In re Roman A.

November 18, 2019
Supreme Court
No. 2017-113-Appeal.
(14-897-1)
In re Roman A. :
NOTICE: This opinion is subject to formal revision before
publication in the Rhode Island Reporter. Readers are requested to
notify the Opinion Analyst, Supreme Court of Rhode Island, 250
Benefit Street, Providence, Rhode Island 02903, at Telephone 222-
3258 of any typographical or other formal errors in order that
corrections may be made before the opinion is published.
Supreme Court
No. 2017-113-Appeal.
(14-897-1)
In re Roman A. :
Present: Suttell, C.J., Goldberg, Flaherty, Robinson, and Indeglia, JJ.
OPINION
Justice Flaherty, for the Court. This termination of parental rights case came before this
Court for oral argument more than five years after the Department of Children, Youth, and
Families (DCYF or the Department) first petitioned to remove the child, Roman A., from his
mother, the respondent. On appeal, the non-Indian mother of an Indian child, who was born
suffering from severe medical issues, asserts that the Family Court erred when it terminated her
parental rights contrary to the provisions of the Indian Child Welfare Act (ICWA or the Act).1 We
disagree and affirm the decree of the Family Court.
I
Facts and Travel
Roman A. was born to the respondent, Carla Alvarenga (Mother), and Nicolas Noka, who
is a member of the Narragansett Indian Tribe of Rhode Island, in February 2014.2 Unfortunately,
1
We recognize that many individuals tracing their roots to the native peoples of this country prefer
the term “Native American” to “Indian.” We use the term “Indian” in this opinion because the
relevant federal statute and caselaw use that term. We mean no disrespect.
2
The parties agree that Mother is not Native American.
-1-
Roman required immediate treatment for complex congenital heart disease and the infant was
hospitalized for nearly all of the first six months of his young life, either in Rhode Island or
Massachusetts. Roman was diagnosed with Double Inlet Left Ventricle and Ventricle Septal
Defect, colloquially known as being born with “half of a heart.” In effect, Roman’s heart was
unable to properly deliver blood to his lungs.
Roman was required to undergo several medical procedures during the early days and
months of his life, some of them very serious and life-threatening. In March 2014, Roman was
transported to Boston for a cardiac catheterization, a less invasive means of achieving open-heart
surgery whereby wires are inserted through the groin for the purpose of taking pictures of the heart.
In May 2014, Roman underwent a second cardiac catheterization. The next month, Roman
underwent open-heart surgery. In July, because Roman was having difficulty feeding, a
gastrostomy tube, or G-tube, was inserted so that food could be delivered directly to his stomach.
Unfortunately, the heart condition was not the only obstacle the child faced. DCYF had
received reports on its hotline from both Hasbro Children’s Hospital and Boston Children’s
Hospital about Roman’s family and, in August 2014, a practitioner at Boston Children’s Hospital
filed a Report of Examination with DCYF. Shortly thereafter, DCYF filed a petition in the Family
Court alleging neglect on the part of both Mother and Mr. Noka, and the child was removed from
his mother’s care via an ex parte order of the court. By the end of August 2014, Roman was
discharged from the hospital to a foster home.3
DCYF created its first of several case plans in October 2014. It is clear from a review of
those case plans that reunifying Roman with Mother remained a goal for an extensive period of
3
Roman did spend approximately three weeks at Mother’s home between intervening hospital
stays during this period.
-2-
time. By August 2015, however, DCYF filed a petition to terminate Mother’s parental rights,
alleging that Roman had been placed in DCYF’s custody or care for at least twelve months, that
“the parents were offered or received services to correct the situation which led to the child being
placed,” and that “there is not a substantial probability that the child will be able to return safely
to the parents’ care within a reasonable period of time considering that child’s age and the need
for a permanent home.”4
In March 2016, the Family Court was prepared to hold a hearing and take evidence on the
initial neglect petition that had been filed by DCYF almost two years earlier, and then proceed, if
necessary, to hear DCYF’s termination petition with respect to Mother. However, after a
conference, the initial petition was amended to add a claim of dependency and the trial justice
explained that she was providing Mother with what she termed “an opportunity” for three
additional months to become compliant with DCYF case planning. Mother admitted dependency
and was ordered to comply. However, when the three-month period provided by the trial justice
came to an end, DCYF sought to terminate Mother’s parental rights, alleging that Mother, despite
the benefit of additional time, had failed to cooperate and comply. Trial commenced in September
2016, and continued over diverse dates until November of that year.
After the trial concluded, the trial justice issued an exhaustive, sixty-two-page written
decision in which she summarized the testimony of all witnesses and made fifty-three findings of
fact. The testimony particularly relevant to our review includes, among others, a pediatric
cardiologist, a social worker, and the director of a department in the Narragansett Tribe. We
recount the most relevant testimony as follows.
4
The parental rights of Roman’s father were terminated on default upon proof of abandonment.
The father has not appealed that decree.
-3-
Dr. Kristin Lombardi
Kristin Lombardi, M.D., is a pediatric cardiologist who was Roman’s treating physician at
Women & Infants Hospital and Hasbro Children’s Hospital. At the time of trial, Dr. Lombardi
had been treating Roman since his birth. She testified as an expert in pediatric cardiology for
DCYF, opining that Roman will require significant cardiac care throughout his life and that he is
likely to experience neurodevelopmental and cognitive limitations. She also testified that any
person who is Roman’s caretaker would need to be able to recognize a number of factors to
properly care for him, including recognizing changes in his color and his activity level. Doctor
Lombardi testified that, despite multiple and lengthy conversations with Mother, Mother “did not
have a good grasp on the severity of [Roman’s] heart disease[,]” and the doctor expressed concerns
about whether Mother could provide the level of care that Roman required.
Lena Sousa
Lena Sousa, a DCYF social worker who had been assigned to Roman’s case in August
2014 and who remained the social worker on the case throughout its entirety, also testified on
behalf of DCYF. She testified that she discussed the concerns of Boston Children’s Hospital with
Mother that Mother had been unavailable for appointments, procedures, and phone calls and that
Mother had failed to comply with the care plan that the hospital had developed. Ms. Sousa also
testified about the case plans that DCYF had developed. She said that, in September 2014, she
had met with Mother and had explained that a case plan involves services DCYF would request
Mother to complete so that the Department could evaluate the prospects for reunification.
However, she testified, Mother said that she was not interested in participating in services because
she was busy. Ms. Sousa also explained to Mother that DCYF would look to a different goal if
Roman remained in DCYF’s care for an extended period of time. In spite of Mother’s insistence
-4-
that she was too busy to participate, the first case plan created by Ms. Sousa nonetheless retained
the goal of reunifying Roman with Mother. The case plan included several areas in which Mother
needed to make changes or improvements in order to be reunified with Roman, including
addressing domestic violence, parenting, mental health, and meeting the medical needs of Roman.
Mother was required to engage in a parent/child evaluation, demonstrate that she could meet
Roman’s needs during visits, make use of parenting and mental health services, attend medical
appointments, and act upon doctors’ recommendations, including those involving Roman’s
medications.
Regarding domestic violence, an issue that was included in the case plans as a result of an
alleged incident that involved Roman’s father at Hasbro Children’s Hospital, Ms. Sousa testified
that she either made referrals or provided mother with the names of multiple resources. Addressing
domestic violence remained in the case plans throughout the case’s entirety, because that issue was
never addressed by Mother. Anger management also became a part of the case plans following
Mother’s arrest as the result of a road-rage incident. Ms. Sousa testified that she was forced to
send the same list of anger management providers to Mother about eight times in a single week
because Mother repeatedly requested the information. Ms. Sousa testified that she was unaware
as to whether Mother partook of any anger management services.
With respect to engaging in a parent/child evaluation, Ms. Sousa testified that she referred
Mother to John Parsons, Ph.D., a clinical psychologist, but Mother never participated in an
evaluation with him. At one point, Mother told Ms. Sousa “something to the effect that * * * she
didn’t need anyone to tell her she was a good mother and/or label her as mental[.]” When it became
clear that the evaluation with Dr. Parsons would not be accomplished, Ms. Sousa made a referral
to Brian Hayden, Ph.D., also a clinical psychologist. Mother was willing to comply with Dr.
-5-
Hayden, according to Ms. Sousa, but after Dr. Hayden conducted the psychological evaluation of
Mother, she refused to return to Dr. Hayden for the parent/child portion of the evaluation because,
according to Ms. Sousa, Mother did not like Dr. Hayden’s evaluation. Mother did not participate
in the parent/child piece of the evaluation until June 2016, nearly two years after the case initially
was opened, and did so only after the trial justice ordered her to comply. Ms. Sousa made the
referral, to Spurwink Rhode Island, for that completed evaluation.
Ms. Sousa testified that making use of parenting and mental health services had been
included in the initial case plan because of reports that Mother blamed hospital and hospital staff
and believed that they were targeting her, and also because of conversations Ms. Sousa had with
Mother. Ms. Sousa also testified that she provided Mother with the names of multiple service
providers that could address Mother’s mental health issues. She said that Mother told her that she
was willing to go to the Providence Center, and so Ms. Sousa made a call to set up an appointment
there on Mother’s behalf. When Ms. Sousa called, however, she was told that Mother was required
to set up the appointment herself. Mother later informed Ms. Sousa that she had attempted to set
up an appointment herself, but that she was unable to do so because there was a waiting list. Ms.
Sousa followed up with the agency to inquire about the waiting period, however, and the agency
informed Ms. Sousa that there was, in fact, no waiting list. Ms. Sousa testified that she continued
to remind Mother that receiving mental health services was a part of the plan. To Ms. Sousa’s
knowledge, the required mental health services in the final plan were never successfully
completed.
Ms. Sousa also testified that she would, either by phone or email, inform Mother about
Roman’s medical appointments. On one occasion, however, Mother refused to provide her new
phone number to Ms. Sousa, while at the same time insisting that she did not receive her emails.
-6-
Ms. Sousa also testified that Mother admitted to attending only two of Roman’s medical
appointments over the seven-month period that spanned from September 2014 to March 2015,
even though Roman had approximately three appointments per week. Ms. Sousa testified that on
one occasion Mother told her she did not understand how attending appointments would prove that
she was capable of caring for Roman. Ms. Sousa testified that attending medical appointments
was a part of each case plan DCYF had created, until the termination petition was filed and
reunification was no longer the goal, and that, over the entirety of the case, Mother failed to
consistently attend medical appointments.
Ms. Sousa also explained that, in September 2014, Mother refused to allow Roman to
receive certain injections that the cardiologist had recommended because of Roman’s weakened
immune system, and also that Mother did not want Roman to receive a flu shot. Ms. Sousa also
testified that Mother was not making progress in the area of following doctors’ recommendations
at the time the second case plan was created. Ms. Sousa testified that Roman’s medical needs were
a continuous aspect of the case plan.
Ms. Sousa further recounted several troubling occurrences that she learned took place while
Mother was with Roman. At one visit, at a time when Roman had a G-tube inserted, Mother
attempted to give Roman either apple juice or milk. When it was explained to Mother why this
was inappropriate because of the G-Tube, Mother expressed that she had not followed doctors’
instructions in the past. Ms. Sousa also testified to another occasion during which the
gastroenterologist felt compelled to inform Mother that it was inappropriate for her to give candy
to Roman. On another occasion, Ms. Sousa had to review Roman’s approved snack list with
Mother after she fed a doughnut to Roman, which was not an approved snack. Ms. Sousa further
testified that, following a doctor’s visit in February 2015, Mother expressed to Ms. Sousa that
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Roman was getting sick as a result of his then-foster mother kissing him, and Mother requested
that the foster mother neither kiss nor hug Roman.
Ms. Sousa related that, to her knowledge, since March 2016, when the court gave Mother
an additional three months to take advantage of the services and comply with DCYF case planning,
Mother had failed to complete any of the required services. She also testified that Roman had been
in the same foster home for about sixteen or seventeen months, that Roman was comfortable with
his foster parents, “wants to be around them all the time[,]” and that the foster home was
preadoptive in nature.
Sarah Dodd
Further germane to this review is the testimony of Sarah Dodd, a family support specialist
in the family visitation program at Boys Town New England. Ms. Dodd testified that her job at
Boys Town involves monitoring court-mandated visitations and teaching a class called “Common
Sense Parenting,” which attempts to develop positive parenting skills. Ms. Dodd was assigned to
work with Mother in November 2015, and she did so until March 2016. During that period, Ms.
Dodd testified, she had approximately sixteen or seventeen visits with Mother. In the program,
Mother was permitted to visit with Roman once per week under the supervision of Ms. Dodd and
had permission to attend Roman’s medical appointments. Ms. Dodd also interacted with Mother
through the Common Sense Parenting class.
Although Ms. Dodd said that Mother completed the Common Sense Parenting class, she
also testified that Mother struggled to arrive at visitation appointments on time, missed at least one
appointment, and would not be prepared for appointments, such as failing to provide a snack for
Roman. Ms. Dodd also testified that Mother had expressed to her that she did not appreciate Ms.
Dodd’s feedback and did not feel that Ms. Dodd’s services were necessary.
-8-
In March 2016, Ms. Dodd’s work with Mother came to an end because Mother was deemed
to be noncompliant with the Boys Town visitation program. During the last visit, at which Ms.
Dodd informed Mother that she was being discharged from the visitation program, Mother became
confrontational and indicated to Ms. Dodd that, in Ms. Dodd’s words, “she did not feel that she
needed to be part of the program; that she wasn’t going to listen to any of our services; that she
didn’t have to come prepared with the necessary items for the visits.” 5 Mother’s discharge
summary from the Boys Town visitation program, signed by Ms. Dodd, further highlights that
Mother was consistently late for visits and was resistant to Ms. Dodd’s suggestions.6
Caroline Gojcz
Caroline Gojcz, a licensed independent clinical social worker employed as a clinical
supervisor in the family support center at Spurwink Rhode Island, testified as an expert for DCYF.
Mother was referred to Spurwink by DCYF for a parent/child evaluation in May 2016 after the
Family Court ordered Mother to comply with DCYF. The purpose of the evaluation was to assess
Mother’s ability to care for Roman and to determine whether it would be appropriate for Roman
to return to Mother’s care. Ms. Gojcz met with Mother four times individually and twice while
Mother was visiting with Roman. It was Ms. Gojcz’s expert opinion, based on her review of the
5
During this final visit, Ms. Dodd testified, there was a safety concern involving Mother and her
other child, who Ms. Dodd testified was approximately three or four years old at the time. Ms.
Dodd explained that: “[T]here was concern of safety that took place with [the other child] and
mom. I attempted to intervene several times. Mom told me not to talk to her, not to talk to her
children. Our visit room was destroyed.” Ms. Dodd later explained that the other child “dumped
things out all over the room” and that she was concerned the child might leave the building after
she ran down the hallway.
6
Carol Wild, also an employee of Boys Town New England, briefly testified on behalf of DCYF.
Ms. Wild worked with Mother between January 2015 and September 2015, as part of the family
visitation program, but ceased working with Mother when she was promoted to a different position
within Boys Town. Ms. Wild testified that, even though Mother was initially frustrated with the
program, she did make progress and did cooperate with Ms. Wild. She also testified to a letter she
wrote that indicated that Mother had made excellent progress.
-9-
information she gathered from not only her observations of Mother but also a review of various
reports and contacts, that “there is a high risk of [Roman] reunifying with [Mother].”
Brian Hayden
Testimony was also provided by Dr. Hayden, who was qualified as an expert in clinical
psychology. Doctor Hayden evaluated Mother in March 2015 for about three to three-and-a-half
hours. Doctor Hayden explained that the results of Mother’s personality assessment profile were
consistent with a diagnosis for bipolar mood disorder. Doctor Hayden also opined that Mother
encounters problems with coping and that she relies on denial and distraction. He also testified
that she is prone to fits of rage. Doctor Hayden testified that Mother was “lacking in * * * empathy,
the ability to take the perspective of another person’s point of view, and to go one step further and
to feel genuine compassion and want to take care of somebody.” Doctor Hayden also had planned
to observe Mother with her children, but Mother failed to show up for the scheduled visitation
appointment that Dr. Hayden had attended. Doctor Hayden also testified that when he followed-
up, he was informed that Mother did not intend to complete this piece of the evaluation. Although
Dr. Hayden testified that he was not in a position to render an opinion about whether Mother could
parent Roman safely and effectively, as a result of not having had the opportunity to observe
Mother with her children, Dr. Hayden nonetheless said that he had “considerable concerns as to
whether [Mother] fully appreciated the seriousness of Roman’s medical difficulties[.]” Doctor
Hayden testified that Mother “had difficulty in perceiving [Roman needing medical treatment from
hospital staff] as individuals who were trying to help her child” and, as an expert in clinical
psychology, he “would have some concerns about the appropriateness of [Mother] providing
sufficient care, particularly in terms of the safety of Roman.”
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Wenonah Harris
The testimony of Wenonah Harris, the Director of Tribal Child and Family Services for
the Narragansett Tribe, which included the roles of the ICWA Director and Child Advocate, was
also important. Ms. Harris testified that Roman’s father is a member of the Tribe and that Roman
also had become an enrolled member of the Tribe. Ms. Harris testified that the Narragansett Tribe
had been provided with appropriate notice of the DCYF proceedings involving Roman. She
explained that the Tribe declined to accept jurisdiction and participate from the outset because, if
the Tribe had accepted jurisdiction in this case, “[Roman] would be dead” because the Tribe does
“not have the ability to be [as] sophisticated [as] DCYF” and that “[DCYF] kept him alive when
he should have been dead before his first year[.]”
Mother
Mother testified on her own behalf over the course of two days. Mother explained that she
felt she “had a very good understanding” of how to care for Roman. Mother also testified that
taking care of Roman is not “rocket science.” She said that she missed some of his doctor
appointments because she either was informed too late, was unable to secure transportation to the
locations, or was unfamiliar with the locations. Mother also testified that, at the beginning, she
was not allowed to attend Roman’s doctors appointments. When explaining her understanding of
why DCYF got involved in the first place, she testified that, early on when Roman was in the
hospital, she would not go to the hospital because Roman’s father was stalking her there and
therefore she did not feel comfortable at the hospital. Mother testified that she had attended all the
medical appointments that she knew about since March 2016. In regard to engaging in DCYF
services, she admitted that she did not participate in services initially, that she had engaged in some
services prior to being ordered to follow through with services by the Family Court justice in
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March 2016, and that she did engage with the majority of services when the Family Court ordered
her to do so in March 2016. Mother’s partial response to a question on cross-examination is largely
representative of her testimony as a whole: “I took the domestic violence classes. My attitude was
a problem; I remedied the situation by taking counseling. So I really don’t know what else you
guys want from me. I did the parent-child eval. I did the psych eval. What else do you want,
make you a turkey for Thanksgiving?”7
The Trial Justice’s Decision
After hearing all the testimony, and specifically finding Mother’s testimony incredible, the
trial justice entered a decree granting DCYF’s petition to terminate Mother’s parental rights.
Applying the ICWA, the trial justice found in her written decision that DCYF had met the burden
under the ICWA of engaging in active efforts to reunify Roman with Mother, and that she was
satisfied beyond a reasonable doubt that Roman would face serious emotional and physical harm
if Mother was given custody of Roman. Mother timely appealed.
Before this Court, Mother argues that DCYF failed to engage in active efforts at reunifying
Roman with her, that no “qualified expert witness” testified at trial pursuant to the ICWA, and that
the trial justice erred in finding beyond a reasonable doubt that she was unfit to parent Roman.
DCYF contends that the ICWA does not apply to this case because Mother is non-Indian and
Roman’s Indian father never had custody, and further argues that if the ICWA does apply, DCYF
met its burden under the ICWA.8
7
Thanksgiving in 2016 fell on November 24, nine days after Mother made this statement during
her testimony. We also note that Roman’s foster parent, Adam Connell, testified for DCYF as a
rebuttal witness following Mother’s testimony. We see no need to recount his testimony for
purposes of this opinion.
8
The guardian ad litem in this case sides with respondent as relates to the application of the ICWA
but with DCYF with respect to the contention that the record supports the finding that DCYF
satisfied the ICWA’s requirements.
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II
Discussion
There can be no dispute that, as an enrolled member of the Narragansett Tribe, Roman is
within the ambit of the ICWA, chapter 21 of title 25 of the United States Code. Nonetheless, this
case raises questions about the extent of that coverage and whether all the provisions of the ICWA
are applicable to the facts presented here. Specifically, do the provisions of § 1912(d) and (f) of
the ICWA, which relate to “remedial services and rehabilitative programs designed to prevent the
breakup of the Indian family[,]” 25 U.S.C. § 1901(d), and the heightened standard of proof the
ICWA demands in a termination of parental rights case, apply to an Indian child who, at the time
of termination, is not a part of an Indian family? Second, does § 1912(f) require “testimony of
qualified expert witnesses” in a termination of parental rights case such as this, where the Indian
child is in the custody of a non-Indian parent? Third, what constitutes “active efforts” under §
1912(d) of the ICWA?
Application of the Indian Child Welfare Act
As this Court discussed ten years ago, the ICWA recognizes that “there is no resource more
vital to the continued existence and integrity of Indian tribes than their children[.]” In re Tamika
R., 973 A.2d 547, 550 (R.I. 2009) (deletion omitted) (quoting 25 U.S.C. § 1901(3)). The ICWA
further recognizes an unfortunate occurrence in this country’s history,
“that an alarmingly high percentage of Indian families are broken up
by the removal, often unwarranted, of their children from them by
nontribal public and private agencies and that an alarmingly high
percentage of such children are placed in non-Indian foster and
adoptive homes and institutions; and
“[T]hat the States, exercising their recognized jurisdiction over
Indian child custody proceedings through administrative and
judicial bodies, have often failed to recognize the essential tribal
relations of Indian people and the cultural and social standards
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prevailing in Indian communities and families.” Id. (deletion
omitted) (quoting 25 U.S.C. § 1901(4) and (5)).
As such, Congress set forth “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.” Id. at 550-51 (quoting 25 U.S.C. § 1902). The primary purpose
of the ICWA was “to stem the unwarranted removal of Indian children from intact Indian families.”
Adoptive Couple v. Baby Girl, 133 S. Ct. 2552, 2561 (2013) (emphasis added).
In this case, the parties agreed to the applicability of the ICWA, and the trial justice applied
the provisions in § 1912(d) and (f) of the ICWA after stating on the record that “everyone is in full
agreement that ICWA applies.” Section 1912(d) states:
“Any party seeking to effect a foster care placement of, or
termination of parental rights to, an Indian child under State law
shall satisfy the court that active efforts have been made to provide
remedial services and rehabilitative programs designed to prevent
the breakup of the Indian family and that these efforts have proved
unsuccessful.”
Section 1912(f) states:
“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.”
DCYF asserts that, because Roman’s mother is not of Indian heritage and Roman was not
at any time in the custody of his father, from whom Roman takes his Indian heritage, the ICWA is
inapplicable. This is so, according to the Department, because a breakup of an Indian family never
occurred in this case. The Department maintains that its position is supported by the intent of the
ICWA, and it draws this Court’s attention to the United States Supreme Court’s 2013 opinion in
Adoptive Couple, cited supra.
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In Adoptive Couple, the biological father, a member of the Cherokee Nation, objected to
the adoption of his biological daughter, who was 3/256 Cherokee. Adoptive Couple, 133 S. Ct. at
2558, 2559. The biological mother, who was non-Indian, relinquished her parental rights and had
previously consented to the adoption. Id. at 2558. The South Carolina Supreme Court determined
that the ICWA applied and that the provisions contained in § 1912(f) and (d) were not satisfied.
Id. at 2559. The Supreme Court, however, held that, because the father, despite his efforts to
invoke the ICWA, “had never had legal or physical custody of [the child] as of the time of the
adoption proceedings[,]” he was not entitled to invoke § 1912(f). Id. at 2562. This interpretation
of § 1912(f), according to the Court, “comports with the statutory text demonstrating that the
primary mischief the ICWA was designed to counteract was the unwarranted removal of Indian
children from Indian families due to the cultural insensitivity and biases of social workers and state
courts.” Id. at 2561. Further, the Supreme Court held that “§ 1912(d) applies only in cases where
an Indian family’s ‘breakup’ would be precipitated by the termination of the parent’s rights.” Id.
at 2562. The Court reasoned that “when an Indian parent abandons an Indian child prior to birth
and that child has never been in the Indian parent’s legal or physical custody * * * the ‘breakup of
the Indian family’ has long since occurred, and § 1912(d) is inapplicable.” Id.
Mother and the guardian ad litem, on the other hand, each argue that the ICWA does apply.
Mother points out that the ICWA applies because the Code of Federal Regulations states that the
“ICWA includes requirements that apply whenever an Indian child is the subject of * * * [a] child-
custody proceeding[.]” 25 C.F.R. § 23.103(a)(1) (2016). Mother also argues that the holding in
Adoptive Couple is inapposite.
We are of the opinion that, simply because the ICWA may in general apply “whenever an
Indian child is the subject of * * * [a] child-custody proceeding,” 25 C.F.R. § 23.103(a)(1), it does
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not follow that every provision of the ICWA applies each time the ICWA is implicated. For
example, § 1912(a) of the ICWA dictates that notice shall be given to the tribe of the Indian child
any time there is an “involuntary proceeding in a State Court[.]” This provision would seem to
apply even to an Indian child who had been previously adopted by non-Indian parents who are
subsequently subject to a termination of parental rights proceeding. In such a case, even though
the child has already been removed from his Indian family, the tribe would still have an interest in
the child’s placement, and the tribe must be notified. See § 1912(a) (requiring notice to child’s
tribe in termination of parental rights cases); see also Mississippi Band of Choctaw Indians v.
Holyfield, 109 S. Ct. 1597, 1609 (1989) (“The numerous prerogatives accorded the tribes through
the ICWA’s substantive provisions * * * must * * * be seen as a means of protecting not only the
interests of individual Indian children and families, but also of the tribes themselves.”).
On the other hand, § 1912(d), which addresses remedial services and rehabilitative
programs “designed to prevent the breakup of the Indian family,” would seem far less relevant.
See Adoptive Couple, 133 S. Ct. at 2563 (“Section 1912(d) is a sensible requirement when applied
to state social workers who might otherwise be too quick to remove Indian children from their
Indian families. It would, however, be unusual to apply § 1912(d) in the context of an Indian
parent who abandoned a child prior to birth and who never had custody of the child.”).9
9
We note that Mother also argues that the so-called “existing Indian family doctrine,” which
apparently allows state courts, according to Mother, “to refuse to apply provisions of the [ICWA]
* * * when the court finds the connection between the parent or the child to Indian culture to be
too tenuous[,]” is a minority position. Nevertheless, Mother does not have a tenuous relationship
with Indian culture, she is simply not of Indian heritage. What’s more, at the time of the
termination trial, Roman did not have a custodial parent who was Indian because his father’s rights
were previously terminated. In any event, we have already noted supra that the ICWA, as a whole,
applies in any relevant case based on the existence of an Indian child, but that every provision may
not necessarily be relevant.
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After reviewing the relevant case law, this Court has grave reservations as to whether the
provisions contained in § 1912(d) and (f) apply in this case.10 Nevertheless, because (1) all parties
agreed at trial that the Act should apply; (2) relying on that agreement, the trial justice applied both
provisions; and (3) it was not until this appeal that one of the parties, DCYF, first questioned the
applicability of the Act, we will assume without deciding that the provisions contained in § 1912(d)
and (f) of the ICWA apply in this case. We observe that the application of these provisions will
in no way prejudice the child because, as discussed below, the ICWA imposes a higher burden on
the state than does our traditional framework in a case involving the termination of parental rights.
Standard of Review
Having determined that § 1912(d) and (f) of the ICWA will be applied given the posture
of this case, it is necessary to discuss how those provisions impact the typical framework this Court
applies in review of a decree terminating parental rights. In the typical review, this Court: “(1)
examine[s] the trial justice’s finding of parental unfitness; (2) review[s] the finding that reasonable
efforts at reunification were made by the state agency charged with that duty; and (3) review[s]
the finding that termination is in the child[ ]’s best interests.” In re James H., 181 A.3d 19, 25 (R.I.
2018) (quoting In re Max M., 116 A.3d 185, 193 (R.I. 2015)). In conducting this review, the Court
determines if the state’s allegations are supported “by clear and convincing evidence.” Id. (quoting
In re Max M., 116 A.3d at 193). While clear and convincing evidence must be found, this Court
nonetheless affords the trial justice considerable discretion and examines “the record to determine
whether legally competent evidence exists to support the findings of the trial justice.” Id. (quoting
10
The Court does recognize that at least one other court has held that in a case involving the
termination of parental rights of a non-Indian parent, that parent must still receive active efforts
under § 1912(d) of the ICWA, in spite of the Supreme Court’s holding in Adoptive Couple v. Baby
Girl, 133 S. Ct. 2552 (2013). See In re Adoption of T.A.W., 383 P.3d 492, 506-07 (Wash. 2016).
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In re Natalya C., 946 A.2d 198, 202 (R.I. 2008)). “[T]he trial justice’s findings ‘are accorded great
weight on appeal and will not be disturbed unless it can be shown that they are clearly wrong or
that the trial justice overlooked or misconceived material evidence.’” Id. (brackets omitted)
(quoting In re Max M., 116 A.3d at 193). Questions of law, including those of statutory
construction, however, are reviewed, as always, de novo. In re Tamika R., 973 A.2d at 550.
With respect to this appeal, the contours of our review are altered by the application of both
§ 1912(d) and (f). Again, § 1912(f) dictates that there will be no termination of parental rights
without “a determination, supported by evidence beyond a reasonable doubt[.]” (Emphasis added.)
Moreover, § 1912(d) dictates that the “party seeking to effect * * * termination of parental rights
* * * shall satisfy the court that active efforts have been made to provide remedial services and
rehabilitative programs[.]” (Emphasis added.) Therefore, when considering a parent’s appeal from
a decree terminating parental rights in which those particular provisions of the ICWA are
implicated, this Court will first determine whether there exists “legally competent evidence[,]” In
re James H., 181 A.3d at 25 (quoting In re Natalya C., 946 A.2d at 202), sufficient to support the
trial justice’s finding beyond a reasonable doubt 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.”
Section 1912(f). If so, then it can be said that the parent is unfit.
Second, this Court will evaluate whether there exists “legally competent evidence”
sufficient to support the trial justice finding “by clear and convincing evidence” that active “efforts
at reunification were made by the state agency charged with that duty[.]” In re James H., 181 A.3d
at 25 (quoting In re Max M., 116 A.3d at 193); see § 1912(d). While Mother argues that whether
active efforts were made is a question of law that should be reviewed de novo, we disagree.
Whether there exists evidence sufficient to support a finding of active efforts is within the purview
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of the factfinder, who hears the testimony and is uniquely suited to make credibility
determinations. See State v. Paola, 59 A.3d 99, 106 (R.I. 2013) (“This Court affords ‘a great deal
of respect to the factual determinations and credibility assessments made by the judicial officer
who has actually observed the human drama [of the] trial and who has an opportunity to appraise
witness demeanor and to take into account other realities that cannot be grasped from a reading of
a cold record.’”) (brackets omitted) (quoting State v. DiCarlo, 987 A.2d 867, 872 (R.I. 2010)). It
is also worth noting that the guardian ad litem argues before this Court that all factual findings
needed to be made beyond a reasonable doubt when considering both § 1912(d) and (f). This is
not quite accurate. While § 1912(f) relating to parental unfitness specifically uses the reasonable
doubt language, § 1912(d), involving active efforts, does not. In reviewing whether active efforts
were made by DCYF, then, such efforts need only be established by clear and convincing evidence,
per our typical review. See In re James H., 181 A.3d at 25.
Finally, the Court will evaluate whether “legally competent evidence exists[,]” again to
support the trial justice’s finding “by clear and convincing evidence[,]” that the termination is in
the child’s best interest. In re James H., 181 A.3d at 25 (quoting first In re Natalya C., 946 A.2d
at 202, then In re Max M., 116 A.3d at 193). This three-pronged approach comports with the
state’s heightened burden requirement where necessary and ensures fairness to both the parent and
the child. In this appeal, Mother contests only the trial justice’s analysis under § 1912(d) and (f).
We therefore cabin our review to whether parental unfitness and active efforts were sufficiently
proven.11
11
While we do not analyze the third prong of this tripartite test, based on the arguments advanced
on appeal, an exhaustive review of the record leaves this Court thoroughly convinced that the
termination of Mother’s rights is in Roman’s best interest.
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Parental Unfitness
Mother asserts that the trial justice erred in finding, beyond a reasonable doubt, that her
continued custody would likely result in serious damage to the child. Mother also argues that no
“qualified expert witness” was presented to the trial justice, as Mother insists is required by
§ 1912(f) of the ICWA.
The first argument is one of factual analysis, and the second is a legal matter. We will
evaluate the second argument first. As noted supra, § 1912(f) of the ICWA dictates that: “No
termination of parental rights may be ordered * * * in the absence of a determination * * * including
testimony of qualified expert witnesses, that the continued custody of the child * * * is likely to
result in serious emotional or physical damage to the child.” Regarding Mother’s assertion that
there was no “qualified expert witness,” this raises two issues. First, was a “qualified expert
witness” required in this case, and, if so, what kind of expert?
A plain reading of the ICWA directs that, in every termination of parental rights case under
the ICWA, the testimony of at least one qualified expert witness is required to support a conclusion
beyond a reasonable doubt that continued custody is likely to result in serious damage to the child.
Section 1912(f). A qualified expert witness is thus required. See Alessi v. Bowen Court
Condominium, 44 A.3d 736, 740 (R.I. 2012) (“It is well settled that when the language of a statute
is clear and unambiguous, this Court must interpret the statute literally and must give the words of
the statute their plain and ordinary meanings.”) (quoting Waterman v. Caprio, 983 A.2d 841, 844
(R.I. 2009)). The second, and slightly more difficult, question is, in which area must this expert
be qualified?
The United States Department of the Interior, Bureau of Indian Affairs, recently
promulgated updated guidelines to “promote compliance with ICWA’s stated goals and
- 20 -
provisions[.]” Guidelines for State Courts and Agencies in Indian Child Custody Proceedings, 80
Fed. Reg. 10146-02 (Feb. 25, 2015). The updated guidelines state that “[a] qualified expert witness
should have specific knowledge of the Indian tribe’s culture and customs.” Id. at 10157. The
supplementary information explaining updates to the guidelines states that “[c]ommenters
indicated that some States rely on witnesses’ qualifications as child care specialists, or on other
areas of expertise, but do not require any expert knowledge related to the tribal community” and
that “[t]he updated guidelines establish a preferential order for witnesses who are experts in the
culture and customs of the Indian child’s tribe” to “ensure that the expert witness with the most
knowledge of the Indian child’s tribe is given priority.” Id. at 10149. This clearly suggests that
the Bureau of Indian Affairs envisions the “qualified expert witness” to be an individual with
expertise in the cultural affairs of the child’s Indian tribe.
The guidelines, however, are not binding on this, or any, court. Moreover, it would exceed
the bounds of common sense to hold that an expert witness on Indian cultural affairs was necessary
to prove that a child’s reunification with a parent was “likely to result in serious emotional or
physical damage to the child” when the evidence for and against termination is noncultural. Section
1912(f); see In re Tamika R., 973 A.2d at 552 (suggesting that some grounds for separation may
be “sufficiently ‘culturally neutral’ as to vitiate the need for testimony from a qualified expert
witness” under § 1912(e)). Simply put, in culturally-neutral termination cases, such as the one
before us now, about what would an expert in Indian affairs testify? It is our considered opinion
that, while at least one qualified expert witness is necessary under § 1912(f), that expert may be
qualified in any relevant area if, as here, the case presents no culturally-relevant issues. In this
case, DCYF elicited the testimony of three relevant expert witnesses: Dr. Kristin Lombardi, who
testified about Roman’s serious and tenuous medical condition; Ms. Gojcz, a licensed independent
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clinical social worker possessing more than a decade of experience, who testified with respect to
her parent/child evaluation of Mother and Roman; and Dr. Brian Hayden, who testified about the
psychological evaluation that he administered with respect to Mother. This Court is thus
convinced that the expert witness component of § 1912(f) was satisfied in this case.12
With respect to the trial justice’s finding beyond a reasonable doubt that Mother’s
continued custody would likely result in serious damage to the child, Mother marshals several
arguments as to why this finding was in error. She asserts that her own trial testimony
demonstrated that she had a comprehensive understanding of the care that Roman requires. She
also argues that her ability to care for Roman was supported by a favorable report issued by Ms.
Wild, Mother’s first contact at Boys Town of New England. Nevertheless, the trial justice
specifically found Mother’s testimony to be lacking in credibility; and a needle or two of favorable
evidence reposited in a veritable haystack of unfavorable evidence cannot lead us to say that the
trial justice was clearly wrong.
Mother further asserts that “[b]oth the parent-child evaluator and the child protection
consultant at the Habsro Children’s Hospital Aubin Child Protection Center agreed that Mother
understood what was going on medically with Roman.” This statement, however, when viewed
in context, is at best misleading and at worst simply untrue. Even though the child protection
consultation report says that “Mother showed an extensive understanding of Roman’s condition
and asked reasonable and well thought out questions throughout[,]” that same report states:
12
The trial justice considered Wenonah Harris, the ICWA Director and Child Advocate for the
Narragansett Tribe, to have testified as an expert. We note, however, that, in the main, Ms. Harris
provided testimony relating to the notice requirement of the ICWA rather than testimony about
whether Roman would be harmed if he remained in the custody of Mother. Therefore, in
evaluating whether an appropriate “qualified expert witness” testified under § 1912(d), we do not
factor Ms. Harris’s testimony into our analysis.
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“[M]other has not been present at the bedside to receive teaching regarding Roman’s medical care
including NG tube feeds, his methadone wean and care the wound from the IV infiltrate.” This
document clearly cuts both ways. Moreover, our review of the record indicates that the
parent-child evaluator at Spurwink, Ms. Gocjz, did not testify that Mother understood what was
going on medically with Roman.
Lastly, Mother argues that the testimony by Ms. Gocjz and Dr. Hadyen, the clinical
psychologist, does not support the conclusion that Roman’s reunification with Mother would
create a likelihood of harm to Roman. We are not persuaded by this argument. The question as
to whether reunifying Roman with Mother would likely result in harm to Roman is to be
determined based on the entirety of the evidence presented to the trial justice. As a review of the
testimony and the record in this case reflect, there was an abundance of evidence at trial from
which the trial justice could make such a determination. We will not disturb her conclusion.
Active Efforts
Mother argues that DCYF failed to engage in “active efforts” to reunify Roman with her,
as is required by the ICWA in § 1912(d). This Court has yet to examine what constitutes “active
efforts” under the ICWA. Some courts may have adopted various phraseologies for determining
what such efforts are. See e.g., Dashiell R. v. State, Department of Health and Social Services,
Office of Children’s Services, 222 P.3d 841, 849 (Alaska 2009) (“As opposed to passive efforts
such as simply developing a plan for the parent to follow, active efforts require that the state
actually help the parent develop the skills required to keep custody of the children.”); In re J.S.,
177 P.3d 590, 594 (Okla. Civ. App. 2008) (describing active efforts as “leading the horse to
water”); Department of Human Services v. D.L.H., 284 P.3d 1233, 1240 (Or. Ct. App. 2012) (“We
have defined ‘active efforts’ to ‘impose on DHS an obligation greater than simply creating a
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reunification plan and requiring the client to execute it independently. Active efforts means that
DHS must assist the client through the steps of a reunification.’”) (brackets omitted) (quoting State
ex rel. Juvenile Department of Multonomah County v. T.N., 203 P.3d 262, 263 (Or. Ct. App.
2009)). We need not undertake that type of task here, however, because this Court is satisfied that
DCYF’s efforts constituted “active efforts” by any conceivable definition of the term.13
While Mother advances several reasons in support of her argument that DCYF did not
provide “active efforts” at reunification, each is unavailing. For example, Mother asserts that
DCYF “did not seem to have been operating under the impression that ‘active efforts’ were
required[,]” and cites to Ms. Sousa’s testimony that she was only “[k]ind of” aware that the ICWA
requires “active efforts.” Nevertheless, the knowledge of Ms. Sousa, who is a social worker, as to
the requirements of a complicated federal statute that has been the subject of litigation at the
Supreme Court does not determine whether the “active efforts” requirement in the ICWA was
satisfied in this case. Additionally, Mother’s argument, made both in her brief and at oral
13
We observe that on December 12, 2016, less than a month before the trial justice issued her
decision in this case, a new federal regulation promulgated by the Bureau of Indian Affairs was
made effective, defining “active efforts” under the ICWA:
“Active efforts means affirmative, active, thorough, and timely efforts intended primarily
to maintain or reunite an Indian child with his or her family. Where an agency is involved
in the child-custody proceeding, active efforts must involve assisting the parent or parents
or Indian custodian through the steps of a case plan and with accessing or developing the
resources necessary to satisfy the case plan. To the maximum extent possible, active
efforts should be provided in a manner consistent with the prevailing social and cultural
conditions and way of life of the Indian child’s Tribe and should be conducted in
partnership with the Indian child and the Indian child’s parents, extended family
members, Indian custodians, and Tribe. Active efforts are to be tailored to the facts and
circumstances of the case.” 25 C.F.R. § 23.2 (2016).
This Court is satisfied that, even under this definition, appropriate “active efforts” were made by
DCYF in this case.
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argument, that the services in the case plans were not tailored, and that she should have been
provided access to a special support program at Boston Children’s Hospital related to families with
children having heart problems, is also not persuasive. It defies logic, based on the record and
facts of this case, to think that Mother would have been an avid participant in DCYF’s services if
only she had been referred to this one particular program. Ms. Sousa testified that, at the beginning
of the case, Mother felt she was too busy to work with DCYF and, in a conversation that took place
in January 2015, Mother again told Ms. Sousa that she was too busy to participate in services.
Further, Mother was not successful in meeting case plan requirements such as attending Roman’s
medical appointments with regularity.
Other arguments that Mother asserts on the issue of active efforts are similarly
unpersuasive. They either rely on Mother’s testimony, which the trial justice found to be
incredible, or they are outweighed by other facts in the record. The record clearly establishes that
DCYF created multiple case plans with the express objective of reunification. Ms. Sousa, the
social worker assigned to work on Roman’s case throughout its entirety, made referrals to various
resources throughout the case and explained to the Family Court that DCYF would pay for those
services when necessary. The trial justice’s findings “that DCYF continued to do more than merely
offer a plan to mother and wait for her to act” and that “[t]here was no credible evidence that
contradicted the active efforts made by DCYF to reunify Roman with his mother” are not clearly
wrong. It is our firm opinion that the trial justice did not err when she found that DCYF had
satisfied its burden to show that it made active efforts to attempt to reunify Roman with Mother.
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III
Conclusion
For the reasons set forth in this opinion, the decree of the Family Court is affirmed. The
record in this case may be returned to the Family Court.
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STATE OF RHODE ISLAND AND PROVIDENCE PLANTATIONS
SUPREME COURT – CLERK’S OFFICE
OPINION COVER SHEET
Title of Case In re Roman A.
No. 2017-113-Appeal.
Case Number
(14-897-1)
Date Opinion Filed November 18, 2019
Suttell, C.J., Goldberg, Flaherty, Robinson, and
Justices
Indeglia, JJ.
Written By Associate Justice Francis X. Flaherty
Source of Appeal Providence County Family Court
Judicial Officer From Lower Court Associate Justice Laureen A. D’Ambra
For Petitioner:
Karen A. Clark
Department of Children Youth and Families
Attorney(s) on Appeal Susan M. Fink, Esq.
Guardian Ad Litem
For Respondent:
Megan F. Jackson
Office of the Public Defender
SU‐CMS‐02A (revised June 2016)