KATZMANN, Circuit Judge:
Two now-separated parents dispute whether courts in the United States or the United Kingdom should decide who has custody of their five-year-old child.
Diana Lucia Montoya Alvarez ("Alvarez") and Manuel Jose Lozano ("Lozano") (collectively, the "Parties"), who are both originally from Colombia, met and began dating in London in early 2004. In re Lozano, 809 F.Supp.2d 197, 203 (S.D.N.Y. 2011). They never married. Id. at 203-04. The Parties' descriptions of their relationship differ. Lozano acknowledges that he and Alvarez had "normal couple problems," but claims that they were generally "very happy together." Id. at 204 (internal quotation marks omitted). In contrast, Alvarez asserts that Lozano "treat[ed] her badly." Id. She testified that, among other things, Lozano "tried to kick her in the stomach when she was pregnant, ... called her a prostitute, and raped her four times." Id. Lozano denies all of these allegations. Id. The district court found that Lozano's claims that he never insulted or mistreated Alvarez in any manner were not credible, but also concluded that there was insufficient evidence from which to conclude that Lozano had physically or sexually abused either Alvarez or the child. Id. Accordingly, apart from finding that Lozano mistreated Alvarez in some way, the district court declined to make precise findings regarding what abuse occurred. See id.
On November 19, 2008, shortly after visiting her sister Maria in New York, Alvarez "left [the couple's apartment] to bring the child to nursery school and never returned." Id. at 209. For the next seven months, Alvarez and the child resided at a women's shelter. Id. In early July of 2009, Alvarez and the child left the United Kingdom, eventually traveling to New York, where they have lived since that time. Id. at 210.
In New York, Alvarez and the child live with Alvarez's sister Maria, along with Maria's partner, daughter, and granddaughter. Id. at 211. Alvarez has not had a job in the United States, but Maria has been employed as a nanny for the same family for four years and her partner owns a grocery business. Id. "Because [Alvarez] and the child have British passports, they were allowed to enter the United States without a visa" for a stay of ninety days or less. Id. This period, however, expired in October 2009. Id. Alvarez testified that she has spoken with immigration authorities about the possibility of being sponsored by Maria, who is a United States citizen. Id. Since her arrival in New York, the child has attended the same school and, at the time of the proceedings before the district court, was enrolled in kindergarten. Id. The child's Academic Standards Reports from the 2009-2010 school year indicate that the child has been making progress both socially and academically. Id. Outside of school, in addition to spending time with members of her extended family, the child has friends whom she meets at the park and the library. Id. The child is also enrolled in ballet classes and, on the weekends, attends church with Alvarez. Id. at 212.
After arriving in New York, both the child and Alvarez began receiving therapy from a psychiatric social worker at a family medical clinic. Id. The therapist testified that "when she first met the child, the child was unable to speak, make eye contact, or play in the therapist's office." The therapist further noted that the child "would wet herself, was hypervigilant, and had a very heightened startle response." Id. By February 2010, the therapist diagnosed the child with post-traumatic stress disorder ("PTSD") caused by her "experience living in the United Kingdom before coming to New York, including living in a shelter system, having to move to a new country, and knowing that her mother had been harmed or threatened." Id. Within six months of arriving in New York, however, Alvarez reported that the child's behavior had improved. Id. The therapist agreed with this assessment, describing the child as "`completely different.'" Id. In particular, the child had stopped bed-wetting, had made friends at school, was excited to play, and was able to speak freely regarding her feelings. Id.
After Lozano filed his petition for return in December 2010, Alvarez and the child resumed meeting with the therapist. Id. In a December 9, 2010 meeting, "the child `stated that she was scared because her mommy seemed so worried.'" Id. (internal quotation marks omitted). The therapist's
After Alvarez's departure, Lozano took a number of steps to attempt to find his child. Immediately after Alvarez left, he reached out to her sister in London, who denied any knowledge of Alvarez's whereabouts. Id. at 209. In the summer of 2009, Lozano filed an application with a British court to "ensure that he obtains regular contact with his child." Id. at 210 (brackets omitted). He also, via court filing, submitted orders to Alvarez's sisters and her former counsel, as well as the child's nursery and doctor and various police and government offices, seeking information on the child's whereabouts. Id. "After ... `exhaust[ing] all possibility that [the child] was still in the [United Kingdom],' on March 15, 2010, [Lozano] filed a Central Authority for England and Wales Application Form seeking to have the child returned to the United Kingdom."
On November 10, 2010, Lozano filed a Petition for Return of Child (the "Petition") pursuant to Article 2 of the Hague Convention and the International Child Abduction Remedies Act, 42 U.S.C. § 11603 (2005) ("ICARA"), in the United States District Court for the Southern District of New York, requesting an order requiring that the child be returned to London to have a British court make a custody determination. Id. at 202. Accompanying the Petition was an Emergency Petition for Warrant in Lieu of Writ of Habeas Corpus ("Emergency Petition").
Both parties subsequently retained experts to examine the child and determine whether returning the child to the United Kingdom would pose a risk of causing her psychological harm. Alvarez's expert, Dr. B.J. Cling, concluded that "the child was `potentially at risk'" of "`another psychological breakdown'" if she "were to be forcibly returned to the [United Kingdom] for custody evaluation." Id. at 214. Lozano's expert, Dr. Michael Fraser, concluded that the child was at an "`increased risk for some degree of psychological maladjustment if she is required to move again; but the potential negative effects depend on many factors.'" Id. at 216.
The Court held an evidentiary hearing on February 2 and 3, 2011, at which it admitted both parties' proffered expert reports, received exhibits into evidence, and heard testimony from Lozano, Alvarez, the therapist, Dr. Cling, and Dr. Fraser. Id.
On February 18, 2011, the Parties submitted post-trial memoranda of law upon which oral argument was held on April 28, 2011. Id. At the end of oral argument, after reciting its findings of fact and conclusions of law, the court denied Lozano's Petition. Id. The next day, the court issued an order dismissing the Petition and entering judgment for Alvarez. Id. On August 22, 2011, the court filed a written opinion further setting forth its reasoning.
In a thorough opinion, the district court first held that Lozano had made out a prima facie case of wrongful retention under
Id. at 228. Citing the Convention's text, history and purpose, the district court found that the "settled defense is not [intended] to give petitioners a reasonable amount of time in which to bring their claims," but "to take into account that if the child has become settled, its interests have to be weighed." Id. As an alternative basis for its decision, the district court held that "even if equitable tolling could apply to Convention petitions," it was not "warranted in this case." Id. at 229.
Having rejected Lozano's tolling argument, the district court next held that the now settled defense applied and was a sufficient reason to have a United States court, as opposed to an English court, decide the child's custody. Id. at 234. The district court engaged in a detailed analysis of various factors that weighed both for and against the child remaining in the United States for further proceedings, including that: (1) the child has been in the same location for the duration of her time in the United States; (2) the child has shown social and academic progress; (3) Alvarez appropriately cares for the child; (4) Alvarez is unemployed; (5) the child is too young to form certain types of connections; and (6) both Alvarez and the child have overstayed their visas and thus are not legally residing in the United States. Id. at 231-34. With respect to the final factor, Judge Karas rejected Lozano's argument that the child could not be settled (as a matter of law) so long as she lacked lawful immigration status. Instead, he stressed that "[t]here is nothing to suggest that, at this moment, or in the near future, the immigration status of the child and Respondent is likely to upset the stability of the child's life here in New York." Id. at 233.
On May 27, 2011, Lozano filed a timely notice of appeal from the district court's denial of his petition.
By letter dated July 11, 2012, this Court notified the United States Department of State (the "Department") that oral argument in this case was scheduled to take place on August 22, 2012, and requested that the Secretary of State submit her views concerning: (1) whether the one-year period before a party can raise the "now settled" defense in Article 12 of the Convention is susceptible to equitable tolling; and (2) what significance should be given to a child's lack of legal immigration status in the United States when determining whether a child is settled within the meaning of Article 12.
On August 20, 2012, the United States submitted a memorandum brief as amicus curiae recommending that this Court find, in pertinent part, that:
Amicus Br. at 2.
On appeal, Lozano raises three principal objections to the district court's decision. First, he argues that, as a matter of law, the district court erred in permitting Alvarez to raise the now settled defense because the one-year period in Article 12 should have been equitably tolled until such time as he could have reasonably located his child. Second, Lozano contends that the district court erred in finding that the child is settled in New York despite the fact that neither the child nor her mother have legal status in the United States. Finally, even if lack of legal immigration status "does not preclude a well-settled finding as a matter of law," Lozano avers that "the District Court erred in finding that Alvarez proved by a preponderance of the evidence that the parties' daughter is well-settled in the United States." Pet'r's Br. at 46. Specifically, Lozano takes issue with the district court's factual finding that there is "stability in [the child's] family, educational, social, and most importantly, home life." Id. at 51 (internal quotation marks omitted). After stating the applicable standards of review and the relevant law of treaty interpretation, we address each of Lozano's arguments in turn.
"In cases arising under the Convention and ICARA, we review a district court's factual determinations for clear error." Mota v. Castillo, 692 F.3d 108, 111 (2d Cir.2012). Interpretation of the Convention, however, is an issue of law, which we review de novo. Blondin v. Dubois, 238 F.3d 153, 158 (2d Cir.2001) ("Blondin
"In interpreting a treaty, it is well established that we begin with the text of the treaty and the context in which the written words are used." Swarna v. Al-Awadi, 622 F.3d 123, 132 (2d Cir.2010) (internal quotation marks omitted). "The clear import of treaty language controls unless application of the words of the treaty according to their obvious meaning effects a result inconsistent with the intent or expectations of its signatories." Sumitomo Shoji Am., Inc. v. Avagliano, 457 U.S. 176, 180, 102 S.Ct. 2374, 72 L.Ed.2d 765 (1982) (internal quotation marks omitted). "General rules of statutory construction may be brought to bear on difficult or ambiguous passages, but we also look beyond the written words to the history of the treaty, the negotiations, and the practical construction adopted by the signatory parties in determining the meaning of a treaty provision." Swarna, 622 F.3d at 132 (internal quotation marks and brackets omitted); Medellín v. Texas, 552 U.S. 491, 507, 128 S.Ct. 1346, 170 L.Ed.2d 190 (2008) ("Because a treaty ratified by the United States is an agreement among sovereign powers, we have also considered as aids to its interpretation the ... postratification understanding of signatory nations." (internal quotation marks omitted)). Additionally, "while the interpretation of a treaty is a question of law for the courts, given the nature of the document and the unique relationships it implicates, the `Executive Branch's interpretation of a treaty is entitled to great weight." Swarna, 622 F.3d at 133 (quoting Abbott v. Abbott, ___ U.S. ___, 130 S.Ct. 1983, 1992, 176 L.Ed.2d 789 (2010)).
Lozano argues that the district court "should have applied equitable principles to toll the commencement of Article 12's one-year filing period until the date [Lozano] reasonably could determine that [Alvarez] had removed their daughter from the United Kingdom to the United States." Pet'r's Br. at 15.
Neither Article 12 of the Hague Convention nor its implementing legislation, ICARA,
Id. Accordingly, the default presumption under the Convention is that a child shall be returned to the state from which she originally was wrongfully removed unless both of two conditions are met: (1) one year has elapsed between the date of wrongful removal and the date proceedings commence; and (2) the child is found to be "now settled in its new environment." Id.
Even if these two conditions are met, Article 12 does not bar the Central Authority of a Contracting State from ordering the return of a settled child. As we explained in Blondin IV, Article 12 allows — "but does not ... require — a judicial or administrative authority to refuse to order the repatriation of a child on the sole ground that the child is settled in its new environment, if more than one year has elapsed between the abduction and the petition for return." 238 F.3d at 164. Put differently, "if more than one year has passed, a `demonstra[tion] that the child is
Tolling the time before a parent can raise the settled defense is also inconsistent with the treaty's purpose. A report prepared by the official Hague Conference reporter for the Convention, Elisa Pérez-Vera,
It is true that nothing in the text of the "dispositive part of the Convention ... reference[s] ... the interests of the child to the extent of their qualifying the Convention's stated object." Id. at 431 ¶ 23. But the Pérez-Vera Report cautions against construing the Convention's "silence on this point" as "lead[ing] one to the conclusion that the Convention" suggests that children's interests should be "ignore[d]" when "regulating all the problems
The Convention constrains Central Authorities' discretion to decline to order a child's return to his or her country of habitual residency when return would not be in that child's best interests. Article 12 establishes that a Central Authority cannot even consider the child's interest in remaining in the country to which she has been abducted until after a year has elapsed. See Pérez-Vera Report at 458 ¶ 107 ("In the first paragraph [of Article 12], the article brings a unique solution to bear upon the problem of determining the period during which the authorities concerned must order the return of the child forthwith."); Amicus Br. at 9 ("As described by the United States, the Convention thus provided for a one-year period in which `no assimilation of the child was presumed to have occurred' and `return could be refused only on the grounds set forth' expressly, e.g. severe risk to the child. After this initial one-year period, `assimilation became an open question.'" (internal citation omitted)).
The Pérez-Vera Report acknowledges that the one-year period set forth in Article 12 is somewhat "arbitrary." Id. ("[T]he difficulties encountered in any attempt to state this test of `integration of the child' as an objective rule resulted in a time-limit being fixed which, although perhaps arbitrary, nevertheless proved to be the `least bad' answer to the concerns which were voiced in this regard."). However, the drafters of the Convention saw value in agreeing to a "single time-limit of one year" and setting aside "the difficulties encountered in establishing the child's whereabouts." Id. at ¶ 108. Indeed, the drafters considered and rejected an alternative proposal: A preliminary draft of the Convention included two time-periods in Article 12, depending on whether the child had been hidden. Merle H. Weiner, Uprooting Children in the Name of Equity, 33 Fordham Int'l L.J. 409, 434 (2010). The Pérez-Vera Report explains that the framers jettisoned this approach to eliminate "the inherent difficulty in having to
In sum, the Convention's drafting history strongly supports Alvarez's position that the one-year period in Article 12 was designed to allow courts to take into account a child's interest in remaining in the country to which she has been abducted after a certain amount of time has passed. If this understanding of the second paragraph of Article 12 is correct, allowing equitable tolling of the one-year period would undermine its purpose. A child may develop an interest in remaining in a country in which she has lived for a substantial amount of time regardless of her parents' efforts to conceal or locate her.
As noted, courts give "great weight" to the "Executive Branch's interpretation of a treaty" given "the nature of the document and the unique relationships it implicates." See Swarna, 622 F.3d at 133. Moreover, while the Convention is not a statute that the Department is charged with implementing, it has played a critical role in its adoption and day-to-day operation.
At least three of our sister Circuits have permitted the one-year period in Article 12 to be equitably tolled. See Dietz v. Dietz, 349 Fed.Appx. 930, 932-33 (5th Cir.2009) (summary order); Duarte v. Bardales, 526 F.3d 563, 569-70 (9th Cir.2008); Furnes v. Reeves, 362 F.3d 702, 723-24 (11th Cir. 2004). In particular, the Eleventh Circuit held in Furnes that equitable tolling is justified where a parent secrets the child from the parent seeking return because: (1) otherwise, a "parent who abducts and conceals [a child] for more than one year will be rewarded for the misconduct by creating eligibility for an affirmative defense not otherwise available"; and (2) "[u]nless Congress states otherwise, equitable tolling should be read into every statute of limitations." 362 F.3d at 723-24 (internal quotation marks omitted). As for the first argument, the Convention expressly provides a mechanism other than equitable tolling to avoid rewarding a parent's misconduct — a Central Authority's discretion to order the return of a child, even when a defense is satisfied. See Blondin v. Dubois, 189 F.3d 240, 246 n. 4 (2d Cir.1999) ("[E]ven where the grounds for one of these `narrow' exceptions have been established, the district court is not necessarily bound to allow the child to remain with the abducting parent."). The second argument is also unpersuasive as it wrongly treats the one-year period in Article 12 as a statute of limitations.
Having determined that the district court properly permitted Alvarez to raise the Article 12 now settled defense, we must consider whether the district court erred in finding the child to be settled in New York. On appeal, Lozano primarily asserts that "[w]here an abducted child resides in the abducted-to country illegally, a well-settled finding should be barred as a matter of law." Pet'r's Br. at 36. We disagree. Given the Convention's text and purpose, immigration status should only be one of many factors courts take into account when deciding if a child is settled within the meaning of Article 12. Additionally, we hold that, in any given case, the weight to be ascribed to a child's immigration status will necessarily vary.
Neither the Convention nor ICARA defines "settled" or states how a child's settlement is to be proved. See Pérez-Vera Report at 459 ¶ 109. Where a term is undefined in a statute, "we normally construe it accord with its ordinary or natural meaning." Smith v. United States, 508 U.S. 223, 228, 113 S.Ct. 2050, 124 L.Ed.2d 138 (1993). In this regard, the use of the term settled suggests a stable and permanent relocation of the child. See Merriam-Webster Dictionary, www.merriam-webster.com/dictionary/ settled (last visited September 26, 2012) (defining "settled" as "to establish or secure permanently"); Dictionary.com, www.dictionary.reference.com/browse/settled?s=t (last visited September 26, 2012) (defining "settled" as "to make stable; place in a permanent position or on a permanent basis").
Statutory terms are also to be interpreted in light of their "placement and purpose in the statutory scheme." Holloway v. United States, 526 U.S. 1, 6, 119 S.Ct. 966, 143 L.Ed.2d 1 (1999). Although one of the primary objectives of the Convention is to ensure the "prompt return" of abducted children without reaching the merits of underlying custody disputes, see Hague Convention, art. 1, the settled exception recognizes that there may come a point at which "repatriation might not be in [the child's] best interest." Blondin IV, 238 F.3d at 164. The Explanatory Report provides that exceptions to the return of the child, such as Article 12, "are to be interpreted in a restrictive fashion if the Convention is not to become a dead letter" and that "a systematic invocation of [the] exceptions ... would lead to the collapse of the whole structure of the Convention." Pérez-Vera Report at 434-35 ¶ 34. To this end, the State Department concluded that to be "settled" requires "nothing less than substantial evidence of the child's significant connections to the new country." Legal Analysis, 51 Fed. Reg., at 10,509 (1986).
In light of these considerations, "settled" should be viewed to mean that the child has significant emotional and physical connections demonstrating security, stability, and permanence in its new environment. See, e.g., In re N., [1990] 1 FLR 413 (Eng. High Court of Justice, Fam.Div.), available at www.hcch.net/incadat/fullcase/0106.htm. In making this determination, "a court may consider any factor relevant to a child's connection to his living arrangement." Duarte, 526 F.3d at 576. Such an approach is in line with the Convention's overarching focus on a
Duarte, 526 F.3d at 576; see also Matovski, 2007 WL 2600862, at *13 (same); Reyes Olguin v. Cruz Santana, No. 03 CV 6299(JG), 2005 WL 67094, at *8 (E.D.N.Y. Jan. 13, 2005) (same); Koc v. Koc, 181 F.Supp.2d 136, 152-54 (E.D.N.Y.2001) (same). Even as Lozano advocates a categorical rule or strong presumption that lack of lawful immigration status bars a settled finding as a matter of law, he acknowledges that to determine whether a child is settled in his new environment, courts are "permitted to consider any relevant factor surrounding the child's living arrangement — without limitation." Pet'r's Br. at 42 (internal quotation marks omitted). While courts have consistently found immigration status to be a factor when deciding whether a child is settled, no court has held it to be singularly dispositive.
Retreating from his initial position that lack of legal immigration status altogether bars a settled finding under Article 12, Lozano next argues that the district court failed to give the child's undocumented status adequate weight. Pet'r's Br. at 46. In particular, Lozano contends that the district court erred because it discounted the significance of the child's lack of immigration status once it found that the child did not face an immediate threat of deportation. Id. For example, a child might be ineligible for certain government-conferred benefits. We are not persuaded. The importance of a child's immigration status will inevitably vary for innumerable reasons, including: the likelihood that the child will be able to acquire legal status or otherwise remain in the United States, the child's age, and the extent to which the child will be harmed by her inability to receive certain government benefits. Moreover, rather than considering the weight to be given to a child's immigration status in the abstract, courts deciding whether a child is settled must simultaneously balance many factors which, as in this case, may not support the same determination.
Finally, Lozano contends that the district court's finding are not backed by a preponderance of the evidence because "most of the evidence on the well-settled issue should not be given much weight because it came from [Alvarez's] own self-interested hearsay testimony, and to a lesser extent, from the therapist and child's school records." Pet'r's Br. at 49-50. Relatedly, Lozano claims that Alvarez should have provided "corroborating testimony... and other evidence of the child's connections to her new environment." Id. at 51. These arguments can be swiftly rejected.
The district court conducted a two-day hearing, after which it made factual findings with respect to each of the now settled factors. At the hearing, Judge Karas not only reviewed a significant amount of evidence but also had the opportunity to observe the Parties' demeanor and assess their credibility. Far from glossing over inconsistencies in the evidence, the district court fully engaged with all of the information that had been presented to it before announcing its determinations. None of Lozano's challenges to these findings leave us with a "definite and firm conviction that a mistake has been committed." United States v. Kilkenny, 493 F.3d 122, 125 (2d Cir.2007) (internal quotation marks omitted).
We have considered Lozano's remaining arguments and conclude that they are without merit. For the foregoing reasons
We think an abuse of discretion standard might be more apt where, as here, the treaty provision being applied requires the district court to engage in an equitable balancing of a multitude of factors. Cf. Zerilli-Edelglass v. N.Y. City Transit Auth., 333 F.3d 74, 81 (2d Cir.2003) (holding that this Court will review for abuse of discretion a district court's decision to deny a plaintiff's request for equitable tolling of a filing deadline). It is, however, unnecessary for us to decide this issue because, apart from Lozano's purely legal arguments that the one-year period in Article 12 is subject to equitable tolling and that lack of valid immigration status precludes a settled finding, Lozano challenges only the factual findings underpinning the district court's decision. These we review only for clear error.
Amicus Br. at 2 n. 1 (quoting Convention, arts. 6, 7); see also 22 C.F.R. § 94.2 (designating the "Office of Children's Issues in the Bureau of Consular Affairs ... as the U.S. Central Authority to discharge the duties which are imposed by the Convention and the International Child Abduction Remedies Act upon such authorities.").
The Department's position as articulated in the Government's amicus brief is not inconsistent with these prior statements. As early as 1986, the Department maintained that courts may consider whether an abducting parent has concealed the child's whereabouts when deciding whether to grant a return petition. Legal Analysis, 51 Fed. Reg. 10,503. It has never, however, taken the position that courts should be precluded from considering whether a child is settled exclusively because of a parent's wrongful conduct. Indeed, in response to the 2006 questionnaire on the Convention's practical operation, the Department noted that some United States courts had equitably tolled the one-year period in Article 12, but only endorsed the concept that courts should consider whether denying a return petition will create an incentive for a parent to conceal his child's location. Questionnaire Responses, 577. This statement fully aligns with the Department's position in this case, that
Amicus Br. at 13.