|
(Cite
as: 320 Or. 233, 881 P.2d 795)
Quinn
v. Walters
Or., 1994.
Supreme
Court of Oregon.
In
the Matter of the Adoption of Loren Kyle Edgar Quinn,
a Minor.
Peter
Gordon QUINN and Kylene Johnson Quinn, Petitioners on Review,
v.
Maki
WALTERS, Respondent on Review.
CC
A91-010.
CA
A71493;
SC
S40020.
Argued
and Submitted Nov. 3, 1993.
Reassigned
June 22, 1994.
Decided
Oct. 6, 1994.
**796
*234
Thomas V. Dulcich, of Schwabe, Williamson & Wyatt, Portland, argued
the cause for petitioners on review.
With him on the petition was Mildred J. Carmack.
Craig
J. Dorsay, of Meyer & Wyse, Portland, argued the cause
and filed the response for respondent on review.
Before
CARSON, C.J., and PETERSON,FN**GILLETTE,
VAN HOOMISSEN, FADELEY, UNIS, and GRABER, JJ.
FN**
Peterson,
J., retired December 31, 1993.
*235
GRABER, Justice.
This
is an adoption proceeding.
The first issue presented is whether there was sufficient admissible
evidence in the record that the child whose adoption is
sought is an “Indian
child”
within the meaning of the Indian Child Welfare Act of
1978 (ICWA), 25 USC §
1901
et
seq.FN1
If
there was sufficient evidence on that point, the second issue
is whether a provision of ICWA, relating to a biological
parent's right to withdraw consent to the adoptive placement of
an Indian child,FN2
**797
applies to the adoption of a child who did not
assertedly qualify as an Indian child within the meaning of
ICWA until after the child's biological mother gave what Oregon
law would treat as irrevocable consent to the adoption if
an Indian child were not involved.FN3
We
hold that there was not sufficient
*236
admissible evidence in the record that the subject child is
an Indian child within the meaning of ICWA and, accordingly,
affirm the judgment of adoption without reaching the second issue.
FN1.
25
USC §
1903(4)
(1988) provides in part:
“
‘Indian
child’
means any unmarried person who is under age eighteen and
is *
*
*
eligible for membership in an Indian tribe and is the
biological child of a member of an Indian tribe[.]”
FN2.
25
USC §
1913(c)
(1988) provides:
“In
any voluntary proceeding for termination of parental rights to, or
adoptive placement of, an Indian child, the consent of the
parent may be withdrawn for any reason at any time
prior to the entry of a final decree of termination
or adoption, as the case may be, and the child
shall be returned to the parent.”
25
USC 1903(1)(iv) (1988) defines “adoptive
placement”
as “the
permanent placement of an Indian child for adoption, including any
action resulting in a final decree of adoption.”
FN3.
ORS
109.312(2)(a) provides in part:
“A
person who gives consent to adoption under subsection (1) of
this section may agree concurrently or subsequently to the giving
of such consent that the consent shall be or become
irrevocable, and may waive such person's right to a personal
appearance in court *
*
*.
The certificate of irrevocability and waiver shall be in effect
when the following are completed:
“(A)
The
child is placed for the purpose of adoption in the
physical custody of the person or persons to whom the
consent is given;
“(B)
The
person or persons to whom consent for adoption is given
have filed a petition to adopt the child in a
court of competent jurisdiction;
“(C)
The
court has entered an order appointing the petitioner or some
other suitable person as guardian of the child *
*
*;
“(D)
The
Children's Services Division *
*
*
has filed *
*
*
a *
*
*
home study *
*
*;
“(E)
Information
about the child's social, medical and genetic history *
*
*
has been provided *
*
*
by the person giving consent to the adoption;
and
“(F)
The
person signing the certificate of irrevocability and waiver has been
given an explanation by an attorney who represents the person
and who does not also represent the adoptive family *
*
*.”
On
April 9, 1991, Maki Walters, then 15 years old, gave
birth to a son (Child).
Walters had decided during her pregnancy that she would release
her child for adoption.
She met the prospective adoptive parents in this case, the
Quinns, in the fall of 1990, and remained in contact
with them from time to time thereafter.
The Quinns, who were represented by counsel, also provided Walters
with a separate lawyer to advise her regarding the adoption
process.
In
December 1990, the Quinns' lawyer, knowing of Walters' Cherokee heritage,
inquired of the Cherokee Nation in Tahlequah, Oklahoma, whether Walters'
paternal grandmother, Lela Fay Brewer Walters, was an enrolled member
of that tribe.
The Cherokee Nation responded by letter that neither Walters nor
her named grandmother was registered with the tribe and that,
therefore, the tribe “is
not empowered to intervene in this matter.”
FN4
FN4.
In
context, the “matter”
referred to was the prospective adoption of Child by the
Quinns.
On
the date that Child was born, Walters executed an “Affidavit
of Birth Mother”
stating, among other facts, that she was the natural mother
of Child.
Walters also executed a “Surrender
and Consent”
to the adoption of Child;
a
“Certificate
of Irrevocability and Waiver of Personal Appearance”;
and
a “Statement
of Understanding.”
The assertions in the “Surrender
and Consent”
included the following:
“I
permanently surrender and release all of my parental rights, custody,
guardianship, control to and over the child to the [Quinns].
“
*
*
*
*
*
“I
understand that this consent will be irrevocable under the provisions
of ORS 109.312(2)(a) and in any event will be irrevocable
after the decree of adoption is signed.”
*237
The “Certificate
of Irrevocability and Waiver of Personal Appearance”
stated in part:“I,
Maki Walters, do hereby certify that I understand the Surrender
and Consent to adoption executed by me *
*
*
shall become irrevocable as set forth under ORS 109.312(2)(a) *
*
*.”
The
Statement of Understanding asserted in part:**798
“I
want to permanently give my child born April 9, 1991
to the [Quinns] for adoption and I choose them to
be the parents for my child.
“
*
*
*
*
*
“I
know that if I do not wish to sign a
consent to this adoption, I can refuse and my child
will remain with me.
“
*
*
*
*
*
“I
understand that by signing a Certificate of Irrevocability and Waiver
of Personal Appearance, the Surrender and Consent will be irrevocable
after the Petition for Adoption is filed and the requirements
of ORS 109.312(2)(a) are fulfilled.
“
*
*
*
*
*
“I
have reviewed this Statement of Understanding with my attorney.”
In
addition, the “Affidavit
of Birth Mother”
signed by Walters on April 9, 1991, included the following
assertion:“I
am not a member of any Indian tribe nor, to
my knowledge, am I eligible for enrollment in any tribe.
We contacted the Cherokee Nation several times by telephone and
by letter because I believe my father's grandmother was a
member of the tribe.[FN5]
The
Cherokee Nation advised that it is not empowered to intervene
in this matter.”
FN5.
As
noted above, the one written inquiry that is in the
record concerned Walters' paternal grandmother, Lela Fay Brewer Walters, not
Walters' paternal great-grandmother.
Walters does not assert that the discrepancy between the one
written inquiry and the Affidavit of Birth Mother (referring to
several written and telephonic communications) has any legal significance.
Similarly,
the “Surrender
and Consent”
stated:
“My
child is not an ‘Indian
child’
as defined in the Indian Child Welfare Act (25 USC
[§]
1901 et seq.).”
*238
The Quinns obtained physical custody of Child on April 10,
1991.
They immediately filed a petition to adopt Child and were
appointed guardians of Child.
On
April 22, 1991, when Child was 13 days old, Walters
filed in the adoption proceeding a document entitled “Revocation
of Consent to Adoption,”
in which she stated:
“The
*
*
*
Indian Child Welfare Act [25 USC §
1901
et
seq.]
does apply to the minor child in that the child's
maternal
great-grandfather is an enrolled and full-blooded member of the Cherokee
Indian Tribe and I am now advised that I may
also be an enrolled member of the said tribe.”
On
May 14, 1991, Walters filed a motion to dismiss the
adoption proceeding.
In that motion, she asserted that Child“is
an Indian Child as defined by [25 USC §
1903(4)
],
and Maki Walters' consent to adoption is not valid under
[25 USC §
1913].
Maki Walters may withdraw her consent at any time prior
to a final decree of adoption being entered.”
At
a July 24, 1991, hearing, Walters offered in evidence a
notarized affidavit from the Registrar of the Cherokee Nation of
Oklahoma.
That affidavit is dated July 22, 1991;
it
states that, according to tribal records, Walters and her father
are “duly
registered”
members of the Cherokee Nation of Oklahoma. FN6
The
affidavit further states that “any
biological child of Maki Olivia Walters is eligible for membership
in the Cherokee Nation of Oklahoma.”
FN6.
Walters
asserts that she became duly registered on July 19, 1991.
The
Quinns' counsel objected to the admission of that affidavit, on
the ground that “it
is a hearsay statement to prove the truth of the
matter asserted.
I am not in a position to waive any foundation
or other evidentiary objections to it.”
The trial court overruled the objection without explanation and admitted
the affidavit.
The trial court also admitted, over the Quinns' hearsay objection,
testimony by Walters' father that he was a member of
the Cherokee Nation.
At
the conclusion of the hearing, the trial court denied Walters'
motion to dismiss the adoption proceeding, reasoning that Walters had
not been a member of a tribe at the time
she signed the irrevocable consent to adoption.
On August 15, 1991, the court granted the judgment of
adoption.
**799
*239
Walters appealed from the judgment of adoption, assigning as error
the trial court's denial of her motion to dismiss the
proceeding based on the applicability of ICWA.
In their response, the Quinns cross-assigned as error the admission
of the affidavit of the Registrar of the Cherokee Nation
and the admission of testimony by Walters' father that he
was a member of the Cherokee Nation.
The
Court of Appeals, sitting in
banc,
reversed.
Quinn
v. Walters,
117 Or.App. 579, 845 P.2d 206 (1993).
That court concluded that, under the “plain
meaning”
of 25 USC §
1913(c)
(1988), “the
consenting parent has until the entry of the final adoption
or termination judgment to revoke consent to adoption.
State adoption law cannot interfere with that federal right.”
117 Or.App. at 582, 845 P.2d 206.
On the Quinns' first cross-assignment of error, the Court of
Appeals concluded that the trial court erred in admitting the
affidavit of the Registrar, because that document was hearsay that
was not admissible under any exception to the hearsay rule.
Id.
at 585, 845 P.2d 206.
The court held, however, that it “cannot
know whether, had the trial court made the correct ruling
on the evidence issue, [Walters] could have presented other, admissible,
evidence to prove [C]hild's connection with the tribe.”
Id.
at 586, 845 P.2d 206.
Concluding that it would be “grossly
unfair”
to deny Walters that opportunity, the court remanded the case
for rehearing, excluding the inadmissible evidence.
Id.
at 586, 587, 845 P.2d 206.FN7
FN7.
The
Court of Appeals did not address the Quinns' assignment of
error relating to the testimony of Walters' father.
Because of our disposition of this case, we also do
not address that assignment of error.
Two
judges dissented.
The dissenters reasoned that ICWA does not apply to a
child who has not been part of an “Indian
cultural setting”
and that, in any event, there was no admissible evidence
that Child was an Indian child.
Quinn
v. Walters,
117 Or.App. at 587-93, 845 P.2d 206 (Edmonds, J., dissenting).
The
Quinns petitioned for review.
We allowed the petition.FN8
We
now reverse the decision of the Court of Appeals and
affirm the judgment of the circuit court.
FN8.
We
limit our review to questions of law.
See
ORS 19.125(4) (“When
the Court of Appeals has tried a cause anew upon
the record, the Supreme Court may limit its review of
the decision of the Court of Appeals to questions of
law.”).
*240
Walters gave what ordinarily would be valid, irrevocable consent to
the adoption of Child, under ORS 109.312.
Indeed, Walters does not argue that her consent was defective
when given;
she
argues only that she had a later right to revoke
that consent pursuant to 25 USC §
1913(c).
As stated, the underlying issue in this case is whether
25 USC §
1913(c)
applies to the adoption of a child who assertedly qualified
as an “Indian
child”
within the meaning of ICWA before the entry of the
final adoption judgment, but after the child's biological mother gave
what Oregon law would treat as irrevocable consent to the
adoption if an Indian child were not involved.
If so, then “irrevocable”
consent to the adoption of a child, given pursuant to
ORS 109.312 in those circumstances, would not operate to prevent
the biological mother from withdrawing that consent.
See
U.S. Const., Art. VI, cl. 2 (the Constitution of the
United States, and laws of the United States made pursuant
thereto, “shall
be the supreme Law of the Land, *
*
*
any *
*
*
Laws of any State to the Contrary notwithstanding”).
See
also
25 USC §
1901(1)
(1988) (Congress finds “that
*
*
*
clause 3, section 8, article I of the United States
Constitution provides that ‘The
Congress shall have Power *
*
*
To regulate Commerce *
*
*
with Indian tribes' and, through this and other constitutional authority,
Congress has plenary power over Indian affairs”
(footnote omitted)).
Before
we reach that issue, however, we analyze whether there was
sufficient evidence at the hearing to prove that Child is
an Indian child within the meaning of ICWA.
If not, then ICWA-however it may be construed-does not apply
and Walters' valid, irrevocable consent to the adoption of Child,
under ORS 109.312, would prevent her from withdrawing consent.
[1]
We
first note that the Oregon Evidence Code applied, generally, to
this proceeding.**800
FN9
Although
the hearing arose as a result of Walters' motion to
dismiss the adoption proceeding, the hearing also was a hearing
on the merits of the adoption.
See
ORS 109.307(1) (providing for a hearing on the merits of
a petition for adoption).
The Oregon Evidence Code applies to such proceedings.
See
OEC 101(2) (the Code applies
*241
generally to civil proceedings);
State
ex rel Juv. Dept. v. Beasley,
314 Or. 444, 449, 840 P.2d 78 (1992) (Oregon Evidence
Code applies to a proceeding to terminate parental rights).
FN9.
The
circuit court, and both parties, treated the hearing as one
to which the Oregon Evidence Code applied.
We
next consider whether any statute outside the Oregon Evidence Code
establishes specifically what evidence is admissible, or sufficient, to demonstrate
that a child is an Indian child within the meaning
of ICWA.
See
OEC 802 (hearsay is admissible if so “provided
by law”).
In response to a question from this court concerning Oregon
evidentiary law, Walters argued for the first time that, although
the Oregon Evidence Code applied generally to the proceeding, it
did not apply to the determination of whether Child is
an Indian child because of the liberal policies of ICWA.
[2][3]
That
argument is circular.
It presupposes the application of ICWA before the applicability of
ICWA has been established.
Moreover, nothing in ICWA says or suggests that particular evidence,
such as hearsay, must be admitted even if it is
not admissible under a state's evidentiary law.
Finally, Walters did not preserve this argument at the hearing
or raise it on appeal and, consequently, the argument is
not reviewable.
See
ORAP 5.45(2) (requiring preservation of error).
[4]
The
dissents cite two state statutes, but neither statute answers the
evidentiary question.
ORS
109.312(3) provides:
“Consent
to the adoption of a child subject to the Indian
Child Welfare Act shall not be valid unless the requirements
of the Indian Child Welfare Act (25 U.S.C. §
1901
et seq.) are met.
In accordance with the Indian Child Welfare Act a certificate
of irrevocability is not valid for a child who is
subject to the Indian Child Welfare Act.”
That
statute pertains to cases in which a child is “subject
to”
ICWA but does not suggest what evidence is admissible, or
sufficient, to demonstrate that a child is “subject
to”
ICWA.
[5]
ORS
109.350 provides in part that “[i]f,
upon a petition for adoption *
*
*
the court is satisfied *
*
*
that, if
applicable,
the requirements of [ICWA] have been met, *
*
*
a decree shall be made.”
(Emphasis
added.)
That statute governs what a trial court must consider if
ICWA is “applicable”
but, like ORS 109.312(3), does not suggest what evidence is
*242
admissible, or sufficient, to demonstrate that ICWA is “applicable.”
No
other statute, apart from the Oregon Evidence Code, is argued
to control the evidentiary question presented.
We turn, then, to the application of the Oregon Evidence
Code.
[6]
As
previously stated, the trial court admitted into evidence an “Affidavit”
executed by the Registrar of the Cherokee Nation, which stated
that Walters was an enrolled member of that tribe as
of July 22, 1991, and that any biological child of
Walters “is
eligible for membership”
in the tribe.
To the extent that those facts were admissible in evidence,
they demonstrated that Child was an “Indian
child,”
within the meaning of ICWA, as of July 22, 1991.
The
Court of Appeals held that the trial court erred in
admitting the affidavit, because it was hearsay that did not
fall within any exception to the general rule against admitting
hearsay.
117
Or.App. at 585, 845 P.2d 206;
see
OEC 801(3) (“
‘Hearsay’
is a statement, other than one made by the declarant
while testifying at the trial or hearing, offered in evidence
to prove the truth of the matter asserted”);
OEC
802 (“Hearsay
is not admissible except as provided”
in the rules of evidence).
We have considered all of the possible hearsay exceptions and
agree **801
with the Court of Appeals that none of them applied
to the affidavit in question.
Accordingly,
the trial court erred in overruling the objection and admitting
the Registrar's affidavit.
In the absence of the affidavit, there was not sufficient
evidence before the court that Child was “eligible
for membership”
in the Cherokee Nation so as to be an Indian
child within the meaning of 25 USC §
1903(4).
[7]
It
is true that Walters' father testified that, at the time
of the hearing, he was a member of the Cherokee
Nation of Oklahoma.FN10
No
evidence linked that fact, however, with tribal membership on the
part of his daughter or eligibility for tribal membership on
the part of her biological child.
To the
*243
contrary, there was evidence that some of Child's ancestors are
non-Indian and that the Cherokee Nation requires that particular facts
be established for eligibility, including enrollment of certain ancestors by
1906, enrollment of a natural parent, and a particular degree
of “Indian
blood.”
FN10.
The
Quinns objected to his testimony.
We need not decide whether their objection was well taken,
because his testimony, even if admissible, did not establish that
Child was an Indian child within the meaning of ICWA.
In
summary, there was not sufficient admissible evidence that ICWA applies
to Child.
For that reason, Walters did not establish that her consent
to the adoption of Child, given pursuant to ORS 109.312
and conceded by Walters to be valid and irrevocable if
ICWA does not apply, could be withdrawn.
Walters
argues that the Quinns cannot prevail on the basis of
insufficient evidence as to the applicability of ICWA because, at
the hearing, the Quinns did not place in issue Child's
eligibility for membership in the Cherokee Nation.
We read the record differently.
The Quinns' trial memorandum quoted 25 USC §
1903(4),
defining “Indian
child,”
and argued that neither Walters nor Child was a member
of an Indian tribe and that, consequently, “ICWA
does not apply to the case at hand.”
Walters
also argues that the Quinns waived their objection to the
affidavit at the hearing.
Again, we read the record differently.
As noted above, the Quinns' counsel objected to the admission
of the affidavit, stating that “it
is hearsay, an out of court statement offered to prove
the truth of the matter asserted.
I am not in a position to waive any foundation
or other evidentiary objections to it.”
For
the foregoing reasons, we conclude that the trial court did
not err in entering the judgment of adoption.
The
decision of the Court of Appeals is reversed.
The judgment of the circuit court is affirmed.
FADELEY,
Justice, dissenting.
The
power to grant an adoption, when exercised, changes an individual
from membership in one family to another.
The adopted person is lost to his birth family and,
in cases such as this, the culture into which he
was born.
ORS
109.350.
That is an awesome power.
When the power is used to remove an Indian child
from the surrounding most likely to connect that child with
his or her cultural heritage, that
*244
decision unintentionally continues the gradual genocide
FN1
of the Indians in America.
FN1.
“By
genocide we mean the destruction of a nation or of
an ethnic group.”
Ralph Lemkin, Axis Rule in Occupied Europe (1944).
Lemkin coined the word.
Bartlett's Familiar Quotations, 704 n 2 (16th ed 1992) (footnote
omitted).
The
majority treats this case, settled on a motion to dismiss
the mother's withdrawal of consent to adopt and objection to
adoption, as if it were an adversary trial to a
jury.
Adoptions are not adversary trials insofar as the judge's role
is concerned.
The adoption judge here absolutely knew that the child was
an Indian child before he allowed the adoption or signed
the judgment of adoption.
He knew that the Indian Child Welfare Act (ICWA), 25
USC §
1901
et
seq.,
applied and knew that the state adoption statutes apply.
His error of law offends the very law that empowered
him to grant adoptions by ignoring its provisions applicable to
the consent of the mother of this Indian child.
**802
The circuit court's decision to grant the adoption on the
ground that the consent of the Indian mother was irrevocable
is contrary to state and federal statutes previously enacted to
prevent unintended genocide.
Both the Oregon legislature and Congress have acted to protect
Indian children and the tribes (whose future the children are)
from loss of each child's Indian identity.
The trial court's ruling should be reversed because it is
contrary to law.
I would apply the laws intended to preserve and honor
the Indian culture as stated herein.FN2
FN2.
The
Indian cultures have suffered frequent diasporas.
The Cherokee here involved and their Trail of Tears are
no exception.
The state and federal statutes cited herein were enacted to
recognize and affirmatively remedy the culturally destructive effects of those
diasporas.
The statutes do not contain the limits on their remedial
application that the majority interprets into them;
indeed,
by their terms, the statutes specifically do not permit taking
of liberties that the majority takes.
The
majority rewrites the adoption statutes contrary to the intent of
Oregon's elected legislative representatives.
The majority overlook the provisions of the protective act adopted
by the federal Congress, including administrative rules adopted to carry
out the act of Congress.
Congress
knew that there is no Indian tribe without members.
Congress listened and learned that a tribe has no heart
except the hearts of its members and that the spirit
of
*245
its members is the spirit of the tribe.
Congress understood that the life of a tribe exists only
in its future and its future is its children.
Congress knew that all children are desirable to parent and
that part of the joy of parenting is guiding the
child's future.
Listening,
knowing, and understanding, Congress acted to save the tribe by
saving its future existing only in its children.
Congress enacted The Indian Child Welfare Act of 1978, 25
USC §
1901
et
seq.
One section relevant to this case, 25 USC §
1913(a),FN3
in part provides that:
FN3.
25
USC §
1903(1)(ii)
defines “termination
of parental rights”
to “mean
any action resulting in the termination of the parent-child relationship.”
An adoption terminates that relationship.
ORS
109.350 (“[A]
decree shall be made *
*
*
ordering that from the date of the decree the child,
to all legal intents and purposes, is the child of
the petitioner”).
Thus, the consent in this case was void.
25
USC §
1913(a)
requires that consent to adoption of an Indian child must
be entered before a judge who personally must explain the
consequences of the consent.
That was not done here.
Subsection (c) additionally provides:
“In
any voluntary proceeding for termination of parental rights to, or
adoptive placement of,
an Indian child, the consent of the parent may be
withdrawn for any reason at any time prior to the
entry of final decree of termination or adoption, as the
case may be, and the child shall be returned to
the parent.”
(Emphasis
added.)
Thus,
the consent was voidable by the birth mother's written withdrawal
filed in this case before the petition to adopt was
considered on its merits.
“Any
consent given prior to, or within ten days after, birth
of the Indian child shall not be valid.”
Consents
within ten days after birth involving an Indian child are
always
invalid
under the federal statute.
In this case, birth occurred on April 9, the consent
was signed the same day.
The adoption petition was filed on April 10.
The 15-year-old Indian mother promptly withdrew her consent.
But the adoption court judge held that the consent, once
given, was irrevocable, notwithstanding the federal law and the state
law to the contrary that I discuss below.
Subsection
(c) of 25 USC §
1913
also applies.
It flatly states:
“In
any voluntary proceeding for *
*
*
adoptive placement of, an Indian child, the consent of the
parent may be withdrawn for any reason at any time
prior to the entry of a final decree of termination
or adoption, as the case may be, and the child
shall be returned to the parent.”
*246
25 USC §
1914
creates a right in a parent of an Indian child
and
in “the
Indian child's tribe”
to
“petition
any court of competent jurisdiction to invalidate such action [“termination
of parental rights under State Law”]
upon a showing that such action violated any provision of
section[s] *
*
*
1913 of this title.”
FN4
FN4.
Although
we need not decide it here, it appears likely that
25 USC §
1912
also would apply to this case after the biological parent
withdrew her consent.
Formal notice of a proposed adoption of an Indian child
must be given to the child's tribe or to the
Secretary of the Interior under that federal statute section.
**803
Without notice to the tribe or valid consent, an adoption
is an act of genocide, an elimination of the tribe's
future.
Listening,
knowing, and understanding, the Oregon legislature also acted to protect
the tribes' futures and their children's heritage.
Oregon Laws of 1983, chapter 302, provides new, mandatory rules
in Oregon adoption proceedings.
Section 1(5) in part requires:
“The
adoption shall comply with the Indian Child Welfare Act (25
U.S.C. §
1901
et seq.), if applicable.
Every adoption petition involving the Indian Child Welfare Act shall
include the following:
“(a)
A statement of the efforts to notify the appropriate Indian
tribe or tribes of the adoption[.]”
Most
significantly, section 2(5) of Oregon's 1983 Act provides:“Consent
to the adoption of a child subject to the Indian
Child Welfare Act shall
not be valid
unless the requirements of the Indian Child Welfare Act (25
U.S.C. §
1901
et seq.) are
met.”
FN5
(Emphasis
added.)
FN5.
The
majority, in effect, finds ambiguity in the statute, without saying
so;
namely,
that it is not clear that proof of the child's
Indian heritage can be made before a decree was entered
but after a petition containing a consent was filed.
The majority then legislates that Indian heritage may be proved
only by records existing before
initial petition filing.
Sande
Schmidt, Staff Attorney, American Legal Services/Native American Program, and LeRoy
W. Wilder, Confederated Tribes of Siletz, Association of American Indian
Affairs, testified, as witnesses before the Senate Judiciary Committee of
the Oregon Legislative Assembly in May of 1983, that the
goals were to protect the interests of Indian families and
halt the unwarranted break-up of Indian families, to protect tribal
interests, and to protect non-Indian adoptive families.
The minutes of that meeting reflect the following exchange:
“SCHMIDT
said that it applies to any adoption involving an Indian
child.
Efforts to determine whether the child is an Indian or
not are not relevant to the Act.
The question of whether reasonable efforts were made to determine
this is up to the court.
“HENDRIKSEN
[State Senator] asked if it would be voided if it
is discovered that the child is an Indian and they
have not followed the Act.
“WILDER
said yes.”
Minutes, Senate Judiciary Committee, May 5, 1983, pp 6-7.
*247
The Oregon legislature also has enacted an additional amendment, immediately
following the invalid-consent provision of section 2(5) of chapter 302,
Oregon Laws, 1983, previously quoted.
The new amendment states:
“In
accordance with the Indian Child Welfare Act a certificate of
irrevocability is not valid for a child who is subject
to the Indian Child Welfare Act.”
ORS
109.312(3).
The
Oregon legislature thus has expressly interpreted the federal act to
provide that a certificate of irrevocability of consent is “not
valid”
in the circumstances of this case.
There
is absolutely no doubt that all parties knew, from the
start, of the child's Indian ancestry, and specifically of the
Cherokee bloodline.
Petitioners' attorney's statements to the court, among other sources, make
that clear.
The record is replete with knowledge of the child's Indian
ancestry through his mother.
The mother's father testified in the adoption case hearing that
he was an enrolled member of the Cherokee Nation headquartered
in Oklahoma.
His pedigree testimony alone, never overcome by any other evidence,
is sufficient to invoke the provisions of ORS 109.350 and
other laws, had there otherwise been any doubt in this
case.
The trial court made no finding to the contrary but,
instead, relied on the untenable proposition that, even as to
an “Indian
child,”
a consent once given is irrevocable.
25
USC §
1913(a),
quoted in part above, flatly prohibits the irrevocability of the
consent at birth involved here.
Under
Oregon adoption statutes, a court must be satisfied by the
affirmative showing of those who seek the adoption.
ORS
109.350, as amended by Oregon Laws 1983, chapter 302, section
3, in part provides:
“If,
upon a petition for adoption *
*
*
the
court is satisfied
*
*
*
that,
if applicable, the requirements of the Indian Child **804
Welfare
Act (25 U.S.C. §
1901
et seq.) have been met
*
*
*
a decree shall be made *
*
*.
In an adoption subject to the Indian Child Welfare Act
(25 U.S.C. §
1901
et seq.), the state
*248
court shall provide to the United States Secretary of the
Interior a copy of the decree together with the other
information required by the Indian Child Welfare Act.
(25
U.S.C. §
1901
et seq.)”
(Emphasis
added.)
The
requirement is that the court
be “satisfied
that the requirements of the Indian Child Welfare Act have
been met”
before an adoption may be granted.
Those legislative enactments concerning adoption law permit the court to
which an adoption petition is presented to grant the adoption
only if the court is “satisfied”
that the requirements of the Indian Child Welfare Act “are
met.”
That places the burden to satisfy the court on those
seeking the adoption, not on the child's Indian mother, grandfather,
or the Cherokee Nation in which everyone now knows they
are either enrolled as tribal members or eligible for enrollment.FN6
FN6.
“The
adoption shall comply with the Indian Child Welfare Act (25
U.S.C. §
1901
et seq.), if applicable.
Every adoption petition involving the Indian Child Welfare Act shall
include the following:
“(a)
A
statement of the efforts to notify the appropriate Indian tribe
or tribes of the adoption;
and
“(b)
A
statement of the efforts to comply with the placement preferences
of the Indian Child Welfare Act (25 U.S.C. §
1901
et seq.) or the placement preferences of the appropriate Indian
tribe.”
Or.Laws 1983, ch. 302, §
1(5).
That
requirement is given equal stature to all other requirements that
condition a court's decision to terminate one familial relationship of
a child and create a different one.
On all of those conditions
FN7
to adoption alike, the petitioner seeking to cut off one
family and to attach the child to different relationships and,
perhaps, cultures, bears the burden of satisfying the judge that
the adoption legally may, and factually should, be completed.
FN7.
The
conditions I speak of here, including the statutes discussed, are
first-step considerations under Zockert
v. Fanning,
310 Or. 514, 518, 800 P.2d 773 (1990).
That step involves parental consents, or substitutes for them, necessary
to terminate the natural parents' rights and a child's rights
as to her natural parents.
The
concepts on which the state and national legislatures acted to
protect the tribe's interest in the child may, perhaps, be
understood from this quote:
“Indian
parents from the very beginning direct their children's attention outward,
toward the land, the sky, the tribe and its history,
its customs and traditions.
*
*
*
This is not a
*249
matter of distraction but a matter of conviction-the parent's belief
that a child is not the property of a certain
family but belongs to a tribe, a people, and, just
as important, a given landscape, a visible segment of the
natural world.
Day by day Indian children learn not only to appreciate
and feel at home in that world, but to consider
its rhythms and demands as of the highest consequence.”
Robert Coles, M.D. IV, Children of Crisis, Eskimos, Chicanos, Indians,
520 (1st ed 1978).
The
need to understand the structure of other cultures before deciding
issues that involve that structure is emphasized by a report
recently received by this court from a task force study
initiated and funded by this court that states:
“Among
the conclusions:
*
*
*
“
*
*
*
*
*
“7.
Judges
handling family law cases involving minorities often lack an understanding
of the traditions and cultural practices of minority families.”
FN8
FN8.
Oregon
Judicial Department, Office of the State Court Administrator, Report of
the Oregon Supreme Court Task Force on Racial/Ethnic Issues in
the Judicial System 3 (May 1994).
Washington
state's judicial branch has also studied their courts and recommended,
inter
alia,
a cultural awareness program as part of the effort toward
“elimination
of existing bias.”
Report of Minority and Justice Task Force 198, Washington State
Office of Administrator of the Courts (1990).
The
trial judge's decree should be reversed because it is based
erroneously on holding that the consent was irrevocable, contrary to
the statutes declaring that such consent was not valid and
that such consents cannot be made irrevocable in the circumstances
of this case.
The proper law to apply is the requirement**805
that an adoption concerning an Indian child may go
forward only if the judge hearing the adoption petition is
“satisfied”
that the requirements of the Indian Child Welfare Act are
met.
The judge could not have been satisfied here, had he
applied that statutory standard rather than relying on the revoked
consent, by holding it “irrevocable,”
contrary to, provisions by state and federal statutes.FN9
No
adoption is possible under either state or federal
*250
law absent consent or a substitute for it such as
termination of parental rights by a separate proceeding complying with
due process.
FN9.
My
brother, Unis, J., points out that the best interests of
the Indian child also militates against a state granting its
blessing to the adoption in this case.
I agree with his dissent but think that consent is
the dispositive issue reached in this case.
Best interests is not in issue where there is no
valid consent to adopt.
Moreover, that consent as to an Indian child cannot be
held sufficient until the interest of the tribe in the
child has been determined affirmatively pursuant to 25 U.S.C. §
1914.
That did not occur here.
ORS
109.312(3) expressly states:
“Consent
to the adoption of a child subject to the Indian
Child Welfare Act shall not be valid unless the requirements
of the Indian Child Welfare Act (25 U.S.C. §
1901
et seq.) are met.
In accordance with the Indian Child Welfare Act a certificate
of irrevocability is not valid for a child who is
subject to the Indian Child Welfare Act.”
UNIS,
Justice, dissenting.
“Rules
of practice and procedure are devised to promote the ends
of justice, not to defeat them.
*
*
*
Orderly rules of procedure do not require sacrifice of the
rules of fundamental justice.”
Hormel
v. Helvering,
312 U.S. 552, 557, 61 S.Ct. 719, 721, 85 L.Ed.
1037 (1941).
Yet today, the majority, in a hypertechnical procedural ruling, denies
substantive rights recognized by Congress belonging to a birth mother,
a child, and an Indian tribe.FN1
Because
the majority opinion defeats the congressional intent underlying the Indian
Child Welfare Act (ICWA) and results in a grave miscarriage
of justice, I respectfully dissent.
FN1.
Because
this case concerns the Indian Child Welfare Act, I use
the term “Indian,”
chosen by Congress, throughout this opinion in lieu of the
term “Native
American.”
In
this adoption proceeding, birth mother sought to withdraw her consent
to the adoption of Child pursuant to 25 USC §
1913(c)
(1988), a provision of the ICWA, which provides in part:
“In
any voluntary proceeding for *
*
*
adoptive placement of[
]
an Indian child, the consent of the parent may be
withdrawn for any reason at any time prior to the
entry of a final decree of *
*
*
adoption *
*
*
and the child shall be returned to the parent.”
That
statute allows a parent to withdraw consent to an adoption
if (1) there is a voluntary proceeding for adoptive placement
of (2) an “Indian
child”
and (3) the parent withdraws consent before the entry of
a final decree of adoption.
In
this case there is no dispute that this is a
voluntary proceeding for adoptive placement of a child.
See
25 USC §
*251
1903(1)(iv) (1988) ( “adoptive
placement”
means “the
permanent placement of an Indian child for adoption, including any
action resulting in a final decree of adoption”).
Neither is there any dispute that birth mother sought to
withdraw her consent before the entry of the final decree
of adoption.
Rather, the disputed question is whether Child qualified as an
“Indian
child”
FN2
at the time relevant to birth mother's withdrawal of consent
under 25 USC §
1913(c)
(1988).
FN2.
An
“Indian
child”
is defined by the ICWA as “any
unmarried person who is under eighteen and is either (a)
a member of an Indian tribe or (b) is eligible
for membership in an Indian tribe and is the biological
child of a member of an Indian tribe.”
25
USC §
1903(4)
(1988).
That
disputed question raises two issues-one legal and one factual.
The legal issue is when, for purposes of 25 USC
§
1913(c)
(1988), a child involved in an adoption proceeding must qualify
as an “Indian
child.”
The factual issue is whether Child in this adoption proceeding
qualified as an “Indian
child”
at the time relevant to birth mother's withdrawal of her
consent under 25 USC §
1913(c)
(1988).
The trial court, in addressing the legal issue, held that
a child must qualify as an “Indian
child”
at the time that the consent is given in order
for a parent to invoke 25 USC §
1913(c)
(1988).
The majority,**806
in addressing the factual issue, holds that there was
not sufficient evidence to establish that Child qualified as an
“Indian
child”
at any time relevant to this proceeding.
I strongly disagree with both of those holdings, and I
would affirm the decision of the Court of Appeals, but
for different reasons.
Accordingly, I dissent.
I
begin with the legal issue.
The trial court construed 25 USC §
1913(c)
(1988) to apply only if the child qualified as an
“Indian
child”
at the time that the parent gave his or her
voluntary consent to the adoption.
Birth mother argues that the trial court erred in so
holding.
She argues that, under 25 USC §
1913(c)
(1988), a parent may withdraw his or her consent at
any time prior to the entry of the final adoption
decree, provided that the child qualifies as an “Indian
child”
at any time before the entry of the final decree
of adoption.
For the reasons that follow, I agree with birth mother.
Neither
this court nor the Supreme Court of the United States
previously has considered the legal issue presented by this case.
In Mississippi
Choctaw Indian Band v.
*252
Holyfield,
490 U.S. 30, 109 S.Ct. 1597, 104 L.Ed.2d 29 (1989),
however, the Supreme Court of the United States was called
on to construe another provision of ICWA, the meaning of
the term “domicile”
in 25 USC §
1911
(1988).
This court should examine the Supreme Court's opinion in that
case for methodological guidance in construing the provision at issue
here.
The
Supreme Court first noted that the “ICWA
itself does not define”
the disputed term and that the meaning of the term
“is,
of course, a matter of Congress' intent.”
Id.
at 43, 109 S.Ct. at 1605.
The Court stated:
“The
initial question we must confront is whether there is any
reason to believe that Congress intended the ICWA definition of
[the term] to be a matter of state law.
While the meaning of a federal statute is necessarily a
federal question in the sense that its construction remains subject
to this Court's supervision, Congress sometimes intends that a statutory
term be given content by the application of state law.
We start, however, with the general assumption that in the
absence of a plain indication to the contrary, ...
Congress when it enacts a statute is not making the
application of the federal act dependent on state law.
One reason for this rule of construction is that federal
statutes are generally intended to have uniform nationwide application.
*
*
*
A second reason for the presumption against the application of
state law is the danger that the federal program would
be impaired if state law were to control.
For this reason, we look to the purpose of the
statute to ascertain what is intended.
“
*
*
*
*
*
“
*
*
*
It
is clear from the very text of the ICWA, not
to mention its legislative history and the hearings that led
to its enactment, that Congress was concerned with the rights
of Indian families and Indian communities vis-a-vis state authorities.
*
*
*
“
*
*
*
*
*
“We
therefore think it beyond dispute that Congress intended a uniform
federal law [regarding the disputed term] for the ICWA.”
Id.
at 43-47, 109 S.Ct. at 1605-07 (citations omitted;
footnotes
omitted;
internal
quotation marks omitted).FN3
FN3.
In
reaching that conclusion, the Supreme Court noted “the
likelihood that, had Congress intended a state-law definition of domicile,
it would have said so.
Where Congress did intend that ICWA terms be defined by
reference to other than federal law, it stated this explicitly.”
Mississippi
Choctaw Indian Band v. Holyfield,
490 U.S. 30, 47 n. 22, 109 S.Ct. 1597, 1607
n. 22, 104 L.Ed.2d 29 (1989).
*253
The Court then determined the meaning of the disputed term
under federal law.
The Court considered the ordinary meaning of the term, id.
at 47-49, 109 S.Ct. at 1607-09, examined other provisions of
the ICWA, id.
at 49, 109 S.Ct. at 1609, and considered the statute's
legislative history, id.
at 49-50, 109 S.Ct. at 1609.
Here,
this court must construe a provision of the ICWA.
Keeping in mind the Supreme Court's explanation of the general
presumption against “making
the application of [a] federal act dependent on state law”
and its determination that Congress “was
concerned **807
with the rights of Indian families and Indian communities vis-a-vis
state authorities,”
this court should apply the Supreme Court's methodology of federal
statutory construction.
Therefore, I begin with the words of 25 USC §
1913(c)
(1988);
I
then consider other provisions of ICWA;
and,
finally, I examine the legislative history of the statute.
25
USC §
1913(c)
(1988) does not expressly qualify a biological parent's right to
withdraw consent to the adoption of an “Indian
child”
by reference to when the child qualifies as an “Indian
child.”
Neither does it expressly state that that determination is to
be “given
content by the application of state law.”
See
Mississippi
Choctaw Indian Band v. Holyfield, supra,
490 U.S. at 43, 109 S.Ct. at 1605 (explaining that,
unless Congress plainly indicates its intent that a statutory term
be given content by the application of state law, the
Court will presume that Congress did not so intend).
To the contrary, the wording of 25 USC §
1913(c)
(1988) is broadly permissive as to the biological parent's exercise
of that right:
the
parent may withdraw consent “for
any reason at
any time prior to the entry of a final decree.”
25 USC §
1913(c)
(1988) (emphasis added).
Thus, the plain and unambiguous text of 25 USC §
1913(c)
(1988) strongly supports birth mother's argument.
I
next examine other provisions of the ICWA for assistance in
determining the meaning of 25 USC §
1913(c)
(1988).
25
USC §
1901
(1988) sets forth congressional findings relating to the ICWA.
It states in part:
“Recognizing
the special relationship between the United States and the Indian
tribes and their members and
*254
the Federal responsibility to Indian people, the Congress finds-
“
*
*
*
*
*
“(2)
that
Congress, through statutes, treaties, and the general course of dealing
with Indian tribes, has assumed the responsibility for the protection
and preservation of Indian tribes and their resources;
“(3)
that
there is no resource that is more vital to the
continued existence and integrity of Indian tribes than their children
and that the United States has a direct interest, as
trustee, in protecting Indian children *
*
*;
“(4)
that
an alarmingly high percentage of Indian families are broken up
by the removal *
*
*
of their children from them *
*
*
and that an alarmingly high percentage of such children are
placed in non-Indian foster and adoptive homes and institutions;
and
“(5)
that
the States *
*
*
have often failed to recognize the essential tribal relations of
Indian people and the cultural and social standards prevailing in
Indian communities and families.”
Those
findings demonstrate that Congress was concerned with the preservation of
Indian families and Indian tribes in the United States, particularly
through the maintenance of Indian children's connections with those families
and tribes.
25
USC §
1902
(1988) sets forth a congressional declaration of policy in regard
to the statute.
It states:
“The
Congress hereby declares that it is the policy of this
Nation to protect the best interests of Indian children and
to promote the stability and security of Indian tribes and
families by 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 *
*
*.”
That
declaration of policy suggests that Congress considered the “best
interests”
of Indian children to be served by restrictions on their
removal from Indian families or tribes and that it intended
that custody proceedings involving Indian children be governed by certain
substantive standards and procedures established by Congress.
See
also
25 CFR §
23.3
(policy of the ICWA is to “prevent
the arbitrary removal of Indian children from their families and
tribes and to ensure
*255
that measures which prevent the breakup of Indian families are
followed in child custody proceedings”).
On
balance, the other provisions of the ICWA, discussed above, suggest
that, in enacting 25 USC §
1913(c)
(1988), Congress did not intend the right of a biological
parent to **808
withdraw consent to the adoption of an “Indian
child”
to be qualified by any provision of state law, including
the provision of Oregon law governing irrevocable consent to adoption,
ORS 109.312(2), unless the state law in question provides a
higher standard of protection of the parent's right.
Finally,
as did the Supreme Court in determining the meaning of
the term at issue in Mississippi
Choctaw Indian Band v. Holyfield, supra,
I examine the legislative history of the ICWA for assistance
in interpreting 25 USC §
1913(c)
(1988).
The ICWA was enacted in 1978.
In considering the ICWA, the House Interior and Insular Affairs
Committee explained:
“[T]his
committee has been charged with the initial responsibility in implementing
the plenary power over, and responsibility to, the Indians and
Indian tribes.
In the exercise of that responsibility, the committee has noted
a growing crisis with respect to the breakup of Indian
families and the placement of Indian children, at an alarming
rate, with non-Indian foster or adoptive homes.
Contributing to this problem has been the failure of State
officials, agencies, and procedures to take into account the special
problems and circumstances of Indian families and the legitimate interest
of the Indian tribe in preserving and protecting the Indian
family as the wellspring of its own future.
“While
the committee does not feel that it is necessary or
desirable to oust the States of their traditional jurisdiction over
Indian children falling within their geographic limits, it does feel
the need to establish minimum
Federal standards and procedural safeguards in State Indian child custody
proceedings designed to protect the rights of the child as
an Indian, the Indian family and the Indian tribe.”
HR Rep. No. 1386, 95th Cong., 2d Sess. 19 (1978),
reprinted
in
6 U.S.Code Cong. & Adm.News 7530, 7541 (1978) (emphasis added)
(hereinafter “House
Report”).
I
conclude that the plain and unambiguous wording of 25 USC
§
1913(c)
(1988), as well as other provisions of the ICWA and
the statute's legislative history, demonstrate that
*256
Congress did not intend for a biological parent's right to
withdraw consent to the adoption of an “Indian
child”
to be abrogated “at
any time prior to the entry of a final decree
of adoption,”
25 USC §
1913(c)
(1988), even where the child did not qualify as an
“Indian
child”
within the meaning of the ICWA until after the biological
parent gave what state law would treat as irrevocable consent
to the adoption if an “Indian
child”
were not involved.
The
Quinns also argue that Congress intended the ICWA to apply
only in cases in which an “Indian
child”
is being |