|
(Cite
as: 707 N.W.2d 826)
Supreme
Court of South Dakota.
The
PEOPLE of the State of South Dakota in the Interest
of T.I. and T.I., Minor Children,
andC.I.
and D.B., Respondents,
and Sisseton-Wahpeton
Sioux Tribe and Yankton Sioux Tribe, Intervenors.
Nos.
23581,
23587 and 23597.
Considered
on Briefs Nov. 7, 2005.
Decided
Dec. 21, 2005.
*829
Christy Griffin Serr, Aberdeen, for appellant Mother C.I.
William
D. Gerdes, Aberdeen, for appellant Father D.B.
Kelly
Marnette, Aberdeen, Lawrence E. Long, Attorney General, for appellees Minor
Children.
Ann
M. Holzhauser, Assistant Attorney General, Pierre, for appellee State of
South Dakota.
KONENKAMP,
Justice.
In this abuse and neglect proceeding, governed by the provisions
of the Indian Child Welfare Act (ICWA), the circuit court
declined transfer of jurisdiction to tribal court and terminated the
mother and father's parental rights. We
affirm.
Background
The mother and father are the biological parents of T.I.
(Son 1), born August 18, 1997, and T.I. (Son 2),
born March 2, 1999. At
the commencement of these proceedings, Son 1 was a member
of the Yankton Sioux Tribe (YST) and Son 2 was
eligible for enrollment in YST. Also, both children were eligible
for enrollment, but were not actually enrolled, in the Sisseton-Wahpeton
Sioux Tribe (SWST).
The state filed two abuse and neglect petitions against the
mother and father regarding these children. This
appeal concerns the second petition, but the facts surrounding the
first are relevant. On
February 15, 2002, Son 2, then age two, was spotted
walking alone on Main Street in Aberdeen at 10:15 p.m.
When law enforcement officers found him, he had no coat
and had only slippers on his feet. The
mother was questioned and stated that she had an apartment,
but no electricity, food, or furniture. She
also disclosed her use of alcohol. The
Department of Social Services (DSS) substantiated its concerns and the
first petition alleging abuse and neglect was filed. The
children were placed in protective custody and were *830
later placed with the paternal grandmother in Waubay in March
2002.
The parents denied the allegations of abuse and neglect and
an adjudicatory hearing was set for June 2002. YST
and SWST were given notice and SWST petitioned to transfer
in May 2002. The
adjudication was continued to October, but at the June hearing
the mother opposed transfer to SWST. She requested that her
children be removed from the grandmother's home, claiming alcohol was
being used excessively there. Transfer
to SWST was denied and the children were returned to
foster care with DSS. The adjudicatory hearing concerning this first
petition was held on October 9, 2002, and the circuit
court declined to find
the children abused and neglected. The
first petition was dismissed and the children were returned to
the mother and father.
The remaining factual and procedural background pertains to the second
petition and the resulting appeal. DSS
became involved again in September 2003, after it had received
“reports
of domestic violence, lack of food, and excessive alcohol consumption
in the home.”
The
allegations were confirmed by the mother, who indicated that there
“had
been prior incidents of severe domestic violence by [the] father
towards her [and] she had obtained a protection order against
him in tribal court.”
She
also claimed that the father drank frequently. Particularly
significant was the report from Son 1, then age six,
that there had been a physical altercation between the mother
and father after they had been drinking and that there
was “blood
all over.”
This
violent dispute between the parents occurred at a motel and
was described by Son 1, who said that the mother
wanted to go to the doctor, but the father would
not let her. At
the time of this altercation, the parents were not living
together. Instead,
the mother had been living with her boyfriend (A.S.), who
also drank with the mother, as Son 1 described, “every
night.”
As a result, DSS placed the children in protective custody,
filed a second abuse and neglect petition, and gave notice
to both YST and SWST. On September 23, 2003, the
mother regained physical, but not legal, custody of both children.
DSS,
however, was concerned because of the mother's “history
of moving and failing to follow-through with services, her conduct
in exposing the children to excessive alcohol and domestic violence,
her back and forth relationship between [the] father and A.S.,
and her lack of financial stability.”
Thus,
her continued custody of the children depended on the mother
following prescribed conditions.FN1
FN1.
The
conditions were: (1)
report to the Brown County Sheriff each day and submit
to a PBT, (2) cooperate with Northern Alcohol & Drug
Referral & Information Center (NADRIC) and Northeastern Mental Health Center
(NEMHC) Homebased services and follow their recommendations, (3) remain in
Brown County unless given permission to leave by DSS, and
(4) work with DSS to develop a case service plan
and accomplish these goals set forth in the case service
plan.
She worked with home based services, as required, and she
also received her chemical dependency evaluation. She
was recommended for outpatient treatment. But
the mother violated the requirement that she not leave Brown
County, when she took the children to Sisseton and reconciled
with the father. FN2
Nevertheless,
the court allowed the mother and father to have continued
custody of the children and DSS worked with the mother
to develop a new case service plan to include*831
both parents. Specifically,
the mother and father “were
asked to work with NEMHC Homebased services, obtain psychological evaluations,
get drug and alcohol evaluations and follow the recommendations.”
In
addition, the father was required to take anger management classes.
FN2.
The
mother's boyfriend, A.S., informed law enforcement officers that “she
had left him a note stating she was going to
Sisseton to get Father....”
An adjudicatory hearing for the second petition was held on
January 27, 2004. Both
parents admitted the allegations and the children were adjudicated abused
and neglected. The
parents retained physical custody of the children and agreed to
work on their case plan. During
the next couple of months, DSS documented the following: the
mother began her outpatient treatment, but it was not working
and she was referred to inpatient treatment; Son
1 claimed that the mother and father left him and
his brother alone at times; the
mother was not employed; the
mother was not going to AA, but the father was
attending; the
mother claimed that the father was drinking and wanted him
out of the home. Eventually,
the mother wanted the father to move back home, so
in early April 2004 a meeting was held to establish
another case service plan in order for the father to
return home.FN3
In
addition to the new plan, DSS actively worked with the
mother and father. Specifically,
“DSS
made referrals to NADRIC for alcohol evaluations, assisted the family
in paying for gas and rent, provided transportation, and worked
with NEMHC in looking for funding to get the father
medication for his depression and anger.”
However,
both the mother and father “exhibited
limited cooperation in completing the listed tasks.”
FN4
FN3.
The
mother's attorney wrote a list of nine items the parents
agreed to in order for the father to return home.
These
items included: (1)
Driver's License (Mother), (2) Insurance (Father), (3) Day Care Assistance
(Mother, DSS caseworker), (4) Anger Management (Father, NEMHC, DSS caseworker,
Bob Van Winkle), (5) Marriage Counseling, (6) Psychological-finish (Mother &
Kent Miller), (7) Job (Mother), (8) AA (Mother, Father) signed
cards, and (9) PBTs 2X daily (Father) 1X daily (Mother).
FN4.
“Mother
did not obtain a driver's license. Father
did not get insurance. Mother
did not complete her psychological evaluation. Mother
obtained employment, but only for a short time. Father
did not complete anger management classes. Mother
and Father went to counseling for a short period of
time.”
In April 2004, the mother and father were threatened with
eviction “due
to concerns regarding the living conditions of their apartment.”
When
the mother contacted DSS for money, she was told she
could stay at a women's shelter and keep her children.
Instead,
the mother and father, without permission, moved with the children
to Lake Andes. At
a hearing on April 28, 2004, the mother “asked
the court to allow her and the children to remain
in Lake Andes with the promise that she and the
father would work with the Lake Andes area DSS office
and comply with the prior nine item agreement.”
Even
though they had violated the court order prohibiting them from
leaving Brown County, the court and DSS agreed to work
with the mother and father on the condition that they
remain in contact with the local DSS office and meet
their established agreements under the case plan.
Initially, the parents contacted the YST ICWA director, Ray Cournoyer,
and requested services, but none were available. He
told them to contact the Lake Andes DSS; however,
they did not do so until May 27, 2004. Essentially,
DSS was unaware of their whereabouts in Lake Andes from
April 26 to May 28, 2004. DSS
was finally able to locate the mother when a worker
drove by a residence of the *832
mother's relative and noticed several boys playing in the yard
and stopped to inquire and the mother came out to
introduce herself. While
talking with the DSS worker, the mother expressed concern because
“she
did not know how long the relative's food would last.”
DSS
responded by offering the mother various services and by bringing
the family food. In
addition, the mother and father were directed to continue to
work toward their agreed service plans and to maintain contact
with the local DSS office. They
did neither.
At a review hearing on June 2, 2004, both failed
to appear. And
they had failed to maintain contact with their attorneys. As
a result, the court held the mother in contempt, issued
a warrant for her arrest, and ordered physical custody of
the children be returned to DSS. However, DSS could not
locate the mother and father. It
was not until June 24, 2004, that DSS learned the
parents had left Lake Andes for Oregon taking the children
with them. When
law enforcement officers and local social service workers were notified
in Oregon, the children were placed in temporary custody until
a South Dakota DSS worker flew to Oregon and brought
the children back to South Dakota. The
parents did not return to South Dakota. At
a review hearing in July 2004, the circuit court relayed
to the mother that she needed to return if she
wanted to participate in the proceedings. At
this same hearing, both YST and SWST sought to transfer
the case to their respective tribes.
Based on the tribes' requests, a transfer hearing was held
on August 13, 2004. SWST
appeared through Evelyn Pilcher, a non-attorney ICWA representative for SWST,
with thirteen years experience. Ray
Cournoyer, a non-attorney ICWA representative for YST, with two years
experience, appeared on behalf of YST. At the hearing, YST
withdrew its previous request for transfer in order to permit
the case to be transferred to SWST. For its part,
SWST sought transfer because it claimed that both children were
eligible for enrollment.FN5
But,
because Son 1 was already an enrolled member of YST,
his eligibility
for enrollment in SWST did not give SWST jurisdiction over
Son 1.FN6
In addition to this jurisdictional problem, the court also considered
the timeliness of SWST's request, finding it to be at
the advanced stage of these proceedings. Consequently,
the court denied the request for transfer to SWST finding
good cause to the contrary. Nonetheless,
the court placed the children in temporary physical custody with
their aunt, A.I., on the SWST reservation.
FN5.
There
was some concern regarding the paternity of Son 2, but
after the father was established as Son 2's biological father,
SWST identified both children as eligible members of the tribe.
FN6.
Pilcher,
on behalf of the SWST, acknowledged that Son 1 was
enrolled in YST and that SWST had no jurisdiction over
Son 1.
In the meantime, the mother and father returned from Oregon,
and DSS continued in its attempt to provide services to
them. When the mother was arrested for a probation violation,
DSS arranged for visitation. Then
when she was released from jail, DSS offered the mother
further services, such as arrangements for another alcohol evaluation and
a psychological evaluation. But
the parents moved yet again, this time to North Dakota.
DSS
had encouraged the mother to “stay
in South Dakota at the women's shelter in order to
be reunited with her children quickly.”
However,
she decided to move to Bismarck, North Dakota, to be
with the father.
*833
DSS continued to actively work with the mother and father
by arranging to coordinate services through North Dakota. In
response, the mother “represented
that she had completed her alcohol assessment and would be
attending outpatient treatment.”
The
father informed DSS he was working with a United Tribal
College social worker to make arrangements for anger management classes
and that he was staying in a “no-drink”
dorm. But
when a review hearing was held on November 10, 2004
in South Dakota, neither the mother nor the father appeared.
And
the court explained that it was not DSS's duty to
accommodate the parents after they moved away, but ordered DSS
to make arrangements to facilitate at least one visit between
the parents and the children. Thereafter,
DSS offered the parents reimbursement for travel expenses and also
purchased the parents a bus ticket they could use at
their convenience. Neither
parent accepted these offers, nor did they visit their children
until shortly before the final dispositional hearing. Also,
while they were in North Dakota, the local social service
office reported that the parents were not working on any
of their case plan goals.
The final dispositional hearing was held on February 3, 2005,
and the circuit court terminated the parental rights of both
parents. It
concluded that the parents failed to avail themselves of the
services offered; they
made little significant progress toward completing the goals set by
DSS and the court; and
there was little likelihood that the conditions that existed at
the time of the petition would be remedied. Thus,
the court concluded “beyond
a reasonable doubt”
that the continued custody of the children with the mother
and father would likely “result
in serious emotional or physical damage to the minor children”
and termination of their parental rights was the “least
restrictive alternative available commensurate with the best interests of these
minor children.”
In their appeal, the parents' issues can be summarized as
follows:
(1)
Whether
the trial court erred in denying transfer of jurisdiction to
either the Yankton Sioux Tribe or the Sisseton-Wahpeton Sioux Tribe.
(2)
Whether
the trial court erred in finding that terminating the parents'
parental rights was the least restrictive alternative available and that
it was in the best interest of the children under
SDCL 26-8A-26.
(3)
Whether
the trial court erred in finding beyond a reasonable doubt
and through qualified expert testimony that continued custody of the
minor children by the mother and father would result in
serious emotional or physical damage to the minor children so
that termination was appropriate under ICWA.
By
notice of review, the children raise the following issue:Whether the
trial court erred in finding the parents have a right
to refuse to testify at the final dispositional hearing.
Analysis
and Decision
1.
Transfer
to Tribal Court
Before
we discuss the merits of this question, we first address the proper burden
of proof applicable to motions to transfer under ICWA. We have heretofore
approved the abuse of discretion standard in deciding whether good cause
existed not to transfer. This means that circuit courts have
discretion whether to grant or deny these motions. Abuse of
discretion is the most relaxed standard. Yet, absent good cause to the
contrary, federal law creates presumptive tribal *834
court jurisdiction in foster care placement and termination of parental
rights proceedings. 25 U.S.C. § 1911(b). The burden
of establishing good cause to deny a transfer is upon the party opposing
the transfer. Guidelines
for State Courts; Indian Child Custody Proceedings,
44 Fed Reg 67.586, 67591 ¶ C.3(d). If the presumption
is in favor of tribal jurisdiction, then mere discretion to override an
ICWA transfer is inconsistent with congressional intent. See
In the Interest
of D.M., 2004 SD 90,
¶ 36, 685 N.W.2d 768, 777 (Konenkamp, J., concurring specially).
In enacting ICWA, Congress wanted to have Indian tribes determine
custody issues involving Indian children. In
re G.R.F.,
1997 SD 112, ¶ 14, 569 N.W.2d 29, 32 (citation omitted). It
is true that some other courts have used the abuse of discretion standard.
However, the better reasoned decisions hold that the determination
must be supported by clear and convincing evidence of good cause. In
re A.P., 25 Kan.App.2d
268, 276, 961 P.2d 706, 713 (1998) (clear and convincing standard); In
re Adoption of S.W.,
41 P.3d 1003, 1013 (Okla.Civ.App. 2001) (same); In
re M.E.M., 195 Mont.
329, 335, 635 P.2d 1313, 1317 (1981). Considering the firm
congressional intent behind ICWA, the standard most consistent with the
Act requires clear and convincing evidence of good cause for a state court
to refuse to transfer to tribal court. Today we amend the
burden on the parties opposing these motions to clear and convincing,
but this standard will have prospective application only.
In order for a transfer to proceed under ICWA, a
tribe must be designated as the “Indian
child's tribe”
because an Indian child, even though eligible for enrollment in
more than one tribe, can only have one
tribe
exercising jurisdiction for purposes of ICWA.FN7
See
25 U.S.C. § 1903(5);
see
also Guidelines for State Courts; Indian
Child Custody Proceedings,
44 Fed. Reg. 67.586, ¶ B.2
(Commentary) (stating that “there
obviously can be only one tribe to adjudicate the case”).
Also,
the federal guidelines interpreting ICWA state that if a “child
is a member of only one tribe, that tribe shall
be designated the Indian child's tribe even though the child
is eligible for membership in another tribe.”
Guidelines
for State Courts; Indian
Child Custody Proceedings,
44 Fed. Reg. 67.586, ¶ B.2(e).
FN7.
The
record reflects that both YST and SWST have an interest
in these children, but “the
fact that Congress, in the definition of ‘Indian
child's tribe,’
provided criterion for determining which is the Indian child's tribe,
is a clear indication of legislative intent that there be
only one such tribe for each child.”
See
Guidelines for State Courts; Indian
Child Custody Proceedings,
44 Fed. Reg. 67.586, ¶ B.2
(Commentary).
Once jurisdiction has been
established, the issue of transfer of jurisdiction is controlled by 25
U.S.C. § 1911(b), which requires transfer of the case to a tribal
court with jurisdiction “absence good cause to the contrary.” See
In re M.C.,
504 N.W.2d 598, 600 (S.D.1993). As we have said, the burden
is on the party opposing transfer to prove good cause to the contrary.
In re J.L.,
2002 SD 144, ¶ 12, 654 N.W.2d 786, 790 (citation omitted). However,
what circumstances constitute “good cause to the contrary” is not defined
by ICWA. See id.
Thus, we turn to the federal guidelines interpreting “good
cause to the contrary” under ICWA, guidelines previously applied by this
Court.FN8
Id.
(citing Guidelines for
State *835
Courts; Indian Child Custody Proceedings,
44 Fed. Reg. 67.586, ¶ C.3(b)); see
also In the Matter
of J.C.D., 2004 SD
96, ¶ 11, 686 N.W.2d 647, 649.
FN8.
“Good
cause to the contrary”
may occur in cases when:
(1)
the
proceeding is at an advanced stage when the petition to
transfer is received and the petition is not promptly filed
after receipt of notice; (2)
the Indian child is over the age of twelve and
objects to the transfer; (3)
evidence necessary to decide the case cannot be adequately presented
to the tribal court without undue hardship to witnesses and
parties; (4)
the parents of an Indian child over the age of
five are not available and the child has had little
or no contact with the child's tribe or members of
the child's tribe.
In
re J.L.,
2002 SD 144, ¶ 12,
654 N.W.2d at 790 (citing Guidelines
for State Courts; Indian
Child Custody Proceedings,
44 Fed. Reg. 67.586, ¶ C.3(b)).
The record reflects that
YST moved to intervene on October 28, 2003, informing the court that Son
1 is an enrolled member of YST and that Son 2 is eligible for enrollment.
YST continued to stay involved and on May 11, 2004, it moved
to transfer jurisdiction. YST further informed the court on
June 22, 2004, after a review hearing in tribal court, that YST accepted
jurisdiction over both children. SWST, sent correspondence,
received on March 5, 2004, stating that neither child was enrolled or
eligible for enrollment in SWST. However, on July 13, 2004, after a question
of paternity was resolved, SWST moved to transfer, now alleging that both
children were eligible for enrollment in the tribe.
Because both the state and the children objected to transfer
to either YST or SWST, a hearing was held on
August 13, 2004. A
representative from both YST and SWST appeared on behalf of
their respective tribes, and YST withdrew its request for transfer,
asking that jurisdiction be transferred to SWST. Accordingly, the circuit
court considered the request, but denied transfer to SWST, finding
good cause to the contrary.
Based on our review of the record, we conclude that
SWST did not have jurisdiction over Son 1. The circuit
court found that Son 1 is an enrolled member of
YST and YST is the “Indian
child's Tribe”
as defined by ICWA. As a result, SWST, the only
tribe requesting transfer, cannot exercise jurisdiction over Son 1. The
judge concluded that the “only
court that actually has jurisdiction by law over both children
is the state court.”
This
alone is good cause to deny transfer to SWST.FN9
Moreover, the ICWA expert testified that these children should be
kept together and not be separated. Thus,
under either the abuse of discretion standard or the clear
and convincing standard, the circuit court did not err when
it denied transfer of jurisdiction to the SWST. Because YST
voluntarily withdrew its request for transfer, we need not address
its motion.
FN9.
The
court also held that good cause existed to deny transfer
because the proceedings were in an advanced stage, a factor
recognized by the federal guidelines interpreting “good
cause to the contrary.”
See
In
re J.L.,
2002 SD 144, ¶ 12,
654 N.W.2d at 790 (citing Guidelines
for State Courts; Indian
Child Custody Proceedings,
44 Fed. Reg. 67.586, ¶ C.3(b)).
Under
this rationale, the court noted that SWST was given notice
of these proceedings, but waited until ten months after the
abuse and neglect petition was filed to request a transfer.
By
this time both children were adjudicated abused and neglected and
DSS had been involved extensively with the family working to
provide services to the parents who continually failed to cooperate.
Thus,
the court concluded that “at
this late stage in the proceedings-advanced stage in the proceedings,
it would not be appropriate to transfer jurisdiction to the
tribal courts.”
2.
Reasonable
Efforts under SDCL 26-8A-26
In order to terminate the
mother and father's parental rights, SDCL 26-8A-26 requires that “all
reasonable efforts have been made to rehabilitate the family, that the
conditions which led to the *836
removal of the child still exist, and there is little likelihood that
those conditions will be remedied so the child can be returned to the
custody of the child's parents....” In addition, the circuit court must
find that “ ‘termination was the least restrictive alternative commensurate
with the child's best interests....' ” In
the Matter of A.S.,
2000 SD 94, ¶ 19, 614 N.W.2d 383, 386 (quoting In
re J.Y., 502 N.W.2d
860, 862 (S.D.1993); In
re A.H.,
421 N.W.2d 71, 75 (S.D.1988)).
The parents contend, first, that the conditions that existed at
the time of removal do not still exist, and, second,
that termination of their parental rights was not the least
restrictive alternative. They
maintain that the only “condition”
that existed was a physical altercation the parents had while
they were drinking and no evidence was presented indicating “the
domestic violence or drinking has continued.”
While
this was one reason for removing the children, the circuit
court also considered the parents' persistent inability to provide for
their children. Furthermore,
the court considered conditions identified after the children were in
the state's custody such as: “the
parents moving from place to place, [and] not having jobs
or a stable home....”
FN10
The court incorporated a stipulated time line into its findings,
demonstrating the parents' continuing failure to provide for the needs
of their children. Even
with assistance from DSS with rent, living expenses, and basic
necessities such as food and clothing, the parents' inability to
provide for their children persisted as they lived a transient
lifestyle, repeatedly in violation of DSS recommendations and court orders.
FN10.
The
court specifically stated that “it
is not accurate to say that the only basis for
removal from the home was domestic abuse. The
[s]tate alleged a number of different things in their petition.”
The record supports the circuit court's finding that “reasonable
efforts have been made to rehabilitate the family and to
reunite the minor children”
with their parents by DSS. It is undisputed that DSS
worked with the mother and father even after they violated
court orders. In
sum, DSS has been working with and assisting this family
since 2002. During
this time, it was apparent to the circuit court that
“there
is little likelihood that these conditions will be remedied to
allow the children to be returned to the custody of
the children's parents.”
In
particular, both parents failed to follow the recommendations of their
chemical dependency evaluations; the
mother failed to complete her psychological evaluation and abide by
any recommendations; the
father failed to attend or complete any anger management counseling;
and
both parents failed to visit their children regularly, keep in
contact with DSS on a consistent basis, and follow the
court's orders.
When “efforts to assist
the parent through the use of social services proves unavailing, the trial
court is justified in terminating parental rights.” In
re S.L.H.,
342 N.W.2d 672, 677 (S.D.1983) (citing In
re S.S., 334 N.W.2d
59, 62 (S.D.1983)). Accordingly, we see no error in the court's
finding that the evidence supports the conclusion that the conditions
that existed at the time of removal of the children still exist under
SDCL 26-8A-26.
We
next consider whether terminating parental rights was the least restrictive
alternative. Based on the parents' lack of compliance and
their inability to provide for their children, the circuit court found
the parents unfit and that it was not in the best interests of the children
that they return to their parents. The circuit court believed
the conditions *837
that still exist have little likelihood of being remedied. Thereafter,
the court balanced the parents' fundamental right to raise their children
against the best interests of the children and terminated the mother and
father's parental rights. The court concluded this was the
least restrictive alternative available.
The parents, however, ask this Court to allow a guardianship
as a least restrictive alternative. After
presenting this same argument below, the circuit court acknowledged the
children's need for permanency. “[T]he
well-being of the children overcomes the need to continue to
offer services to parents that are unwilling to accept those
services.”
Essentially,
the court declined guardianship in this case because it
would
prolong the impermanent situation and have the children essentially hanging
out there for a long period of time wondering if
their parents are ever going to be able to have
them back again. I
am convinced beyond a reasonable doubt with all of my
findings and all of my conclusions that were we to
give this case another year or another two years or
another three years, that we would be exactly where we
are today, that these children would not have their parents,
and that their parents would not be able to provide
them the level of care necessary.
We conclude that the evidence clearly and convincingly supports the
finding that termination of parental rights was the least restrictive
alternative under SDCL 26-8A-26.FN11
Thus,
the circuit court did not err when it found the
conditions that existed at the time of removal still exist
and that terminating the mother and father's parental rights was
the least restrictive alternative commensurate with the best interests of
the children.
FN11.
The
court addressed the desire to have the children placed with
an Indian family, as ICWA requires, and specifically directed DSS
to “pursue
the options of placing these children with a family member.”
3.
Requirements
under ICWA
Under 25 U.S.C. § 1912(f),
before parental rights can be terminated ICWA requires qualified
expert testimony
to support the court's finding beyond
a reasonable doubt
that serious physical or emotional damage will likely result if
continued custody remains with the parents.FN12
(Emphasis
added). Ray
Cournoyer was offered as the state's sole ICWA expert. Defense
counsel challenged him as an ICWA expert for SWST, but
did not oppose his qualifications as an ICWA expert for
YST. Therefore, the circuit court accepted Cournoyer as a qualified
expert for YST's customs and childrearing practices. FN13
After
Cournoyer explained his qualifications, he testified that in his opinion
the continued custody of these children with their parents would
result in serious emotional damage. Based
on this expert testimony and other facts presented throughout the
termination hearing, the circuit court concluded beyond a reasonable*838
doubt that the continued custody of the children with the
parents
would result in serious emotional damage to the children.
FN12.
Section
1912(f) provides:
No
termination of parental rights may be ordered in such proceeding
in the absence of a determination, supported by evidence beyond
a reasonable doubt, 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. (Emphasis
added).
FN13.
Ray
Cournoyer has been a member of the YST since 1972
and has lived on the reservation for the last thirteen
years. He
has spent most of his life on the reservation, absent
time in the military and while attending college, and is
familiar with the custom and culture of the tribe. He
is also aware of the services available through the YST
regarding childrearing and parenting.
As a result, the parents claim,
first, that the court erred because ICWA necessitates expert testimony on
SWST's customs and childrearing practices, and second, that serious emotional
damage was not proved beyond a reasonable doubt. The parents
claim that expert testimony is qualified if it specifically pertains to
SWST's childrearing practices and customs because SWST is Son 2's alleged
tribe and an expert on the YST practices is insufficient. FN14
See In
the Interest of M.H.,
2005 SD 4, ¶¶ 10-15, 691 N.W.2d 622, 625-27.
FN14.
During
cross examination, Cournoyer was asked about his knowledge of SWST's
customs and childrearing practices. He
responded:
A:
Well,
I think that they're-they belong to the Great Sioux Nation,
and I think we all speak different dialects, but we
all-but their customs and practices are pretty much the same
all the way through Sioux Country. I
think that there is probably a variation, not very much,
but I think throughout Sioux Country they are all-I mean
whatever practices are on Yankton is pretty much what's up
on Sisseton.
Q:
But
you are not aware of, for example, what services may
be available through the Sisseton-Wahpeton Tribe; is
that correct?
A:
I
talked with Evelyn [SWST, ICWA director], and I think all
reservations have the same services as the State.
First, the trial court is
always vested with the sound discretion to decide whether a witness meets
the foundational requirements for testifying as an expert. This
discretion will not be overturned unless we find an abuse of discretion.
See id.;
In the Interest
of O.S., 2005 SD 86,
¶ ¶ 10-14, 701 N.W.2d 421, 425-26. Second,
even if we accepted the parents' claim, qualified expert testimony existed
in this case because the children's tribe is YST, not SWST, and the parents
do not dispute that Cournoyer is a qualified expert on YST's customs and
childrearing practices. The parents are alone in their claim
that SWST is Son 2's tribe and the evidence in the record supports the
court's finding that YST is the children's tribe.FN15
While the children may be eligible for enrollment in SWST, we have
never required a court to consider expert testimony concerning each tribe
the child is eligible for enrollment with.FN16
See Guidelines
for State Courts; Indian Child Custody *839
Proceedings, 44 Fed.
Reg. 67.586, ¶ D.4(b). The circuit court did not abuse
its discretion when it qualified Cournoyer as an expert under 25 U.S.C.
§ 1912(f).
FN15.
Cournoyer
testified that both children are members of YST. Also, a
letter from the Chief Judge of SWST to the circuit
court received one day before the final dispositional hearing states
that “[i]n
order for the children to be enrolled into our [Sisseton-Wahpeton
Sioux] Tribe we must have confirmation
of relinquishment from Yankton Sioux Tribe as you cannot be
enrolled in two tribes simultaneously.”
(Emphasis
added). This
letter was written as a last minute request for a
continuance. The
circuit court addressed this request at the termination hearing and
the decision to deny a continuance was not appealed.
FN16.
ICWA
does not require testimony from an expert on each
and every
tribe the Indian child is eligible for enrollment in. Instead,
the federal guidelines interpreting ICWA provide a list of characteristics
that “are
most likely to meet the requirements for a qualified expert
witness of purposes of Indian child custody proceedings: (i)
A member of the Indian
child's tribe
who is recognized by the tribal community as knowledgeable in
tribal customs as they pertain to family organization and child
rearing practices. (ii) A lay expert witness having substantial experience
in the delivery of child and family services to Indians,
and extensive knowledge of prevailing social and cultural standards and
childrearing practices within the Indian
child's tribe.
(iii) A professional person having substantial education and experience in
the area of his or her specialty.”
See
Guidelines for State Courts; Indian
Child Custody Proceedings,
44 Fed. Reg. 67.586, ¶ D.4(b)
(emphasis added).
Because we find Cournoyer
to be a qualified expert, we next consider the parents' claim that the
evidence did not support the court's finding that “beyond a reasonable
doubt, continued custody of the child by the parent or Indian custodian
is likely to result in serious emotional or physical damage to the child.”
See
25 U.S.C. § 1912(f). ICWA requires this threshold finding
before parental rights can be terminated. See
id.;
In the Interest
of D.G., 2004 SD 54,
¶ 18, 679 N.W.2d 497, 502. According to the parents,
the evidence proved only a “ ‘possibility that there could be’ some emotional
damage” and that is insufficient to sustain a finding beyond a reasonable
doubt.
The circuit court considered the fact that the mother and
father have “made
no efforts to avail themselves of any substantial services throughout
the entire process of this case [and][t]here has been no
significant accomplishment towards any of the goals that have been
set throughout the proceedings by Social Services or the Court.”
Further,
the court considered the testimony of the ICWA expert and
others, and concluded that “there
is little likelihood that any ...
continued efforts are going to make any change with this
family, and I also buttress that with my experience dealing
with the family throughout the proceedings of this particular case.”
FN17
FN17.
Cournoyer,
testifying as the ICWA expert, was asked:
Q:
This
point as of today, if this judge were to say
that [the children are going to go and live with
their parents] as of today, do you believe that that
would likely result in serious emotional or physical damage?
A:
I
think it would because they haven't taken advantage of the
services that were offered to them.
...
Q:
Okay.
If the parents have domestic abuse issues, anger issues and
then don't address those properly with treatment as recommended by
the Tribe, that could result also in serious emotional injury
to the children, correct?
A:
Yes.
Because it shows up at school, and they have problems
not only through school and other things, but it shows
up throughout the community.
Q:
Okay.
If the parents have unresolved alcohol issues, would that have
a-a negative result on the children's emotional health?
A:
Yes.
In my own personal experience of observing, I say yes.
The evidence for this issue is closely tied with the
evidence to support termination as the least restrictive alternative under
SDCL 26-8A-26. Thus,
we hold that the court's findings support a conclusion beyond
a reasonable doubt that continued custody of the children with
the parents would likely result in serious emotional damage and
termination was the least restrictive alternative commensurate with the children's
best interests.
4.
No
Absolute Right to Refuse to Testify in Dispositional Hearings
The children and the state challenge
the circuit court's decision that neither parent would be required to
testify at the final dispositional hearing. After the children
called the mother to testify, the court asked the mother's attorney if
he discussed with her, her “right not to testify” and the attorney answered
in the affirmative. The children's attorney argued that the
parents do not have a right at a dispositional hearing not to testify,
but the court disagreed and excused both parents from testifying. The
state and the children objected, but the court did not identify a reason
for allowing the parents this blanket right.
On appeal, the parents argue that they had the right
to remain silent under *840
the Fifth Amendment of the Federal Constitution and article VI,
section 9 of the South Dakota Constitution. But
the court denied any opportunity to inquire into areas that
would be non-incriminating. While
the issue is moot because we are affirming the circuit
court's decision to terminate parental rights, we nevertheless choose to
address it for the benefit of the bench and bar.
An abuse and neglect proceeding
is civil in nature, not criminal or quasi-criminal. See
In re
C.J.H.,
371 N.W.2d 345, 349 (S.D.1985). Nevertheless, we recognize
the privilege against self incrimination in civil proceedings. See
State v. Sinnott,
72 S.D. 100, 105, 30 N.W.2d 455, 458 (1947) (article VI, section 9 of
the South Dakota Constitution that grants the privilege against self incrimination,
“is not confined to criminal actions, but extends to all manner of proceedings
in which testimony is to be taken and protects both witnesses and parties”)
(citing State v. Smith,
56 S.D. 238, 228 N.W. 240 (1929)). In addition, the children
and the state have the right to call the parents as witnesses and interrogate
them until the privilege is invoked. See
id. (stating that it
is the plaintiff's right to call the defendant as a witness in a civil
proceeding) (citation omitted). Because the circuit court's
decision closed the door to information that may have been important in
determining the final disposition of these children, we must consider
whether a parent can flatly refuse to testify at a termination hearing,
even concerning questions that are not incriminating.
We have not previously addressed
this question; however, as the Eighth Circuit Court of Appeals explained,
“[t]here is no blanket Fifth Amendment right to refuse to answer questions
in noncriminal proceedings.” Capitol
Products Corp. v. Hernon,
457 F.2d 541, 542 (8thCir.1972). Instead, a court should determine
if the witness “is confronted by substantial and ‘real’, and not merely
trifling or imaginary, hazards of incrimination.” Daly
v. United States, 393
F.2d 873, 878 (8th Cir.1968) (quoting Marchetti
v. United States, 390
U.S. 39, 53, 88 S.Ct. 697, 706, 19 L.Ed.2d 889 (1968) (citing Rogers
v. United States, 340
U.S. 367, 374, 71 S.Ct. 438, 442, 95 L.Ed. 344 (1951); Brown
v. Walker, 161 U.S.
591, 600, 16 S.Ct. 644, 648, 40 L.Ed. 819 (1896))).
The circuit court's ruling giving the parents an absolute right
against being examined in court could have excluded information that
was in the sole possession of the parents. While
there was ample evidence in the record to support the
court's decision to terminate parental rights, the court should not
have allowed the parents a blanket right not to testify.
The
children and the state have a valid interest in questioning
the parents in order to inquire into matters that would
not be incriminating and would not violate the parents' privilege
against self incrimination.
Affirmed.
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