time, and he was in fact returned home. For the reasons discussed, ICWA does not apply to delinquency placements such as this, which are based on the minor‘s criminal acts and which do not contemplate an eventual termination of parental rights. Accordingly, assuming the minor was an Indian child, the juvenile court did not err in failing to give notice under ICWA.
DISPOSITION
The judgment of the Court of Appeal is affirmed.
Cantil-Sakauye, C. J., Kennard, J., Baxter, J., Werdegar, J., Chin, J., and Liu, J., concurred.
Appellant‘s petition for a rehearing was denied September 26, 2012, and the opinion was modified to read as printed above.
