|
(Cite
as: 14 Neb.App. 453)
Court
of Appeals of Nebraska.
In
re Interest of ENRIQUE P. et al., children under 18
years of age.
State
of Nebraska, appellee,
v.
Shannon
P., appellant,
andOmaha
Tribe of Nebraska, intervenor-appellee.
No.
A-05-606.
Jan.
31, 2006.
**678
Syllabus
by the Court
1.
Constitutional
Law: Appeal
and Error.
A
constitutional issue not presented to or passed upon by the
trial court is not appropriate for consideration on appeal.
*454
2.
Juvenile
Courts: Judgments:
Appeal
and Error.
Cases
arising under the Nebraska Juvenile Code are reviewed de novo
on the record, and an appellate court is required to
reach a conclusion independent of the trial court's findings. In
reviewing questions of law arising in such proceedings, an appellate
court reaches a conclusion independent of the lower court's ruling.
3.
Jurisdiction:
Appeal
and Error.
A
jurisdictional question which does not involve a factual dispute is
determined by an appellate court as a matter of law.
4.
Jurisdiction:
Appeal
and Error.
Before
reaching the legal issues presented for review, it is the
duty of an appellate court to determine whether it has
jurisdiction over the matter before it.
5.
Jurisdiction:
Final
Orders: Appeal
and Error.
For
an appellate court to acquire jurisdiction of an appeal, there
must be a final order entered by the court from
which the appeal is taken; conversely,
an appellate court is without jurisdiction to entertain appeals from
nonfinal orders.
**679
6.
Final
Orders: Appeal
and Error.
The
three types of final orders which may be reviewed on
appeal are (1) an order which affects a substantial right
and which determines the action and prevents a judgment, (2)
an order affecting a substantial right made during a special
proceeding, and (3) an order affecting a substantial right made
on summary application in an action after judgment is rendered.
7.
Words
and Phrases.
A
substantial right is an essential legal right, not a mere
technical right.
8.
Juvenile
Courts: Appeal
and Error.
A
proceeding before a juvenile court is a special proceeding for
appellate purposes.
9.
Final
Orders: Appeal
and Error.
A
substantial right is affected if an order affects the subject
matter of the litigation, such as diminishing a claim or
defense that was available to the appellant prior to the
order from which he or she is appealing.
10.
Indian
Child Welfare Act: Actions:
Parental
Rights.
Any
Indian child who is the subject of any action for
foster care placement or termination of parental rights under state
law, any parent or Indian custodian from whose custody such
child was removed, and the Indian child's tribe may petition
any court of competent jurisdiction to invalidate such action upon
a showing that such action violated any provision of Neb.Rev.Stat.
§§ 43-1504
to 43-1506 (Reissue 2004).
11.
Indian
Child Welfare Act: Federal
Acts.
The
federal Indian Child Welfare
Act was enacted to promote the stability and security of
Indian tribes and families through the establishment of minimum federal
standards for the removal of Indian children from their families
and the placement of such children in foster or adoptive
homes which will reflect the unique values of Indian culture.
12.
Indian
Child Welfare Act: Proof.
Any
party seeking to effect a foster care placement of an
Indian child under state law shall satisfy the court that
active efforts have been made to provide remedial services and
rehabilitative programs designed to prevent the breakup of the Indian
family and that these efforts have proved unsuccessful.
13.
Indian
Child Welfare Act: Evidence:
Expert
Witnesses.
No
foster care placement may be ordered in an involuntary proceeding
in state court involving an Indian child in the absence
of a determination, supported by clear and convincing evidence, including
testimony of qualified expert witnesses, that the continued custody of
the child by the parent or Indian custodian is likely
to result in serious emotional or physical damage to the
child.
*455
14.
Juvenile
Courts: Parental
Rights: Jurisdiction:
Appeal
and Error.
In
the absence of a direct appeal from an adjudication order,
a parent may not question the existence of facts upon
which the juvenile court asserted jurisdiction.
Thomas
C. Riley, Douglas County Public Defender, and Mona L. Burton,
Salt Lake City, UT, for appellant.
Stuart
J. Dornan, Douglas County Attorney, and Nicole Brundo Goaley for
appellee.
INBODY,
Chief Judge, and IRWIN and MOORE, Judges.MOORE, Judge.
INTRODUCTION
Shannon
P. appeals an order by the separate juvenile court of
Douglas County which denied (1) a petition to invalidate previous
court orders and (2) a motion to dismiss. The
petition and motion were based on an alleged failure to
comply with **680
both the federal and the state implementations of the Indian
Child Welfare Act (ICWA). We
affirm.
BACKGROUND
On
June 11, 2003, the State filed a petition in the
separate juvenile court of Douglas County alleging that Shannon's four
children, Enrique P. (born June 29, 1993), Carina P. (born
December 11, 1995), Christian P. (born November 5, 1999), and
Christianna P. (born December 20, 2001), were children within the
purview of Neb.Rev.Stat. § 43-247(3)(a)
(Cum.Supp.2002). The
petition alleged that the four children lacked proper parental care
by reason of the faults or habits of Shannon. The
petition stated that Shannon was currently incarcerated, making her unable
to care for the children; that
the family relative who had been caring for the children
was unable to care for the children any longer; and
that due to the facts alleged above, the children were
at risk for harm.
In
addition to the petition, the State also filed a motion
for temporary custody that same day. The
motion for temporary custody was based on an “Affidavit
for Removal of Minor Child(ren) From Parent or Custodial Home”
made by an Omaha, Nebraska, *456
police officer. The
affidavit stated that the officer had received a radio call
to go to a particular address and check on the
well-being of four children. When
the officer arrived, she spoke with the above-mentioned relative, who
stated that Shannon was in jail and that the relative
could no longer care for Shannon's four children. The
officer then placed the children in temporary foster care. An
order placing the children's immediate custody with the Nebraska Department
of Health and Human Services (DHHS) was also entered on
June 11, 2003. The
children have remained in the custody of DHHS throughout the
case.
A
detention hearing was held on June 18, 2003; Shannon
was advised of her rights, an attorney was appointed to
represent her, and the matter was continued. On
June 25, the State filed an amended petition, which alleged
that one child was a registered member of the Omaha
Tribe and that the other three children were eligible for
enrollment with the Omaha Tribe. The
petition also included new allegations against Shannon-that her use of
alcohol or controlled substances placed the children at risk of
harm and that Shannon did not have safe, stable, and
independent housing to provide to the children. The
continued detention hearing was held on June 26. Shannon
did not appear, but was represented by counsel. The
continued detention proceedings are not included in the bill of
exceptions, however, and thus, it is not clear whether Shannon
objected to the children's continued detention. An
order granting continued detention with DHHS was entered on that
day.
An
adjudication hearing on the amended petition was held on September
22, 2003. Shannon
admitted to several of the allegations in the petition, including
that one of her children was a member of the
Omaha Tribe and that the others were eligible for enrollment.
Shannon
also admitted her use of alcohol or controlled substances; that
she did not have safe, stable, and independent housing to
provide to her children; and
that her children were at risk for harm due to
the facts alleged.
Before
accepting the admission, the court informed Shannon of her right
to a trial and stated, “If
the Court makes a finding prior to your admission, that
these are Indian children, at trial, the burden of proof
would be by clear and convincing evidence, which is a
higher standard than [in] typical cases.”
Documents
*457
from the Omaha Tribe regarding the four children's tribal enrollment
status were admitted into **681
evidence (indicating that not one but two of the children
were enrolled members), a factual basis for filing the amended
petition was given, and the court accepted Shannon's admission. The
court then made a verbal finding that the ICWA was
applicable “from
this point forward”
and stated that notice of the hearing would be provided
to the Omaha Tribe. Shannon's
attorney requested that the court order random urine analysis for
Shannon and that it order Shannon to complete a psychological
evaluation prior to the disposition hearing. The
court so ordered on September 23, 2003, adjudicating the children
under § 43-247(3)(a)
by a preponderance of the evidence, based on the admission
plea. Shannon
did not appeal the adjudication order.
On
September 25, 2003, the court entered a nunc pro tunc
order, stating that the adjudication order had omitted the following:
“On
motion of the parties and based on the evidence before
the Court, this Court finds that the [ICWA], both Federal
and State, is applicable to these proceedings, AND IT IS
SO ORDERED.”
A
“disposition
and permanency planning hearing”
was held on November 13, 2003. Although
the record does not contain the actual notice provided to
the Omaha Tribe, the tribe appeared through counsel at this
hearing, thereby implying that the tribe received notice. The
DHHS case plan and court report were discussed during the
hearing and adopted. In
addition, the court made another specific verbal finding that the
ICWA would be applicable to the proceedings. In
its order, the court reiterated that the ICWA was applicable
to the proceedings and stated that “reasonable
efforts have been made to return the minor children to
the parental home and to finalize permanency,”
thereafter reciting the efforts. The
court also found that it would be contrary to the
health, safety, and welfare of the children for them to
be returned home and that it was in their best
interests and welfare to remain in the temporary custody of
DHHS. Shannon
did not object to the continued custody of the children
with DHHS. Shannon
did not appeal from the disposition order.
On
February 12, 2004, the Omaha Tribe filed a notice of
intervention and a notice of intent to transfer the matter
to the Omaha *458
Tribal Court. A
“review
and permanency planning hearing”
was also held that day. The
case plan and court report were discussed. The
court noted that “some
additional pleadings have been filed by the Omaha Tribe, and
they have been scheduled for hearing at a later date.”
In
its order, entered February 12, the court again found that
“reasonable
efforts have been made to return the minor children to
the parental home and to finalize permanency.”
The
court also found again that it was contrary to the
health, safety, and welfare of the children for them to
be returned home and that it was in their best
interests and welfare to remain in the temporary custody of
DHHS.
The
Omaha Tribe's motion to intervene and notice of intent to
transfer were heard on March 2, 2004. The
court treated the notice of intent to transfer as a
motion to transfer. No
party objected to the motion to intervene, and it was
sustained. The
motion to transfer was next addressed. Shannon's
attorney did not object to the transfer, but the State,
the children's guardian ad litem, and DHHS noted their concerns
with the transfer. The
motion to transfer was denied. No
appeal was taken from the order denying the transfer.
After
this, a series of “review
and permanency planning”
hearings occurred, on May 5, August 2, and November 15,
2004. Likewise,
the court orders from these hearings stated that “reasonable
efforts”
at reunification had been made and that it was contrary
to the health, safety, and **682
welfare of the children for them to be returned home
and in their best interests to stay in the temporary
custody of DHHS. Shannon
did not object to the continued custody of the children
with DHHS at these review hearings. At
the May 5 review hearing, Shannon objected to a recommendation
that visitation with her children take place only in “therapeutic,”
not merely “supervised,”
settings and asked that the visits remain supervised. Shannon
did not appear for the August 2 review hearing, and
Shannon's counsel made no comments at that hearing beyond requesting
a continuance and assenting to the introduction of a report,
because she had not had an opportunity to review the
recommendations with Shannon. The
continuance was denied. Shannon
did not appear at the November 15 review hearing either,
and Shannon's attorney again made no comments, except to request
a continuance, which was denied, and to object *459
to a concurrent plan of reunification and adoption after assenting
to the introduction of another report. The
court adopted DHHS' recommendations at each hearing. Shannon
did not appeal any of the review orders.
On
April 12, 2005, Shannon's attorney filed a petition to invalidate
a number of the juvenile court's previous orders in the
case, under Neb.Rev.Stat. § 43-1507
(Reissue 2004), and a motion to dismiss. The
petition and motion were based on an alleged lack of
compliance with the ICWA. The
orders the petition sought to invalidate included those from the
adjudication, the disposition, and the four subsequent review and permanency
planning hearings. The
petition stated that it was error for the court to
adjudicate the children by a “preponderance
of the evidence,”
rather than by “
‘clear
and convincing evidence’
”
(emphasis omitted) as required under Neb.Rev.Stat. § 43-1505(5)
(Reissue 2004). Also,
the petition stated that the court erred when in its
orders upon the subsequent five hearings, the court found that
“
‘reasonable
efforts'
”
had been made to return the children to the parental
home, instead of “
‘active
efforts'
”
(emphasis omitted) as required by § 43-1505(4).
In
summary, the petition claimed that the juvenile court's orders violated
§ 43-1505(4)
and (5) and thus should be invalidated under § 43-1507.
Shannon's
attorney based the motion to dismiss specifically on a lack
of jurisdiction. The
motion claimed that because at the adjudication hearing, the court
failed to use the proper burden of proof (clear and
convincing evidence) and also failed to make a finding that
a qualified expert would have testified that the continued custody
of the children with Shannon was likely to result in
serious emotional damage or physical damage to them, the court
never acquired proper jurisdiction. The
motion claimed that because of this, the matter should be
dismissed and her children returned to her.
The
juvenile court heard the petition to invalidate and the motion
to dismiss on April 21, 2005, and denied both in
an April 25 order. Shannon
appeals from that order.
ASSIGNMENTS
OF ERROR
Shannon
asserts two errors on appeal. First,
Shannon claims that the separate juvenile court erred when it
denied her petition *460
to invalidate several previous court orders, under § 43-1507,
for failure to comply with the federal and Nebraska implementations
of the ICWA. Second,
Shannon claims that the court erred when it denied her
motion to dismiss, alleging that by using the incorrect burden
of proof under the ICWA at the adjudication hearing, the
court never acquired jurisdiction over Shannon.
The State argues in its brief
that § 43-1507 is unconstitutionally vague because**683
it does not set any time parameters within which a petition to invalidate
previous court orders must be filed. Whatever merit the argument
may have, we cannot address the issue, as it was not raised in the juvenile
court. A constitutional issue not presented to or passed upon
by the trial court is not appropriate for consideration on appeal. Mason
v. City of Lincoln,
266 Neb. 399, 665 N.W.2d 600 (2003). This argument will not
be addressed further.
STANDARD
OF REVIEW
Cases arising under the Nebraska
Juvenile Code are reviewed de novo on the record, and an appellate court
is required to reach a conclusion independent of the trial court's findings.
In re Interest
of Brittany C. et al.,
13 Neb.App. 411, 693 N.W.2d 592 (2005). In reviewing questions
of law arising in such proceedings, an appellate court reaches a conclusion
independent of the lower court's ruling. Id.
A jurisdictional question which does not involve a factual dispute
is determined by an appellate court as a matter of law. Id.
ANALYSIS
Jurisdiction.
As noted above, Shannon appeals from an order (1) denying her petition
to invalidate the previous court orders and (2) denying her motion to
dismiss. In a juvenile case, as in any other appeal, before
reaching the legal issues presented for review, it is the duty of an appellate
court
to determine whether it has jurisdiction over the matter before it. In
re Interest of Brittany C. et al., supra.
For an appellate court to acquire jurisdiction of an appeal,
there must be a final order entered by the court from which the appeal
is taken; conversely, an appellate court is without jurisdiction
to entertain appeals from nonfinal orders. Id.
*461
In Nebraska, the three types of final orders which may be reviewed on
appeal are (1) an order which affects a substantial right and which determines
the action and prevents a judgment, (2) an order affecting a substantial
right made during a special proceeding, and (3) an order affecting a substantial
right made on summary application in an action after judgment is rendered.
Id.;
Neb.Rev.Stat. § 25-1902 (Reissue 1995). The
order at issue herein did not fall into the first or third categories,
as it did not determine the action and was not made on summary application
after the entry of a judgment. Orders which fall into the
second category of § 25-1902 must meet two requirements: A
substantial right must be affected, and the court's order must be made
in a special proceeding. In
re Interest of Brittany C. et al., supra.
A “substantial right” is an essential legal right, not a mere
technical right. Id.
A proceeding before a juvenile court is a “special proceeding” for
appellate purposes. Id.
Thus, we must consider the order which dismissed Shannon's petition
to invalidate and motion to dismiss and what parental rights, if any,
were affected by the order.
A substantial right is affected
if an order affects the subject matter of the litigation, such as diminishing
a claim or defense that was available to the appellant prior to the order
from which he or she is appealing. Id.
Several Nebraska cases have addressed whether a juvenile court order
is a final order for the purpose of an appeal. See, In
re Interest of R.G.,
238 Neb. 405, 470 N.W.2d 780 (1991) (preadjudication order granting continued
detention of child affects parent's substantial right and is thus final
order and appealable), disapproved
on other grounds, O'Connor
v. Kaufman, 255 Neb.
120, 582 N.W.2d 350 (1998); In
re Interest of Brittany C. et al., supra
(preadjudication order **684
denying transfer of matters to tribal court is final, appealable order).
Compare, In
re Interest of Clifford M. et al.,
258 Neb. 800, 606 N.W.2d 743 (2000) (mother's motion to dismiss State's
motion to terminate parental rights based on improper retroactive application
of statutory amendment was not final order because issue could be preserved
at termination hearing and considered on appeal therefrom); In
re Interest of Anthony G.,
255 Neb. 442, 586 N.W.2d 427 (1998) (order denying continued detention
of juvenile prior to adjudication does not affect substantial right of
State).
*462
Shannon and the State both claim that the order denying the petition to
invalidate and the motion to dismiss was in fact a final, appealable order.
We agree, finding the analysis and decision in In
re Interest of Brittany C. et al.,
13 Neb.App. 411, 693 N.W.2d 592 (2005), to be instructive. We
conclude that the order denying the petition to invalidate pursuant to
§ 43-1507 and the motion to dismiss affected a substantial right
and is thus a final order for the purpose of an appeal.
Petition
to Invalidate Previous Court Orders.
Shannon first claims that the separate juvenile court erred when it denied
her petition to invalidate previous court orders for failure to comply
with both the federal and Nebraska implementations of the ICWA. Shannon
filed her petition under the enforcement provisions of the federal ICWA,
25 U.S.C. § 1914 (2000), and of the Nebraska ICWA, § 43-1507.
The two statutes are similar, and the Nebraska version, captioned
“Petition to invalidate actions in violation of law,” provides as follows:
Any
Indian child who is the subject of any action for
foster care placement or termination of parental rights under state
law, any parent or Indian custodian from whose custody such
child was removed, and the Indian child's tribe may petition
any court of competent jurisdiction to invalidate such action upon
a showing that such action violated any provision of sections
43-1504 to 43-1506.
§
43-1507.
Shannon claims that several of
the juvenile court's orders violated § 43-1505(4) and (5) of
the Nebraska ICWA (25 U.S.C. § 1912(d) and (e) (2000) of the
federal ICWA) and thus should be invalidated under § 43-1507
(25 U.S.C. § 1914). In addressing Shannon's arguments,
we are mindful of the purpose of the ICWA, recited below as explained
by the Nebraska Supreme Court in In
re Interest of C.W. et al.,
239 Neb. 817, 825, 479 N.W.2d 105, 112 (1992):
The
ICWA was enacted to promote the stability and security of
Indian tribes and families through the establishment of minimum federal
standards for the removal of Indian children from their families
and the placement of such children in foster or adoptive
homes which will reflect the unique values of Indian culture.
*463
When Congress enacted the ICWA, it had two main goals:
(1)
protecting the best interests of the Indian children and (2)
promoting the stability and security of Indian tribes and families.
See
25 U.S.C. § 1902.
The
act is based on the assumption that protection of the
Indian child's relationship to the tribe is in the child's
best interests. Mississippi
Choctaw Indian Band v. Holyfield,
490 U.S. 30, 109 S.Ct. 1597, 104 L.Ed.2d 29 (1989).
Neb.Rev.Stat.
§ 43-1502
(Reissue 2004) of the Nebraska ICWA, enacted in 1985, expresses
the purpose of the state ICWA as implementation of the
federal ICWA and recognizes Nebraska's policy of cooperating fully with
Indian tribes in the state **685
in order to ensure that the intent and provisions of
the federal ICWA are enforced.
The
provisions that Shannon asserts were violated in this case are
§ 43-1505(4)
and (5), which mirror 25 U.S.C. § 1912(d)
and (e) of the federal ICWA. The
Nebraska provisions state:
(4)
Any
party seeking to effect a foster care placement of, or
termination of parental rights to, an Indian child under state
law shall satisfy the court that active efforts have been
made to provide remedial services and rehabilitative programs designed to
prevent the breakup of the Indian family and that these
efforts have proved unsuccessful.
(5)
No
foster care placement may be ordered in such proceeding in
the absence of a determination, supported by clear and convincing
evidence, including testimony of qualified expert witnesses, that the continued
custody of the child by the parent or Indian custodian
is likely to result in serious emotional or physical damage
to the child.
§
43-1505.
The State argues that Shannon
cannot attack the adjudication, disposition, and subsequent review orders
because these orders were not timely appealed as required by Neb.Rev.Stat.
§ 25-1912 (Cum.Supp.2004) (appeal of final order must be made
within 30 days of issuance of order). Generally, it has been
held that adjudication and disposition orders are final, appealable orders.
See In re
Interest of Ty M. & Devon M.,
265 Neb. 150, 655 N.W.2d 672 (2003). Further, in the absence
of a direct *464
appeal from an adjudication order, a parent may not question the existence
of facts upon which the juvenile court asserted jurisdiction. Id.;
In re Interest
of Phyllisa B., 265
Neb. 53, 654 N.W.2d 738 (2002); In
re Interest of Brook P. et al.,
10 Neb.App. 577, 634 N.W.2d 290 (2001).
Section
43-1507 and its federal counterpart, 25 U.S.C. § 1914,
do not contain any language which specifies a time limit
for petitioning a court to invalidate an action for foster
care placement or termination of parental rights. Nebraska
courts have not addressed the operation of § 43-1507
in any respect. In
searching case law from other jurisdictions under § 1914,
we have found that a time limit for filing a
petition to invalidate is rarely discussed. However,
the Iowa Court of Appeals addressed its state error preservation
rules and § 1914
in In
Interest of J.D.B.,
584 N.W.2d 577 (Iowa App.1998). In
that case, after the mother's parental rights were terminated, she
appealed, claiming that the termination proceeding should be invalidated under
§ 1914
because prior proceedings in the case had violated 25 U.S.C.
§ 1912(e)
(requiring expert testimony whenever foster care placement is involved). The
appellate court found that the mother was barred from challenging
the trial court's previous orders because she did not raise
the issue at trial, properly preserving it for appeal. The
appellate court asked whether its rules of error preservation were
preempted under federal law and concluded, “[W]e
find nothing in [the] ICWA which expressly or impliedly preempts
a state's error preservation rules....
Moreover, we are mindful that to allow a party to
make untimely challenges to prior [children-in-need-of-assistance] proceedings would needlessly delay
permanency for the children.”
(Citations
omitted.) In
Interest of J.D.B.,
584 N.W.2d at 581. Because
state law required that a party preserve error to have
an issue reviewed on appeal, the court held that the
mother did not appeal from any of the children-in-need-of-assistance proceedings
and the time for appeal had passed. Therefore,
the § 1914
action was not allowed and the termination was affirmed.
**686
The Alaska Supreme Court in Matter
of Adoption of T.N.F.,
781 P.2d 973 (Alaska 1989), held that Alaska's time limit
regarding the finality of an adoption was incorporated into the
federal ICWA's previous-orders invalidation statute. In
that case, the *465
mother consented to the adoption of her child but later
brought a § 1914
petition in the trial court to vacate the adoption, claiming
that her consent was invalid because it was not “
‘recorded
before a judge’
”
as required by the ICWA. 781
P.2d at 974. The
trial court denied the petition to vacate, basing its decision
on state law relevant to adoption decrees, which provided that
an adoption decree may not be questioned on any ground
1 year after its issuance. The
Alaska Supreme Court found that since the invalidation statute had
no explicit time limitation, the state law relevant to adoption
decrees should be incorporated into the federal invalidation statute. The
court noted that a parent's interest in a § 1914
action must be balanced against an adoptive family's interests.
In
In
re S.B.,
130 Cal.App.4th 1148, 30 Cal.Rptr.3d 726 (2005), the mother appealed
from the termination of her parental rights as to her
daughter. Following
detention, jurisdictional (adjudication), and dispositional hearings, it was learned that
the daughter had Indian ancestry. At
that point, the social worker involved in the case attempted
to give notice pursuant to the ICWA. Although
the notice did not comply with the applicable requirements, it
did reach the tribe and the tribe did respond. The
mother filed a motion to invalidate the juvenile court's previous
findings and orders because the court and the government children's
services agency involved in the case had failed to inquire
whether the daughter was an Indian child. The
motion to invalidate was denied, and the court proceeded to
terminate the mother's parental rights. On
appeal, the In
re S.B.
court affirmed this denial, finding that the mother had waived
her claim of belated compliance with a notice provision of
the ICWA by failing to object on ICWA grounds at
the previous hearings. The
court noted that while a parent cannot waive a tribe's
right to notice, where the tribe appeared and did not
ask on its own behalf for the court to invalidate
any prior actions, the parent's independent right to invalidate prior
orders can be waived.
Numerous
cases exist from other jurisdictions where § 1914
petitions to invalidate were addressed on appeal without mention of
time limitations or whether the issue was properly preserved for
appeal. A
majority of these cases involves situations where the appropriate ICWA
notice was not given to the tribe or parent. *466
See, In
re Adoption of Baby Girl B.,
67 P.3d 359 (Okla.Civ.App.2003) (reversing trial court's denial of father
and tribe's joint petition to invalidate, for lack of notice
compliance under ICWA, termination of father's parental rights and court's
consent to adoption); State
ex rel. Juv. Dept. v. Tucker,
76 Or.App. 673, 710 P.2d 793 (1985) (affirming denial of
mother's § 1914
motion; failure
to comply with ICWA at jurisdictional and dispositional proceedings not
error because trial court had no reason to know child
was Indian at those points; tribe
properly notified prior to termination order); Matter
of S.Z.,
325 N.W.2d 53 (S.D.1982) (reversing trial court's grant of § 1914
petition; ICWA
notice requirement substantially complied with); In
re Dependency of T.L.G.,
126 Wash.App. 181, 108 P.3d 156 (2005) ( § 1914
used to collaterally attack child custody determination where ICWA notice
not given). In
cases where an invalidation is sought for lack of notice,
it would be unreasonable to impose a time limitation of
the § 1914
procedure upon the party claiming lack of notice. In
the present case, there is no claim that the appropriate
notice was not given to the tribe or Shannon. The
record reveals that **687
Shannon was notified of the applicability of the ICWA and
that the tribe intervened and sought transfer of the case
under Neb.Rev.Stat. § 43-1504(2)
and (3) (Reissue 2004).
Cases
exist from other jurisdictions wherein § 1914
has been used to attempt to invalidate orders entered by
a court which did not use the appropriate burden of
proof or make the requisite findings under 25 U.S.C. § 1912(d)
and (e). In
a recent case, In
re S.M.H.,
33 Kan.App.2d 424, 103 P.3d 976 (2005), the Court of
Appeals of Kansas reversed an adjudication order for failure to
apply the standards
of proof set forth in the ICWA. In
that case, the mother appealed from an adjudication order in
which the trial court found that her children were in
need of care and that she was unable to provide
adequate care and control necessary for the children's physical, mental,
or emotional health. It
was undisputed that the ICWA applied to the proceedings; however,
the trial court did not make specific findings, as it
was required by law to do, that the children were
Indian children and that the ICWA was applicable to the
proceedings. Initially,
the In
re S.M.H.
court noted that the mother failed to raise this issue
in the trial court. Nevertheless,
the In
re S.M.H.
court allowed the *467
mother to assert the claim on appeal, recognizing that § 1914
allows a parent to “
‘petition
any court of competent jurisdiction to invalidate [an action for
foster care placement] upon a showing that such action violated
any provision of [the ICWA].’
”
33
Kan.App.2d at 430, 103 P.3d at 981. The
court found that § 1912(e)-which
requires that foster care placement of an Indian child be
supported by clear and convincing evidence, including qualified expert witness
testimony, that continued custody of the child by the Indian
parent is “likely
to result in serious emotional or physical damage to the
child”-was
not applied but should have been. The
court examined the determination of whether the children were in
need of care under its usual standard of review for
adjudications, finding that the evidence supported the determination that the
children were without the care and control necessary for their
physical, mental, or emotional health. However,
because the ICWA was not properly applied regarding continued custody
by the mother (see § 1912(e))
and because the State of Kansas failed to present “
‘qualified
expert testimony,’
”
In
re S.M.H.,
33 Kan.App.2d at 434, 103 P.3d at 984, the court
reversed the adjudication order. In
reaching its conclusion, the court recognized that courts considering prior
cases had found that substantial compliance with the ICWA was
satisfactory or that any error resulting from lack of strict
compliance was harmless. Under
the facts of the case, the In
re S.M.H.
court could not say with any certainty that the outcome
of the case would have been the same if expert
testimony had been received, and it thus concluded that the
error was not harmless.
The
Court of Appeals of Iowa addressed a § 1914
argument in an appeal from a termination of parental rights
case in In
Interest of J.W.,
528 N.W.2d 657 (Iowa App.1995). One
of the mother's arguments in that case was that the
termination should be reversed because the lower court violated § 1912(e)
when it placed the children in temporary foster care and
continued their placement at subsequent dispositional hearings without the testimony
of qualified expert witnesses. The
mother relied on § 1914
to support her claim. On
the facts of the case, the appellate court declined to
extend the language of § 1914
to invalidate the termination. It
stated that § 1914
“
‘does
not provide for invalidation of a valid separate action because
of an invalid *468
prior one.’
”
In
Interest of J.W.,
528 N.W.2d at 661. The
appellate court noted that in terminating **688
the mother's parental rights, the lower court did not rely
exclusively on its earlier findings, and that three qualified ICWA
experts gave the requisite testimony under § 1912(e)
at the termination proceeding.
In
In
re G.S.,
312 Mont. 108, 59 P.3d 1063 (2002), the Montana Supreme
Court addressed a mother's § 1914
challenge to a dispositional order wherein the lower court continued
its previous order granting temporary legal custody of the children
to a public health and human services agency. The
mother challenged the lower court's finding that the agency employed
active efforts to prevent breaking up the Indian family as
required under § 1912(d).
The
appellate court first discussed the lack of an evidentiary standard
in § 1912(d),
as opposed to § 1912(e),
the latter of which explicitly requires clear and convincing evidence
of harm in connection with a need for foster care
placement. The
appellate court determined that § 1912(d)
should also be governed by clear and convincing evidence and
found that although this standard was not identified by the
lower court in making its finding under § 1912(d),
the clear and convincing evidence standard was met in connection
with the lower court's determination that the agency employed active,
yet unsuccessful, efforts to provide remedial and rehabilitative services designed
to prevent the breakup of the family.
In
In
re S.B.,
130 Cal.App.4th 1148, 30 Cal.Rptr.3d 726 (2005), despite holding that
the mother had waived her claim of belated compliance with
a notice provision of the ICWA, as discussed above, the
appellate court went on to conduct a “harmless
error”
analysis with respect to the § 1912(d)
requirement. In
that case, the juvenile court had found at the jurisdictional
and dispositional hearing that “reasonable
efforts”
had been made to prevent or to eliminate the need
for removal of the daughter from the home, in conformity
with state law. In
re S.B.,
130 Cal.App.4th at 1165, 30 Cal.Rptr.3d at 736. The
appellate court recognized that before making a foster care placement,
the juvenile court in an ICWA case has to find,
based upon clear and convincing evidence, that “
‘active
efforts ha[d] been made to provide remedial services and rehabilitative
programs designed to prevent the breakup of the Indian family
and that these efforts ha[d] proved *469
unsuccessful.’
”
Id.
at 1164, 30 Cal.Rptr.3d at 736, quoting § 1912(d).
The
appellate court cited previous case law from its jurisdiction that
said that “
‘the
standards in assessing whether “active
efforts”
were made to prevent the breakup of the Indian family,
and whether reasonable services under state law were provided, are
essentially undifferentiable.’
”
In
re S.B.,
130 Cal.App.4th at 1165, 30 Cal.Rptr.3d at 736. The
court concluded that this principle was applicable under the facts
of the case, finding, “On
this record, we see no reason to suppose that [if]
the juvenile court had been asked to find whether ‘active
efforts' had been made, rather than ‘reasonable
efforts,’
it would have made a different finding.”
Id.
at 1165, 30 Cal.Rptr.3d at 736-37.
Similar
approaches have been followed in other appellate courts in reviewing
ICWA determinations where the exact language of the ICWA was
not contained in the court's findings, in cases which did
not involve § 1914
challenges. In
In
re M.D.M.,
313 Mont. 51, 59 P.3d 1142 (2002), the Montana Supreme
Court affirmed the termination of a father's parental rights as
to a child subject to the ICWA. The
lower court found that the child would be exposed to
serious emotional or physical damage unless the father's parental rights
were terminated; however,
it did not declare, in precise terms, that the State
of Montana had satisfied its burden of proving the likelihood
of such harm “beyond
a **689
reasonable doubt”
as required by § 1912(f).
In
re M.D.M.,
313 Mont. at 55, 59 P.3d at 1146. After
noting the principle that “
‘[t]he
law respects form less than substance,’
”
id.,
the appellate court concluded that it was implicit in the
lower court's finding that the required burden of proof was
met.
What
we have gleaned from the foregoing case law concerning the
ICWA is that each case is dependent upon its particular
facts and circumstances. In
our de novo review, we are required to reach a
conclusion independent of the trial court's findings. We
find the following facts to be of significance in the
present case: At
the adjudication hearing, Shannon admitted to the pertinent allegations in
the amended petition. Because
Shannon admitted to the allegations of the amended petition-including that
one of her children was a member of the Omaha
Tribe and the others were eligible for enrollment; that
she used alcohol or controlled substances; that
she did not have safe, stable, and *470
independent housing to provide to the children; and
that the children were at risk for harm due to
the facts alleged-it was unnecessary for the State to adduce
evidence at the adjudication hearing. Before
accepting Shannon's admission, the juvenile court notified Shannon that if
the adjudication went to trial, the burden of proof would
be clear and convincing evidence. After
accepting Shannon's admission, the juvenile court made a specific finding
that the ICWA was applicable to the proceedings “from
this point forward.”
The
juvenile court adjudicated the children under § 43-247(3)(a)
by a preponderance of the evidence, based on the admission
plea. Shannon
did not object to the adjudication. At
the disposition and subsequent review hearings, the juvenile court found
that reasonable efforts had been made to return the children
to the parental home and to finalize permanency; that
it would be contrary to the health, safety, and welfare
of the children to be returned home; and
that it was in the best interests and welfare of
the children to remain in the custody of DHHS for
appropriate care and placement. Shannon
made some objections to certain provisions in the case plans
offered at these hearings; however,
she did not object to the continued foster home placement,
and she did not adduce evidence to show that the
case plans were not in the children's best interests. Shannon
did not appeal from any of the adjudication or dispositional
orders, but, rather, approximately 18 months later, filed the instant
petition to invalidate. Clearly,
Shannon has been aware of the applicability of the ICWA
since the filing of the State's amended petition and during
all of the hearings of which she now complains. Further,
the tribe has been properly notified and has participated in
the proceedings.
Under our general appellate jurisprudence,
Shannon would be precluded from asserting error in the adjudication and
dispositional orders by virtue of her failure to preserve any error by
a timely appeal. However, because we conclude that any error
with respect to these orders is harmless in this case, we need not determine
whether our rules of error preservation or waiver preclude Shannon from
petitioning to invalidate previous court orders under § 43-1507
and 25 U.S.C. § 1914. We conclude, based upon the
pleadings, factual background, and admission of Shannon, that it was not
error to find that the children came within the *471
purview of § 43-247(3)(a) in that they were lacking proper parental
care by reason of the faults or habits of Shannon. Further,
it was not error for the juvenile court to make this finding based upon
a preponderance of the evidence. However, with respect to
the foster care placement of the children, the juvenile court did not
articulate**690
a standard by which it made its findings; nor did it make
a finding, supported by testimony of qualified expert witnesses, that
active but unsuccessful efforts had been made to prevent the breakup of
the Indian family or that continued custody of the children by Shannon
was likely to result in serious emotional or physical damage. See,
§ 43-1505(4) and (5); 25 U.S.C. § 1912(d) and
(e). Based upon our de novo review, we find that any error
related to the juvenile court's failure to specifically state the foregoing
was harmless error in that the evidence would have supported these ICWA
findings.
In
sum, we first find that there was clear and convincing
evidence to support a finding that active efforts had been
made to prevent the breakup of this family-which efforts included
therapy, placement, case management, psychiatric and chemical dependency evaluations, visitation
services, transportation assistance with visitation, parenting and domestic violence classes,
and random urine analysis-and that such efforts were unsuccessful. Second,
because Shannon did not challenge the continued out-of-home placement of
the children, no expert testimony was given regarding the likelihood
that continued custody with Shannon was likely to result in
serious emotional or physical damage. However,
the evidence adduced by the State at the dispositional hearing
clearly and convincingly supports such a finding of harm. Shannon's
psychological evaluation indicated that Shannon had a history of drug
and alcohol abuse, and her diagnoses included major depressive disorder,
alcohol dependence, adjustment disorder with anxiety, and antisocial and depressive
personality features. The
conclusions of the evaluation indicated that Shannon's parenting problems stemmed
from her addiction, rather than a psychopathology, and that while
Shannon completed her inpatient chemical dependency treatment, she failed to
complete outpatient treatment and did not provide verification that she
was attending Alcoholics Anonymous or Narcotics Anonymous meetings or that
she had obtained a “sponsor.”
*472
Shannon did not submit to all of the requested urinalysis
screenings. In
addition, Shannon did not address her domestic violence issues through
a group setting or through individual therapy; nor
did she attend parenting classes. Shannon
had no proper housing or employment, and her visitation with
her children was sporadic. Based
upon the psychological evaluation and the caseworkers' court reports, it
has been clearly and convincingly shown that custody with Shannon
would result in serious emotional or physical damage to the
children.
Following
our de novo review of the particular facts and circumstances
of this case, we conclude that the juvenile court did
not err in denying Shannon's petition to invalidate the previous
court orders.
Motion
to Dismiss.
Shannon asserts that the juvenile
court erred in denying her motion to dismiss. Shannon argues
that by using the incorrect burden of proof under the ICWA at the adjudication,
the court never acquired jurisdiction over her. As stated
above, the adjudication was proper
and the evidence supported the required ICWA findings. Further,
in the absence of a direct appeal from an adjudication order, a parent
may not question the existence of facts upon which the juvenile court
asserted jurisdiction. In
re Interest of Ty M. & Devon M.,
265 Neb. 150, 655 N.W.2d 672 (2003). This assignment of error
is without merit.
CONCLUSION
The
juvenile court did not err in denying Shannon's petition to
invalidate the previous adjudication and dispositional orders, as the evidence
supported the required ICWA findings. Likewise,
the juvenile **691
court did not err in denying Shannon's motion to dismiss
for lack of jurisdiction.
Affirmed.
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