## F I L E D United States Court of Appeals Tenth Circuit 

### JUN 3 1997 

### PATRICK FISHER Clerk PUBLISH UNITED STATES COURT OF APPEALS

TENTH CIRCUIT

KARIN SOFIA OHLANDER, In the Matter of Julia Larson, a Minor Child, f/k/a Karin Sofia Larson, Petitioner-Appellant,

v. MARK ANDREW LARSON, Respondent-Appellee. Nos. 95-4114 & 96-4080

Appeal from the United States District Court

for the District of Utah (D.C. No. 94-CV-87)

Daniel F. Bertch (Billie C. Nielsen, with him on th e brief), of Bertch & Birch, Salt Lake City, Utah, for Petitioner-Appellant. Gary L. Paxton (Rodney G. Snow with him on the brie fs) of Clyde, Snow & Swenson, P.C., Salt Lake City, Utah, for Respondent -Appellee.

Before BRORBY, BARRETT and MURPHY , Circuit Judges.

BRORBY , Circuit Judge.1 Ms. Ohlander's appeal of the district court's den ial of her motion to set

aside the judgment under Fed. R. Civ. P. 60(b) was consolidated with the direct appeal. -2- Ms. Ohlander appeals the United States District Cou rt for the District of Utah's judgment denying her petition for the return of her daughter Julia to Sweden under the Hague Convention, ordering Julia's return to Utah, denying her two motions to withdraw and dismiss her petition, d enying her motions to stay enforcement of the judgment, and a subsequent judgm ent denying her Fed. R. Civ. P. 60(b) motion to set aside the judgment. 1 Applying the standards under Fed. R. Civ. P. 41(a)(2) in the Hague Convention context, w e determine the district court abused its discretion in denying the motion to dism iss. We reverse and remand to the district court with instructions to dismiss Ms. Ohlander's petition.

I. BACKGROUND The Hague Convention on the Civil Aspects of Intern ational Child Abduction (the "Convention"), as implemented by both the United States Congress through the International Child Abduction Remedies Act, 42 U.S.C. §§ 11601-11610 (1994), and Sweden, was adopted by the signatory nations "to protect children internationally from the harmful e ffects of their wrongful removal or retention and to establish procedures to ensure their prompt return to the State of their habitual residence." Hague Conv ention on the Civil Aspects of-3-

International Child Abduction, Dec. 23, 1981, Pream ble, 51 Fed. Reg. 10494, 10,498 (1986). The Convention is meant to provide for a child's prompt return once it has been established the child has been "wr ongfully removed" to or retained in any affiliated state. Id. , art. 1, 51 Fed. Reg. at 10498.

Under the Convention, a removal or retention is "wr ongful" if: a. it is in breach of rights of custody attributed to a person, an institution or any other body, either jointly or al one, under the law of the State in which the child was habitually residen t immediately before the removal or retention; and b. at the time of removal or retention those right s were actually exercised, either jointly or alone, or would have b een so exercised but for removal or retention. Id. , art. 3, 51 Fed. Reg. at 10498. Once a removal is deemed "wrongful," "the authority concerned shall order the return of the c hild." Id. , art. 12, 51 Fed. Reg. at 10499. However, the Convention provides for sev eral exceptions to return if the person opposing return can show any of the foll owing: 1) the person requesting return was not, at the time of the reten tion or removal, actually exercising custody rights or had consented to or su bsequently acquiesced in the removal or retention, id. , art. 13a, 51 Fed. Reg. at 10499, 42 U.S.C. § 11603(e)(2)(A); 2) the return of the child would result in grave risk of physical or psychological harm to the child, id. , art. 13b, 42 U.S.C. § 11603(e)(2)(A); 3) the return of the child "would not be permitted by the fundamental principles of-4-

the requested State relating to the protection of h uman rights and fundamental freedoms," id. , art. 20, 51 Fed. Reg. at 10500, 42 U.S.C. § 11603 (e)(2)(A); or 4) the proceeding was commenced more than one year aft er the abduction and the child has become settled in the new environment, id. , art. 12, 51 Fed. Reg. at 10499, 42 U.S.C. § 11603(e)(2)(B).

II. FACTS Ms. Ohlander, a Swedish citizen, and Mr. Larson, a United States citizen, were married in Utah in 1989. In August 1990, thei r daughter Julia was born in Provo, Utah. During the Christmas holiday season o f 1990-91, when Julia was five months old, the entire family traveled to Swed en to visit Ms. Ohlander's family with the intent to return to their Utah home in January 1991. After arriving in Sweden, Ms. Ohlander decided to remain in Sweden with Julia; Ms. Ohlander went into hiding with her daughter and sev ered contact with her husband. Mr. Larson returned to Utah alone in mid- January 1991.

By April 1991, Mr. Larson had reestablished contactwith Ms. Ohlander. In June 1991, with Julia now almost a year old, Ms. Oh lander returned to Utah to be with Mr. Larson. Ms. Ohlander and Julia remained w ith Mr. Larson for seven2Between January 1992 and November 1993, Ms. Ohlan der and Mr.

Larson were participating in divorce and custody pr oceedings taking place in Sweden. -5- months. On January 13, 1992, Ms. Ohlander returnedwith Julia to Sweden without Mr. Larson's consent.

By November 1993, 2 Julia had resided continuously in Sweden for almos t two years, and was a little over three years old. Mr. Larson returned to Sweden with his new wife to see Julia, and during one visi tation, applied the law of "grab and run" taking Julia back to Utah without Ms. Ohlander's consent. In January 1994, Ms. Ohlander filed a petition seeking her dau ghter's return pursuant to the Hague Convention in the United States District Court for the District of Utah. Ms. Ohlander also secured an ex parte Order for Issuance of Warrant in Lieu of Writ of Habeas Corpus from the district court, dire cting peace officers to take Julia into protective custody and to release her to Ms. Ohlander, but prohibiting Ms. Ohlander from removing Julia from Utah pending further order. Mr. Larson delivered Julia to Ms. Ohlander on January 30, 1994 , and on February 1, 1994, Ms. Ohlander disobeyed the court's order and applie d her own version of the law of "grab and run" by returning to Sweden with Julia

.3 42 U.S.C. § 11602 distinguishes between applicati ons and petitions filed

under the Convention. A petition exists upon a per son filing for relief in court, while an application exists upon a person filing wi th the United States' or any other country's Central Authority for a child's ret urn. 42 U.S.C. § 11602(1), (4).

4Specifically, the Convention's art. 12 states: Where the judicial or administrative authority in t he requested State has reason to believe that the child has been taken to another state, it may stay the proceedings, or dismiss the applicatio n for the return of the child. Hague Convention, art. 12, 51 Fed. Reg. at 10499. -6- In August 1994, shortly after Julia's fourth birthd ay, the district court entered an order finding Ms. Ohlander in contempt a nd directing her to return Julia to the United States within thirty days. Ms. Ohlander failed to comply. Two months later, in October 1994, following Ms. Ohland er's and Julia's return to Sweden, Mr. Larson filed a Convention application f or Julia's return with the United States Central Authority, which was forwarde d to Sweden's Central 3 Ms. Ohlander then filed a motion, pursuant to Fed. R. C iv. P. 41(a)(2), to dismiss her district court petition, based, in part, on the Con vention's art. 12, which authorizes a judicial authority to stay or dismiss the application or judicial proceedings seeking a child's return. 4 Hague Convention, art. 12, 51 Fed. Reg. at 10499. In January 1995, prior to the hearing on Ms. Ohlander' s motion, Mr. Larson5 Presumably, Mr. Larson filed the petition in addi tion to the application to

prevent Ms. Ohlander from asserting the "settled en vironment" defense as it pertained to Ms. Ohlander's 1994 removal. This def ense is discussed infraat pp. 21-22. -7- petitioned the Sweden court pursuant to the Convent ion for Julia's return on the ground Ms. Ohlander had "wrongfully removed" her fr om Utah. 5

The United States district court conducted a hearin g on Ms. Ohlander's motion to dismiss. During that hearing, the UnitedStates district court was informed of Mr. Larson's Hague Convention proceedin g in Sweden. The district court denied the motion to dismiss solely on the ba sis of Ms. Ohlander's contempt of its order not to remove Julia from Utah. Ms. Oh lander later orally renewed her motion to dismiss, which the district court denied on the same grounds.

The district court conducted a bench trial on Ms. O hlander's Hague Convention petition to determine the issues of habi tual residence and wrongful removal pursuant to the Convention. However, neith er Ms. Ohlander nor Julia was present for the hearing, nor did they testify b y other means. Ms. Ohlander presented no live witnesses and relied only on the stipulated facts set out in the Pretrial Order. Ultimately, the district court fou nd Julia was at all times a "habitual resident" of Utah, and as such, Ms. Ohlan der's retention of Julia in-8-

Sweden in 1991, and her removals of Julia from Utahin 1992 and 1994 were all "wrongful" under the Convention. Accordingly, the district court ordered Julia's immediate return to Utah and requested the aid of t he Contracting States in achieving that goal.

Following the United States district court's decisi on, the Sweden courts held hearings to determine the merits of Mr. Larson 's petition. Both Mr. Larson and Ms. Ohlander were present during the Sweden cou rt proceeding. The Sweden Supreme Administrative Court held Julia's habitual residence changed from Utah to Sweden after she had lived in Sweden for twelve months following the January 1992 abduction -- a decision directly in conflict w ith the United States district court's holding.

Once the Sweden court had made its ruling, Ms. Ohlander filed a motion to stay enforcement of the United States district court's order, and a motion to set aside the United States' judgment under Fed. R. Civ . P. 60(b). The United States district court denied the motions, again solely on the basis of Ms. Ohlander's contempt. We are presented, therefore, with two in ternational decisions standing in direct conflict, and it is this contradiction we attempt to resolve for both the present case and for future cases.-9-

III. DISCUSSION This case presents issues novel to this court, and according to our research, novel to this country. Our aim is to provide court s with guidance in future similar cases, namely, where two civil actions under the Ha gue Convention on the Civil Aspects of International Child Abductions are filedin disparate courts due to a child's removal from the court of first jurisdictio n. Also, our aim is to give meaning to the Convention's intended purpose of dis couraging parents from fleeing with their children in search of a favorabl e decision. Notably, we are faced not only with issues of the proper interpretation of bare text in the form of the Hague Convention treaty, but also with the plig ht of a now six-year-old girl to whom the law of "grab and run" repeatedly has been applied.

We therefore must examine the following competing i nterests of: the district court ensuring compliance with its orders; the procedural conduct of the parties; and most important, the Convention's inten t and our duty to see that intent justly carried out. Against this backdrop, we atte mpt to untangle the Gordian knot the parents, together, have seen fit to tie.-10-

IV. MOTION TO DISMISS Even though Ms. Ohlander appeals several of the dis trict court's rulings, our decision on the motion to dismiss pursuant to F ed. R. Civ. P. 41(a)(2) is dispositive. Thus, we need not address the remaini ng issues. We therefore turn our focus to whether the district court abused its discretion in denying Ms. Ohlander's motion to dismiss pursuant to Fed. R. Ci v. P. 41(a)(2).

A. Relevant Facts Ms. Ohlander's first motion to dismiss was filed sh ortly after Mr. Larson filed his Hague application for Julia's return to U tah with the United States Central Authority. Ms. Ohlander's counsel raised h er second motion to dismiss orally during the bench trial. Relying on the Conv ention's art. 12, Ms. Ohlander argued in her first motion to dismiss that because Julia was no longer in the United States and because Mr. Larson had initiated his own Hague Convention application, the United States district court shoul d dismiss the petition for Julia's return to Sweden. By the time the United States di strict court heard arguments regarding the first motion to dismiss, Mr. Larson h ad initiated his own petition in the Sweden courts regarding the wrongfulness of Jul ia's removal from the United States. The district court was aware of the duplic ative judicial action in Sweden. Notwithstanding its knowledge of Mr. Larson's Hague Convention proceedings in-11-

Sweden, the district court summarily denied Ms. Ohl ander's motion solely on the basis of Ms. Ohlander's contempt stating:

I'm not going to grant the Motion to Dismiss and I' m not going to grant it simply because this woman, the petition er, in my opinion, isn't in a position to ask me to do that, because s he's in violation of the orders of this Court. She is simply in violati on. She invoked the jurisdiction. She asked for our help, and then she , contrary to the order of the Court, ran. In her second motion to dismiss, Ms. Ohlander relie d again on the Convention's art. 12, the fact that Julia was no longer in the U nited States, and the fact that Mr. Larson had initiated judicial proceedings in Sweden . The district court again denied Ms. Ohlander's second motion to dismiss due to her contumacious conduct.

B. Relevant Factors Considered Under 41(a)(2)/Stan dard of Review Once a defendant files an answer, as was the case h ere, a plaintiff may voluntarily dismiss an action only upon order of th e court. Fed. R. Civ. P. 41(a)(2). We review the district court's decision to deny a voluntary dismissal under such conditions for abuse of discretion. American Nat'l Bank & Trust Co. v. Bic Corp. , 931 F.2d 1411, 1412 (10th Cir. 1991). Absent "le gal prejudice" to the defendant, the district court normally should g rant such a dismissal. See Andes v. Versant Corp. , 788 F.2d 1033, 1036 (4th Cir. 1986) (voluntary di smissal "should not be denied absent substantial prejudice to the defendant"); McCants v. Ford Motor Co. , 781 F.2d 855, 856-57 (11th Cir. 1986) ("in most c ases a-12-

dismissal should be granted unless the defendant wi ll suffer clear legal prejudice"). The parameters of what constitutes "l egal prejudice" are not entirely clear, but relevant factors the district court shou ld consider include: the opposing party's effort and expense in preparing for trial; excessive delay and lack of diligence on the part of the movant; insufficient e xplanation of the need for a dismissal; and the present stage of litigation. Phillips U.S.A., Inc. v. Allflex U.S.A., Inc. , 77 F.3d 354, 358 (10th Cir. 1996). Each factor n eed not be resolved in favor of the moving party for dismissal to be ap propriate, nor need each factor be resolved in favor of the opposing party for deni al of the motion to be proper. Id. at 358.

The above list of factors is by no means exclusive. Id. at 358. Any other relevant factors should come into the district court's equation. In fact, in the context of this Hague Convention proceeding, the di strict court was impressed with a duty to exercise its discretion by carefully appraising any additional factors unique to the context of this case, including the i nterests in comity, uniform interpretation of the Convention and the importance of giving import to the Hague Convention's intended purpose as relevant to the mo tion to dismiss.-13-

The district court should endeavor to insure substantial justice is accorded to both parties. 9 Charles Alan Wright and Arthur R. Miller, Federal Practice and Procedure § 2364 at 278 (2d ed. 1994). A court, th erefore, must consider the equities not only facing the defendant, but also th ose facing the plaintiff; a court's refusal to do so is a denial of a full and complete exercise of judicial discretion. Id. at 297. In a complex, emotional case such as this , it is critically important when considering a motion to dismiss, the court giv e the equities of the plaintiff the attention deserved.

Finally, when considering a motion to dismiss, a co urt must remember the important factors in determining legal prejudice ar e those involving the parties, not the court's time or effort spent on the case. Clark v. Tansy , 13 F.3d 1407, 1411 (10th Cir. 1993). A court abuses its discreti on when denying a motion to dismiss under Rule 41(a)(2) based on its inconvenie nce. Id. at 1411.

In sum, the district court was obligated to conside r the novelty of the circumstances surrounding this case. Instead, the court did not consider the merits of Ms. Ohlander's motion due exclusively to her contumacious conduct. It is true Ms. Ohlander blatantly violated the court's orders and absconded to Sweden with Julia in tow. We refuse to condone suc h conduct. However, neither-14-

can we condone a court ignoring its duty to conside r the merits of a motion to dismiss simply because a party has violated its ord ers. Whether a motion to dismiss under Rule 41(a)(2) may be granted is a matter initially left to the district court's discretion, but such discretion does not ex cuse a court's failure to exercise any discretion, nor does it save an unpermitted exe rcise of discretion from reversal. Alamance Indus., Inc. v. Filene's , 291 F.2d 142, 146-47 (1st Cir.), cert. denied, 368 U.S. 831 (1961). A clear example of an abuse of discretion exists where the trial court fails to consider the applica ble legal standard or the facts upon which the exercise of its discretionary judgme nt is based. See McNickle v. Bankers Life & Cas. Co. , 888 F.2d 678, 680 (10th Cir. 1989) (reviewing a d istrict court's 60(a) motion under an abuse of discretion s tandard). We believe the district court's decision to deny Ms. Ohlander's mo tion solely on the grounds of her contempt and without considering any additional circumstances, amounts to a failure to exercise discretion, and is, consequentl y, an abuse of that discretion.

C. Merits of Ms. Ohlander's 41(a)(2) Motion 1. Traditional Factors Although the district court's failure to apply the correct legal standard could serve as a basis for remand, in the interest of eff iciency and judicial economy, and in the interest of providing immediate guidance as to the most appropriate-15-

direction of this case in light of the Convention's purpose, we turn to the merits of Ms. Ohlander's motion to dismiss. Clark, 13 F.3d at 1411-13 (considering on appeal the merits of motion to dismiss after distri ct court abused its discretion); Park City Resource Council v. United States Dept. o f Agric. , 817 F.2d 609, 617- 18 (10th Cir. 1987) ("Although failure to apply correct legal standard could be basis for remand to the district court, we have fou nd that remand is not necessary where there is no dispute regarding the underlying facts and where it is in the interest of judicial economy and efficiency to deci de the matter."); see also McCord v. Bailey , 636 F.2d 606, 613 (D.C. Cir. 1980) (although inad equate findings and conclusions may be remanded to the dis trict court for supplementation, appellate court will not remand fo r more specific findings if doing so will consume judicial resources without se rving any purpose). We believe, as is obvious from our remaining analysis, no dispute regarding the underlying facts exists and the existing record is adequate to address the issues of

concern.

Mr. Larson argues that to grant Ms. Ohlander's moti on would subject him to legal prejudice. More specifically, Mr. Larson argues he would be unfairly prejudiced by Ms. Ohlander's excessive delay and la ck of diligence, and by the lack of a sufficient explanation in favor of dismis sal. See Allflex , 77 F.3d at 358.6The dissent opines our statement here "is a concl usory statement lacking

support in the record" because between the time Ms. Ohlander initiated the Convention proceeding and filed her motion to dismi ss, Ms. Ohlander "did virtually nothing to affirmatively move her case al ong." Unfortunately, this court has yet to explicitly define "diligence" in the con text of a Rule 41(a)(2) motion to dismiss. While the dissent purports an "affirmativ e act" requirement, the cases from this circuit touching on the issue characteriz e diligence quite differently. Allflex , 77 F.3d at 358 (movant's request for additional t ime to respond to proffered facts and to conduct further discovery co nstituted lack of diligence); Clark, 13 F.3d at 1412 (movant's failure to exhaust stat e claims for purposes of habeas review "cannot be construed as lack of dilig ence"); see also, United States v. Outboard Marine Corp , 780 F.2d 497, 504 (7th Cir. 1985) (lack of dilige nce may be shown by evidence of bad faith or unwarrante d delay). We are not certain -16- Mr. Larson argues Ms. Ohlander's filing of her moti on to dismiss eleven months after the initiation of the proceedings and after M r. Larson had requested a final pretrial hearing constitutes delay and lack of dili gence. However, while Ms. Ohlander moved to dismiss her petition eleven month s after she initiated the proceeding, our examination of the record illustrat es Ms. Ohlander filed her motion to dismiss only after Mr. Larson had filed his application for Julia's re turn with the United States Central Authority. Therefor e, the most persuasive reason to file a motion to dismiss did not arise until ele ven months following the initial proceeding's initiation. As a result, the timing o f Ms. Ohlander's motion could not constitute excessive delay sufficient to legall y prejudice Mr. Larson. Moreover, the record shows Ms. Ohlander's counsel w as actively and diligently moving forward with the case regardless of Ms. Ohlander's absence. Counsel was present at and participated in every hearing. 6 Therefore, we conclude there waswhat "affirmative acts" the dissent would require, and to the extent it would

require a movant to file additional motions prior t o a motion to dismiss, all in the name of "affirmative acts," we disagree. In fact, affirmative acts to prolong litigation more typically provide a basis for findi ng excessive delay and lack of diligence. See, e.g., Allflex , 77 F.3d at 358. The record before us shows couns el was present at and fully participated in all hearin gs and, outside the motions to dismiss, which were timely filed, did not cause und ue delay. Consequently, there is adequate support in the record to reach our conc lusion. -17- no improper delay or lack of diligence on Ms. Ohlan der's part sufficient to legally prejudice Mr. Larson.

Further, we believe the reasons Ms. Ohlander has gi ven for granting the motion to dismiss are not insufficient such that th ey prejudice Mr. Larson. In her motions to dismiss, Ms. Ohlander argued her petitio n was moot and because Julia was no longer in Utah, the Convention's art. 12 all owed for a stay or dismissal of the proceedings. Ms. Ohlander also relied on the f act Mr. Larson himself initiated a duplicative action in Sweden as furthersupport for the imposition of the Convention's art. 12 dismissal provision. Cert ainly, the first two reasons alone are insufficient to support a motion to dismi ss and could give parents an undue incentive to flee from Hague Convention proce edings. However, as discussed at length below, we place greater weight on Ms. Ohlander's proffered reasons that Mr. Larson initiated a second action i n Sweden and that the Convention's art. 12 lends support for dismissing the United States proceeding.-18-

Ms. Ohlander's reasons for requesting the motion to dismiss are not insufficient such that they legally prejudice Mr. Larson. Rathe r, as Ms. Ohlander emphasizes, by initiating a judicial proceeding in Sweden Mr. L arson himself, along with the Convention's terms, provided the most persuasive re ason to dismiss the United States district court proceeding. Mr. Larson is ha rd pressed to argue he is prejudiced by his own actions.

Mr. Larson also argues the motion to dismiss shouldnot be granted because his response to Ms. Ohlander's Hague Convention pet ition should be construed as a counterclaim. It is true a court may construe a pleading mistakenly designated as a defense as a counterclaim when justice require s. Fed. R. Civ. P. 8(c). However, because Mr. Larson filed his own Hague Con vention petition in Sweden, we remain unconvinced justice requires us t o construe Mr. Larson's response to Ms. Ohlander's petition as a countercla im in this case. Mr. Larson chose to assert his claims in a court of another ju risdiction. Justice does not require us to tortuously construe his response to M s. Ohlander's petition simply to retain jurisdiction over this matter. Had Mr. Lars on wanted the United States courts to adjudicate his claim Ms. Ohlander wrongfu lly removed Julia from Utah, he would have been far better served by filing a cr oss-petition with the district7The dissent claims that by relying on the fact Mr . Larson initiated the

second proceeding in Sweden we are somehow "punishi ng" Mr. Larson for enlisting the aid of the Sweden courts. On the con trary, we are only holding Mr. Larson accountable for his actions. Even though Ju lia was no longer within the United States when Mr. Larson filed the petition in Sweden, the United States court retained jurisdiction to determine Julia's st ate of habitual residence. See 42 U.S.C. § 11603(b). The United States district court had jurisdiction over the original petition as the court "in the place where the child is located at the time the petition is filed." Therefore, even though Jul ia was removed, the United States Court retained jurisdiction to determine the child's place of habitual residence. Additionally, the permissive lanugage o f the Convention's art. 12 dismissal provision, which allows a court to stay o r dismiss an action versus mandating a dismissal once a child is removed, sugg ests the United States court retained jurisdiction even after Julia was removed from Utah. Rather than relying on the original action, Mr. Lar son initiated a second proceeding, which has resulted in a ruling contraryto his interests and which has resulted in two conflicting international decisions , a problem we must somehow address. Certainly, we are not punishing him by su bjecting him to the results of the proceeding he, in fact, initiated. Further, th e fact Mr. Larson attempted to limit the Sweden court's jurisdiction is of no mome nt. Once Mr. Larson filed the petition in the Sweden court, that court had properjurisdiction to determine Julia's place of habitual residence regardless of t he fact Mr. Larson attempted to limit the Sweden court's review to the 1994 removal . Hague Convention, art. 3, 51 Fed. Reg. at 10498. -19- court rather than initiating an entirely new procee ding in Sweden. Consequently, we refuse to construe Mr. Larson's response as a co unterclaim. 7

2. Additional Relevant Factors As already noted, given the unique circumstances of this case, the district court should have considered the importance of a pr oper, uniform interpretation of the Convention, along with a consideration of th e Convention's purpose, when-20-

evaluating the merits of Ms. Ohlander's motion to d ismiss. We now consider those factors.

a. Proper Interpretation of the Hague Convention's

Procedures When the district court considered whether Ms. Ohlander's removal of Julia from Utah was wrongful, it misconstrued the Convent ion's contemplated procedures. According to the Convention, once a pe tition is filed, a court should consider only whether a respondent's removals of a child are wrongful. See Hague Convention, arts. 3, 12, 51 Fed. Reg. at 1049 8, 10499, 42 U.S.C. § 11603(b), (e). Here, antithetic to the Conventio n's intent as a whole, the court considered whether the petitioner's removals of the child were wrongful.

When Ms. Ohlander petitioned the United States district court for Julia's return to Sweden, the issue before the court was wh ether Mr. Larson's removal of Julia from Sweden was wrongful pursuant to the Conv ention. Hague Convention, art. 3, 51 Fed. Reg. at 10498. Once Ms. Ohlander r emoved Julia from Utah, the issue became whether Ms. Ohlander's removals were w rongful. Id. By filing his own petition in the Sweden courts, Mr. Larson chose to adjudicate Ms. Ohlander's removals of Julia in the foreign court rather than in the United States district court. The district court's consideration of Ms. O hlander's removal of Julia-21-

without Mr. Larson having filed a cross-petition inthat court was contrary to the Convention's intended procedures.

Additionally, denial of Ms. Ohlander's motion to di smiss renders Ms. Ohlander's most relevant defense to Julia's return to Utah unavailable, namely, the "settled environment" defense. Hague Convention, a rt. 12, 51 Fed. Reg. at 10499, 42 U.S.C. § 11603(e)(2)(B). Under the Convention's plain terms, one defense to a child's return is showing the petition was filed a year after the child's removal or retention and that the child has become settled in his or her new environment. Hague Convention, art. 12, 51 Fed. Reg. at 10499, 4 2 U.S.C. § 11603(e)(2)(B). When Ms. Ohlander filed her petition, she was askin g for Julia's return to Sweden; any defenses to Julia's return, under Artic le 12 or otherwise, were available only to the respondent, Mr. Larson. See Hague Convention, art. 12, 51 Fed. Reg. at 10499, 42 U.S.C. § 11603(e)(2)(B). Co nsequently, Ms. Ohlander could not, under the Convention's contemplated proc edures, properly assert the "settled environment" defense. However, once Mr. L arson filed his own petition in Sweden seeking to adjudicate Ms. Ohlander's remo val of Julia from Utah, Ms. Ohlander rightfully could assert the "settled envir onment" defense. Hague Convention, art. 12, 51 Fed. Reg. at 10499, 42 U.S. C. § 11603(e)(2)(B). Conversely, had Mr. Larson filed a cross-petition i n the United States district8The dissent takes issue with our interpretation o f the availability of this

defense to Ms. Ohlander. Apparently, the dissent i nterprets the Convention as restricting the Sweden court's review to Ms. Ohland er's 1994 removal of Julia and not to allow review of Ms. Ohlander's additional re tentions and removals of Julia, particularly Ms. Ohlander's 1992 removal of Julia f rom Utah. We disagree with this interpretation. The Convention is intended to provide finality to the parties, and it is our duty to see this intent carried out. We note this is an extremely difficult case, dealing with the Convention's interpretation, an area singularly lacking in helpful precedent or congressional guida nce. It is merely our duty to resolve this case as best we can in accordance with our interpretation of the Convention and to give import to the intentions of that Convention. -22- court for Julia's return to Utah, rather than insti gating an entirely new action in Sweden, Ms. Ohlander properly could have asserted h er defenses in the United States district court. Since Mr. Larson chose to i nitiate a second Convention proceeding in Sweden, Sweden was the jurisdiction w here the claims and defenses of both Ms. Ohlander and Mr. Larson could be more f airly adjudicated. Therefore, the proper interpretation of the Convent ion weighs in favor of dismissing the United States action and allowing th e issues to be decided in Sweden. 8

This result is further supported by the plain langu age of the Convention's art. 12, which states "where the judicial or admini strative authority in the requested State has reason to believe the child has been taken to another State, it may stay the proceedings or dismiss the applicationfor the return of the child." Hague Convention, art. 12, 51 Fed. Reg. at 10499. While this language is-23-

permissive rather than mandatory, its words merit acourt's consideration when denying a motion to dismiss. Congress has declaredthe importance of "the need for uniform international interpretation of the Con vention." 42 U.S.C. § 11601(b)(3)(B). Article 12 helps to ensure two d isparate courts will not reach conflicting decisions by encouraging courts to dism iss or stay their actions where appropriate. This case poses a perfect example of the need for Article 12's dismissal provision: the United States district co urt had knowledge that Julia had been taken to Sweden, and that a second action init iated by Mr. Larson was pending in Sweden, where all the parties, including the child, were present. Therefore, we conclude the adherence to intended Ha gue Convention procedures support Ms. Ohlander's motion to dismiss.

b. Intent of the Hague Convention Failing to grant the motion to dismiss where a seco nd duplicative action has been filed in a different country would potentially render the Hague Convention meaningless. Part of the Convention's intent is "t o ensure that rights of custody and of access under the law of one Contracting Stat e are effectively respected in other Contracting States." Hague Convention, art. 1(b), 51 Fed. Reg. at 10498. Prior to the Convention, when faced with an unfavor able custody decision, a parent would flee to another country in search of acustody decision in his or her-24-

favor. This would often result in two conflicting custody decisions without guidance as to which country's custody decision hadpreference. The Hague Convention was drafted with the intent to remove fo rever the incentive for a parent to flee across borders to obtain a favorable ruling. Letter of Transmittal from President Ronald Reagan (Oct. 30, 1985), repri nted in 51 Fed. Reg. 10494, 10,495 (1986); Pub. Notice 957, 51 Fed. Reg. 10494, 10505 (1986)

. Under the Convention, a child is to be expediently returned t o his or her state of habitual residence "so that a court there can examine the me rits of the custody dispute and award custody in the child's best interests." Pub. Notice 957, 51 Fed. Reg. at 10505. As a result, the Convention was meant, in part, to lend priority to the custody determination hailing from the child's stat e of habitual residence.

While the Convention proceedings in this case certa inly have not achieved this intended result, a refusal to dismiss this act ion only exacerbates the problem. By failing to dismiss the United States action we w ould allow to stand two conflicting decisions regarding Julia's state of ha bitual residence, which could very well require a Hague Convention to determine w hich Hague Convention determination is valid. This, of course, is absurd . By dismissing this action, we instead require these and future litigants to choos e which jurisdiction will9The dissent opines our reliance on this factor is ironic because the

conflict between the two decisions was merely "pote ntial" at the time Mr. Larson filed the duplicative action in Sweden. It is prec isely the "potential" conflict between different countries' custody decisions thatmade the Convention necessary. -25- determine a child's state of habitual residence, th ereby salvaging what we can of the Convention's intended purpose. 9

Failing to grant the motion to dismiss also could c reate a new incentive for parents to flee Hague Convention proceedings in the hope of obtaining a second, more favorable Convention determination in another country. We then would be left to solve the riddle of which competing ruling in each case is valid. This is a task we refuse to acquire. Rather, we believe the parties' interests would be best represented and judicial resources best spent if parents engaged in this type international custody battle are required to resolv e their dispute in one jurisdiction or the other. Holding Mr. Larson and future litigants to one jurisdiction gives import to the Convention's inten ded meaning.

c. Ms. Ohlander's Contempt Certainly, the court's interest in ensuring a party 's compliance with its orders is a great one, enforceable by fines or impr isonment. Spallone v. United States , 493 U.S. 265, 276 (1990). However, a court is ob liged to use the "'least-26-

possible power adequate to the end proposed.'" Id. at 276 (quoting United States v. Yonkers , 856 F.2d 444, 454 (2d Cir. 1988), and Anderson v. Dunn , 6 Wheat. 204, 231 (1821)). Here, certainly other measures w ere available to compel compliance, such as personal sanctions against the mother, or possibly staying a decision pending the child's return.

Under the provisions of the International Child Abd uction Remedies Act, the district court has the authority to implement m easures to "prevent the child's further removal or concealment before the final dis position of the petition." 42 U.S.C. § 11604. Given Ms. Ohlander's history of re moving Julia from the United States, to prevent Ms. Ohlander from repeating this behavior, perhaps the district court should have imposed more rigid measures, suchas requiring Ms. Ohlander to surrender both her and Julia's passports to the clerk of court prior to receiving physical custody of Julia, or leaving custody with Mr. Larson pending the petition's outcome. See Currier v. Currier , 845 F. Supp. 916, 923 (D. N.H. 1994) (district court requiring petitioner surrender her and her children's passport to the court's clerk pending appeal). However, if such me asures are not imposed, or if they fail, the court is not thereby released of its duty to consider the merits of the parties' cases when considering how best to enforce compliance. In sum, there is no doubt Ms. Ohlander's actions were contemptible, for she brazenly thumbed her-27-

nose at the United States district court's order no t to remove Julia from Utah; nevertheless, such conduct does not warrant a courtdenying a motion to dismiss solely on that ground.

In sum, we hold it necessary to dismiss this action . Mr. Larson does not suffer legal prejudice from such a dismissal, and t he balance of relevant factors, along with the intent of the Convention, weigh in f avor of dismissal.

We REVERSE the district court and REMAND with instructions to dismiss the petition without prejudice.95-4114, 96-4080, Ohlander v. Larson

Murphy, Circuit Judge, dissenting I concur in the majority’s conclusion that the dist rict court erred in failing to consider the governing legal standards and relev ant facts relating to Ms. Ohlander’s Fed. R. Civ. P. 41 motion to dismiss. R ather than resolve the Rule 41 issue ourselves, however, we should remand this cas e to the district court for an appropriate Rule 41 evaluation and an accompanying adequate development of the record in light of the new law established by this court’s opinion. Therefore, I dissent from the majority’s resolution of the motio n to dismiss on the merits and its failure to remand. A. Rule 41(a)(2) Factors The trial court denied Ms. Ohlander’s Fed. R. Civ. P. 41(a)(2) motion to dismiss for the sole reason that Ms. Ohlander was i n contempt of court. In doing so, the court failed to consider the appropriate le gal standards under Rule 41(a)(2). Although the trial court could properly c onsider Ms. Ohlander’s contemptuous conduct, it was also required to evalu ate other governing legal criteria. McNickle v. Bankers Life & Casualty Co. , 888 F.2d 678, 680 (10th Cir. 1989) (noting trial court errs when it fails to con sider applicable legal standard or facts on which exercise of discretionary judgment i s based). Its failure to do so requires reversal.1 As discussed on pages 3-4, the only other factor th e majority articulates in

favor of Ms. Ohlander’s motion is its conclusory st atement, lacking support in the record, that there was no excessive delay and lack of diligence on Ms. Ohlander’s part in bringing her motion. Stripped of this unsupported assertion, it is evident that the majority’s outcome rests only on the desir e to avoid a potentially conflicting decision from another sovereign state. -2- Ironically, the majority has reversed the district court for refusing to grant Ms. Ohlander’s motion for the sole reason that she was in contempt of court, yet ruled de novo that Ms. Ohlander’s motion should be granted for the sole reason that Mr. Larson initiated his own Hague Convention proceedings. 1 The district court was required to evaluate fairly all Rule 41 f actors; we should similarly be bound. An adequate record on remand, however, woul d be necessary. In evaluating a Rule 41(a)(2) motion to dismiss, a court must consider the prejudice to the non-moving party. Clark v. Tansy , 13 F.3d 1407, 1411 (10th Cir. 1993) (quoting Barber v. General Elec. Co. , 648 F.2d 1272, 1275 (10th Cir. 1981)). In Tansy , we adopted the following factors to assess “legal prejudice” to the opposing party: (1) the non-moving party’s effo rt and expense of preparation for trial; (2) the moving party’s delay and lack of diligence in prosecuting the action; and (3) insufficient explanation for the ne ed to allow a dismissal. Clark, 13 F.3d at 1411 (quoting Huskey v. National Liquid Blasting Corp. , 1987 WL 276128, *1 (D. Kan. Aug. 7, 1987) (quoting United States v. Outboard Marine Corp. , 789 F.2d 497, 502 (7th Cir.) cert. denied, 479 U.S. 961 (1986))). This list-3-

is not exhaustive; a court may also consider other relevant factors in its Rule 41(a)(2) analysis. Phillips USA, Inc. v. Allflex USA, Inc. , 77 F.3d 354, 358 (10th Cir. 1996) (noting above factors are not exclusive, but instead are guides for district court). The record does not address Mr. Larson’s effort andexpense of preparation for trial. Ms. Ohlander did not file her motion to dismiss, however, until Mr. Larson had filed a request for a final pretrial con ference, suggesting that Mr. Larson had completed substantial trial preparation. If so, this would weigh against granting a motion to dismiss. As to the second Tansyfactor, the majority states that “the record shows Ms. Ohlander’s counsel was actively and diligently moving forward with the case regardless of Ms. Ohlander’s absence.” Maj. Op. at16-17. A review of the docket sheet, the only record of Ms. Ohlander’s lit igation activity, undermines this assertion. The docket reveals that Ms. Ohland er waited almost a year after initiating her action before filing her motion to d ismiss. During this time she did virtually nothing to affirmatively move her case al ong; instead, she merely responded through counsel to Mr. Larson’s efforts t o obtain a contempt order and the return of Julia to Utah. Thus, if anything, th e limited record before us supports the conclusion that Ms. Ohlander did not d iligently prosecute this action. Indeed, her conduct in absconding with Julia in vio lation of the court order belies-4-

a motivation to move her case forward. A remand wo uld be useful on this point to explore whether she or her counsel made any effo rts to prosecute the case that do not now appear in the record. The majority also opines that because Ms. Ohlander filed her motion to dismiss after Mr. Larson filed his application withthe United States Central Authority, “the timing of Ms. Ohlander’s motion cou ld not constitute excessive delay sufficient to legally prejudice Mr. Larson.” Maj. Op. at 16. The logic of this statement is unclear. The filing of her motio n in no way reflects her prefiling diligence in prosecuting her case once she r emoved the child from the United States in violation of the district court’s order. Indeed, Mr. Larson’s application with the United States Central Authority is absolutely irrelevant to an evaluation of whether Ms. Ohlander diligently pursu ed her separately filed action before the United States District Court. Finally, Ms. Ohlander did not provide a sufficient explanation of her need for dismissal. Ms. Ohlander gave three reasons forher Rule 41 motion, all derived from her fleeing with the child in violatio n of the district court’s order and her defiance of the district court’s subsequentorder that the child be returned to Utah. None of Ms. Ohlander’s reasons warrant di smissal of her action. The majority forthrightly acknowledges that granting Ms . Ohlander’s motion based on her first two reasons (that her petition was moot, and the child was no longer in2As noted on pages 7-9, his filing in Sweden was also mandated by the United States

enabling legislation for the Hague Convention, the International Child Abduction Remedies Act, which provides jurisdiction only to courts “in the place where the child is located at the time the petition is filed.” 42 U.S.C. § 11603(b). -5- the state of Utah) would create a perverse incentiv e for others to use United States courts to obtain physical control of their c hildren and then unlawfully flee the United States. Thus, these reasons concededly provide no support for Ms. Ohlander’s motion. The majority concludes that Ms. Ohlander’s third re ason for dismissal, Mr. Larson’s application to the Swedish Authority and h is subsequent petition to the Swedish court, “provided the most persuasive reasonto dismiss the United States district court proceeding.” Maj. Op. at 18. Punis hing Mr. Larson for enlisting the aid of the only sovereignty with physical control o f his child, however, ignores the practical and emotional dilemma with which Mr. Larson was faced. Litigating this matter in the United States could not provide Mr. Larson what he sought most: contact with his child. With his child in S weden, albeit unlawfully, Mr. Larson had no real alternative but to seek Swed ish assistance. 2 Otherwise, he was faced with the devastating potential of a linge ring loss of contact with his daughter. In addition, Mr. Larson had strategic li tigation reasons for filing in Sweden when he did. The Hague Convention allows a parent who has fled even unlawfully with a child to assert a settled environ ment defense to a petition for-6-

return of a child if the petition is not filed with in one year from the date the child is taken. Hague Convention on the Civil Aspects of International Child Abduction, Dec. 23, 1981, art. 12, 51 Fed. Reg. 104 94, 10499 (1986). Mr. Larson, therefore, had only one year to file if he wanted to prevent Ms. Ohlander from creating this defense by her unlawful flight. Under these circumstances, Mr. Larson's filing in Sweden does not in any way compe l the dismissal of the United States action. B. Additional Factors 1. Appropriate Forum The majority maintains that Sweden was "the jurisdi ction where the claims and defenses of both Ms. Ohlander and Mr. Larson could be more fairly adjudicated." Maj. Op. at 22. Specifically, the m ajority bases its preference for a Swedish adjudication on the presence of all the parties, including Julia, in Sweden, and its view that only in Sweden could Ms. Ohlander assert a "settled environment" defense. Placing weight on the presence of all parties in the Swedish proceedings is inappropriate. The precipitating reason for all pa rties’ participation in the Swedish action was Ms. Ohlander’s unlawful flight from the United States with Julia. Had Ms. Ohlander obeyed the district court’ s order and remained in Utah with Julia during the pendency of the United States proceedings, all parties would-7-

have been physically present for the United States proceedings. Instead, Ms. Ohlander chose to participate through counsel rathe r than to personally attend the United States trial. Her unlawful absence from the United States trial should not accrue to her benefit. The majority’s view that the settled environment de fense is available only in Sweden is similarly flawed. Article 12 of the H ague Convention creates the settled environment defense only when “a period of less than one year has elapsed from the date of the wrongful removal or retention . . . .” Hague Convention, art. 12, 51 Fed. Reg. at 10499. Because Mr. Larson file d in Sweden within one year of Ms. Ohlander's removal of Julia, the defense was unavailable to Ms. Ohlander in the Swedish action. Similarly, if Mr. Larson ha d complied with the majority’s ruling and filed in the United States within one ye ar of Julia’s removal, the defense would have been unavailable in the United S tates action. Furthermore, the majority erroneously asserts that denying Ms. O hlander’s motion to dismiss renders the settled environment defense unavailable to her in the Utah action. The availability of the settled environment defense hinges on the filing and timing of Mr. Larson’s own petition, not on whether Ms. Oh lander’s motion to dismiss is granted or denied.-8- 2. Hague Convention Procedures The majority also states that Mr. Larson " chose to assert his claims in a court of another jurisdiction," Maj. Op. at 19 (emp hasis added), and that he would have been better served by filing a cross-petition in the United States District Court. Mr. Larson did not, however, have a choice where to file his petition once Ms. Ohlander took Julia to Sweden. Section 11603(b ) of the International Child Abduction Remedies Act, the enabling legislation fo r the Hague Convention, provides: Any person seeking to initiate judicial proceedings under the Convention for the return of a child or for arrangements for o rganizing or securing the effective exercise of rights of access to a child m ay do so by commencing a civil action by filing a petition for the relief so ught in any court which has jurisdiction of such action and which is authorizedto exercise its jurisdiction in the place where the child is located at the time the petition is filed

. 42 U.S.C. § 11603(b) (emphasis added). At the time Mr. Larson filed his petition in January 1995, Julia was in Sweden, not Utah. Atthat point in time, the enabling legislation for the Hague Convention itsel f compelled Mr. Larson to file in Sweden because of Julia’s presence there; it was the only nation with jurisdiction. Mr. Larson was careful to limit his Swedish petitio n to the issue of Ms. Ohlander's taking of Julia in February 1994. The p etition specifically informed the Swedish court of the Hague Convention proceedin gs pending in the United-9-

States District Court for the District of Utah, and that Mr. Larson was not intending to confer jurisdiction on the Swedish cou rts over the Hague Convention matters that were properly before the United States District Court. Mr. Larson also requested that the Swedish courts await the di strict court’s ruling on those

matters. After the United States District Court entered its findings and conclusions, the United States Central Authority notified Swedenof the United States ruling and asked that the Swedish court limit its decision to the issue presented in Mr. Larson's petition. In a memo to Sweden's Central A uthority, a representative of the Office of Children's Issues stated: The only unresolved Hague Convention issue for the Swedish courts to rule upon is the final resolution of Ms. Ohlande r’s most recent removal of the child from Utah on February 1, 1994. There is no doubt that Sweden is the “requested State” for the adjudication of that issue, and that the Swedish courts have exclus ive jurisdiction to make a final resolution of that matter in accordanc e with the provisions of the Hague Convention. Regarding thatremoval, the U.S. Court, as a judicial authority of the “request ing State,” has made findings in accordance with Article 15 of the Conve ntion, namely that the removal was in breach of Mr. Larson’s actu ally-exercised rights of custody under Utah law, and that Mr. Lars on neither consented to nor acquiesced in the removal. These findings, coupled with the judicially established fact that the child was habitually resident in Utah in November 1993, where she contin ued to live until the date of said removal, clearly establish that th is was a new wrongful removal within the meaning of Article 3 of the Convention. Memorandum from Mr. James L. Schuler, Office of Chi ldren’s Issues, United States Central Authority, to Central Authority of S weden 2 (August 14, 1995).3 Before the Sweden Supreme Administrative Court created the international conflict in

decisions, the United States Central Authority entreated the Swedish courts: It is only through [ ] cooperation that the Hague Convention can successfully resolve these international conflicts over children, as it was designed to do. The -10- The Hague Convention procedures thus not only requi red Mr. Larson to file in Sweden, where the child was located, but also al lowed him to limit his petition to the one issue not before the United States Distr ict Court. By following Hague Convention procedures and limiting his Swedish peti tion, he did not voluntarily create the potential for conflicting international decisions.

3. Conflicting Decisions The majority's desire to avoid conflicting decision s of sovereign states is a worthy goal. Nevertheless, no law, national or int ernational, can be expected to resolve such conflicts in all cases, particularly c ases involving a mother and father warring over their offspring. To base the o utcome of this case on a potentiallyconflicting decision of Sweden is to unjustifiablyabandon the rights of a United States citizen in the name of internati onal comity. It is indeed ironic to do so when the substantive decision of the distr ict court was not in conflict with any extant Swedish decision at the time of its promulgation. To the contrary, the Swedish decision favorable to Ms. Ohlander created the conflict in the decisions of two sovereign nations. The Swedish de cision was issued after and in conflict with the district court decision. 3 See United States ex rel. Saroop v.present case offers a perfect illustration: A Hague Convention judgment from

Sweden which respects the prior Hague Convention judgment from the U.S. will put an end to the international jurisdictional competition between these States and will allow for a final and long-overdue custody adjudication, thus providing for the best interests of the child and finally allowing her to develop stable, secure family relationships. On the other hand, a Hague Convention judgment from Sweden which disregards the prior Hague Convention judgment from the United States would only perpetuate and escalate the already intolerable conflict, as the parties would then possess contradictory Hague Convention judgments in their favor from their respective States, which would be the most unstable and insecure situation imaginable. Such a situation would guarantee that whichever parent has possession of the child would not dare allow the other parent access to the child, and the parent without possession of the child would have no option but to resort to force in order to have any contact with the child. Memo from Mr. James L. Schuler, Office of Children’s Issues, to Central Authority of Sweden 2-3 (August 14, 1995). -11- Garcia , No. 96-7196, 1997 WL 127158, at *4 (3d Cir. Mar. 21, 1997) ("As a condition to honoring a foreign country's judicial decrees, the Court also requires reciprocity on the part of the foreign nation."); Remington Rand CorporationDelaware v. Business Systems Inc. , 830 F.2d 1260, 1273 (3d Cir. 1987) (noting comity must be "two-way street" and reciprocity is consideration of “extreme importance”). Because no Hague Convention decisions had been rend ered by any Swedish courts at the time the district court ruled on the motion to dismiss, it is furthermore inappropriate for this court to base it s ruling on the conflict in decisions. See Maj. Op. at 25 (“By failing to dismiss the United States action we4 Rule 41(a)(2) provides: “If a counterclaim has beenpleaded by a defendant

prior to the service upon the defendant of the plai ntiff’s motion to dismiss, the action shall not be dismissed against the defendant ’s objection unless the -12- would allow to stand two conflicting decisions regarding Julia's state of habitual residence . . . ."). Instead, our review should be limited to those factors before the district court at the time it ruled. New fact ual matters should only be considered by the district court in the exercise of its discretion on remand. 4. Consideration of Ms. Ohlander's Contempt The district court’s consideration of Ms. Ohlander’ s contempt of court was entirely appropriate. Although the district court considered this to the exclusion of other relevant criteria, its actions in doing so are understandable, if not correct. Ms. Ohlander availed herself of the services of the district court to obtain temporary custody of the child. She then fled this country in direct violation of the very order by which she obtained physical contr ol of the child. Her conduct can neither be ignored nor rewarded. Although this should not control the district court’s decision to the exclusion of other governin g factors, it may fairly be given significant weight in the court’s overall analysis. C. Treatment of Larson’s Defenses as Counterclaims The majority rejects Mr. Larson’s request that his response to Ms. Ohlander’s petition be treated as a counterclaim or , for Hague Convention purposes, a petition. 4 Maj. Op. at 18-19. Rule 8(c) of the Federal Rule s of Civilcounterclaim can remain pending for independent adj udication by the court.”

Fed. R. Civ. P. 41(a)(2).

5 For example, Ms. Ohlander’s petition before th e district court requested the following relief: Petitioner requests that the child be immediately r eturned to her custody, and that she be permitted to return to Swe den, which is the country of habitual residence of both Petitioner an d the child, and that temporarily, pending further hearing on this P etition, she be permitted to retain custody of the child within the jurisdiction of this Court pending this Court’s final determination. Petition for Return of Child to Petitioner at 4. M r. Larson alleged substantially the same matters in his defenses. Justice would no t be served by requiring Mr. Larson to file a separate pleading, formally design ated as a counterclaim, alleging the very matters already contained in his defenses. To do so honors form over substance in an emotionally charged setting where aparent seeks to reestablish contact with his child. -13- Procedure allows a court to treat a defense as a co unterclaim, “if justice so requires.” In Mr. Larson’s response to Ms Ohlander ’s petition, he alleges that the United States was, and at all times had been, the c ountry of Julia’s habitual residence as defined under the Hague Convention, an d prays for his daughter’s return to his physical care and control. The essen ce of Mr. Larson’s response is generally equivalent to the relief he would requestwere he to file his own formal Hague Convention petition. 5 Treating Mr. Larson’s response as a counterclaim would place the respondent’s removal of the child and any proper settled environment defense before the district court, thus eradicating the majority’s concern that such issues could not be decided witho ut Mr. Larson’s own petition6 It is incongruous for this court to say that Rule 4 1 motions are addressed to

the sound discretion of the trial court and yet, rather than remand, rule de novo that trial court discretion as a matter of law coul d only result in dismissal. Beyond this incongruity, ruling de novo that Ms. Ohlander’s Rule 41 motion should be granted as a matter of law assumes that t he district court’s discretionary ruling upon remand would be denial of the motion, r ather than granting the motion or even staying the action, an alternative e xpressly contemplated by the Hague Convention. Hague Convention, art. 12, 51 Fe d. Reg. at 10499. -14- in the district court. See Hague Convention, arts. 3 & 12, 51 Fed. Reg. at 10 ,498- 10,499; 42 U.S.C. § 11603(b), (e). In light of Rul e 41(a)(2) factors and the Hague Convention’s objective of protecting childrenfrom the law of “grab and run,” (Maj. Op. at 5-6), the interests of justice a re indeed served by construing Mr. Larson’s response as a counterclaim. D. Conclusion The majority has reversed the district court for re fusing to dismiss Ms. Ohlander’s petition on the basis of her contempt of court and instead has ruled de

novo that Ms. Ohlander’s motion should have been grante d. In doing so, the majority has considered facts not before the distri ct court at the time it ruled. It has further allowed those very facts ( i.e., conflicting international decisions) to control the outcome of this appeal, to the exclusio n of other governing criteria. This case should be remanded to the district court for full consideration of Rule 41(a)(2) criteria. 6 The trial court failed to consider critical facto rs governing Ms. Ohlander’s motion. Consequently, the record of such factors is-15-

incomplete. An appellate court may decide a matterrather than remand if the underlying facts are undisputed and judicial economy and efficiency would be furthered thereby. Park County Resource Council, Inc. v. United States Dept. of Agric. , 817 F.2d 609, 617-18 (10th Cir. 1987), overruled on other grounds by Village of Los Ranchos de Albuquerque v. Marsh , 956 F.2d 970, 973 (10th Cir. 1992). Such is not the case here. A remand is req uired when the record needs further development. See Mobley v. McCormick, 40 F.3d 337, 341 (10th Cir. 1994) (remanding when record inadequate to evaluate trial court’s consideration of required criteria). In this case, the record is simply insufficient to enable this court to apply adequately the legal criteria governing Rule 41(a)( 2) motions to dismiss. In addition, the majority has set forth a set of novel factors it believes must be evaluated in this case. The trial court had absolu tely no notice that consideration of such factors would be required in this case. If the majority is going to require a trial court to consider novel factors, that courtshould be given an opportunity to exercise its discretion, address those factors on r emand and develop a meaningful record. At that time, the district court could car efully consider the mandate of the Convention’s Article 12 which provides that a forummay stayor dismiss a Hague Convention proceeding when the subject child has be en taken to another State. Hague Convention, art. 12, 51 Fed. Reg. at 10499.-16-

In the context of this case, an appellate ruling as a matter of law is inappropriate. I would reverse and remand for further proceedings on Ms. Ohlander’s Rule 41 motion to dismiss.