Anne H. v. Michael B. CA1/1Anne H. v. Michael B. CA1/1
Opinion
—In August 2014, the family court entered a permanent custody order granting joint custody of L., the daughter of appellant Anne H. (Mother) and respondent Michael B. (Father). Under the order, Father, a Bay Area resident, was awarded physical custody of L. during the school year, while Mother was awarded physical custody at her home in Virginia during the summers. In making the order, the family court stated that one of the primary considerations in granting Father custody during the school year was the presence of Mother’s family members in the Bay Area, which provided Mother a place to stay while visiting L. and allowed Mother’s family to share in L.’s care. The court’s order noted the relocation of Mother’s family members from the Bay Area, among several other factors, would be changed circumstances “requiring a new analysis of the ongoing custodial timeshare between the parties.”
Less than a year later, Mother filed a request to modify the custody order, claiming her parents had relocated to Virginia and arguing, pursuant to the custody order, the relocation should be regarded as changed circumstances requiring a reexamination of L.’s best interests and a grant to Mother of school-year custody. The request was heard by a different judge than the judge who had entered the custody order. Without explanation, that judge
Upon Mother’s appeal of these rulings, we conclude the statement in the custody order specifying changed circumstances requiring a reconsideration of custody arrangements was not binding on subsequent judges. Finding no abuse of discretion in the second judge’s conclusion that Mother had failed to demonstrate changed circumstances, we affirm the denial of her request for modification. We also find no abuse of discretion in the court’s award of financial sanctions.
I. BACKGROUND
At the time of L.’s birth in 2009, Mother and Father were unmarried members of the armed services. Within a year after the birth, Father left the service, moved into Mother’s home in the Bay Area, where she was attending law school as a member of the military, and began attending graduate school himself. Father eventually finished school and found a job in the Bay Area. During this time, each parent spent occasional, relatively brief periods away from the home, leaving L. in the sole care of the other parent, assisted by members of Mother’s family, particularly her parents and sister. In August 2012, after completing law school, Mother was posted to Georgia. Mother and Father agreed that L. would remain with Father on a temporary basis, while they worked toward a more permanent custody arrangement.
Father filed a petition in Santa Clara County Superior Court to gain full custody of L. in February 2013. Mother thereafter filed this paternity action in San Mateo County, and the parties stipulated to dismiss Father’s action. Eventually, following a three-day trial, Judge Richard DuBois issued a 20-page statement of decision (custody order) in August 2014, awarding the parents joint custody over L. and requiring her to spend the academic year with Father and the summer months with Mother. In reaching his decision, Judge DuBois found it significant that Mother’s parents and sister lived in the Bay Area, which provided Mother a place to stay during visits with L., allowed her more “ ‘real time’ ” with L. during visits, and permitted her family members to participate in L.’s life while L. was living with Father. Unlike Mother who had family the Bay Area, Father had no friends or relatives in the places to which Mother was likely to be posted, making his visits comparatively more difficult and reducing the free time he could spend with L. during visits. The court noted that residence in the Bay Area also “would provide continued stability for” L., since it had always been her home and Father had
Less than a year later, in May 2015, Mother filed a request for modification of the custody order (request) to grant her physical custody of L. during the school year. In a declaration filed with the request, Mother stated that since entry of the custody order she had been given a posting in Washington, D.C., that would last for “at least the next 5-6 years.” Prior to taking that assignment, Mother would be required to attend a 10-month training course in Charlottesville, Virginia. 1 In addition, Mother stated her parents (grandparents), who had been closely involved in L.’s care prior to the custody dispute, had moved from the Bay Area to northern Virginia. According to Mother’s declaration, the grandparents had purchased a home in Virginia located “less than 15 minutes” from her own Virginia home. Attached to the declaration was a grant deed of a parcel of Virginia real estate to the grandparents and Mother’s brother. Mother characterized the grandparents’ relocation as “a prima facie change in circumstances” under the custody order and sought a reevaluation of L.’s best interests.
Mother also contended Father had failed to cooperate with the grandparents in allowing them access to L. in the Bay Area, but she provided no evidentiary support for the claim, other than her conclusory statement, “Despite repeated requests to resume [the grandparents’] independent visits with [L.] when she is in California, [Father] has consistently declined with excuses, or required them to spend time with her in his presence,” but she provided no support for the claim. The only documentary evidence submitted in support of this claim did not, in fact, support it, and the portion of her declaration detailing Father’s lack of cooperation focused entirely on his relations with Mother and contained no information suggesting Father had prevented the grandparents from spending time with L. 2
Father’s opposition also requested attorney fees in the amount of $15,867.50 as a sanction under Family Code section 271. His declaration reiterated the procedural history of the proceedings, noting Mother had filed five ex parte applications regarding custody and visitation during the period 2013 to 2014, in addition to the request, while he had filed no pleadings seeking relief other than the initial petition. In ruling on the last of Mother’s ex parte applications in December 2014, Judge Susan L. Greenberg had commented with respect to the parties’ squabbling: “It’s a nightmare. I’m hoping that the parenting coordinator can resolve that for you because
Father’s opposition renewed the earlier sanctions motion. As he argued, Mother was an attorney, and therefore able to assist in the preparation of litigation documents, while he was required to rely on counsel with respect to the proceedings. He concluded, “[Mother’s] refusal to accept the Court’s custody orders and incessant efforts to change the Order have exhausted me not only financially, but physically and emotionally as well.” Father argued Mother had the ability to pay the requested sanctions because she is employed as a judge advocate and had the resources to fund the three-day custody trial and four motions to modify the custody order in the preceding year. The requested award of $15,867.50 was based primarily on the attorney fees Father incurred in responding to the request.
In a reply declaration, Mother stated that although her sister remained in the Bay Area, the sister lived in a small apartment with her husband, making it difficult for her to support Mother’s visits with L. Mother claimed to have no other relatives or friends in the Bay Area on whom she could rely for “logistical support” in visitation. Mother said she owned her own home in Virginia “approximately 20-30 minutes” from her parents’ home and explained her parents leased their house in the Bay Area to college students during the academic year. Addressing Father’s request for sanctions, Mother denied that she had superior financial means. According to Mother, Father’s parents had financed his side of the custody litigation, while Mother had to finance her representation from her own pocket. Mother contended she had attempted to be conciliatory, but Father’s “hostile and unreasonable behavior” had forced her to seek judicial relief.
At the hearing on the request, conducted by Judge Greenberg, Mother’s attorney stated he had brought with him additional evidence to support the claim that the grandparents had moved, including “their utility bills and the lease of their [Bay Area] home.” Those documents were never offered into evidence, however, and they are not in the appellate record. Counsel for Father argued no move had, in fact, occurred, pointing out that the grandparents had not submitted their own declarations with respect to the claim.
II. DISCUSSION
Mother has appealed Judge Greenberg’s denial of the request and grant of sanctions, contending primarily that the denial was inconsistent with the custody order, which noted that a relocation of Mother’s family members would constitute changed circumstances requiring a reconsideration of the custody arrangements. 4
A. Mother’s Demonstration of Changed Circumstances
Although Family Code section 3087 states that an order of joint custody may be modified merely upon a showing that the best interest of the child requires the modification, the Supreme Court has imposed an additional requirement when, as here, a permanent custody order has been entered. ‘“Once the trial court has entered a final or permanent custody order reflecting that a particular custodial arrangement is in the best interest of the child, ‘the paramount need for continuity and stability in custody arrangements—and the harm that may result from disruption of established patterns of care and emotional bonds with the primary caretaker—weigh heavily in favor of maintaining’ that custody arrangement. [Citation.] In recognition of this policy concern, we have articulated a variation on the best interest standard, known as the changed circumstance rule, that the trial court must apply when a parent seeks modification of a final judicial custody determination. [Citation.] Under the changed circumstance rule, custody modification is appropriate only if the parent seeking modification demonstrates ‘a significant change of circumstances’ indicating that a different custody arrangement would be in the child’s best interest. [Citation.] Not only does this serve to protect the weighty interest in stable custody arrangements, but it also fosters judicial economy.”
(In re Marriage of Brown & Yana
(2006)
1. Significance of Judge DuBois’s Statement Regarding Changed Circumstances
Mother argues Judge Greenberg’s finding of no changed circumstances must be reversed because it is inconsistent with Judge DuBois’s conclusion in the custody order that changed circumstances would result if Mother’s family members moved from the Bay Area. The first issue to be resolved is therefore the degree to which Judge DuBois’s comment regarding potential changed circumstances controlled Judge Greenberg’s consideration of the request. For the reasons discussed below, we conclude the comment was not binding in any manner on Judge Greenberg in her determination of changed circumstances.
Mother first argues the comment became preclusive under the doctrines of res judicata and collateral estoppel when Father did not appeal the custody order. The issue of res judicata is conclusively resolved by
In re Marriage of Rabkin
(1986)
Rabkin is directly on point. The only issue before Judge DuBois in the original hearing was current custody arrangements for L. Necessarily, the issue of the circumstances justifying a change in those arrangements was not before Judge DuBois when he entered the custody order. On the contrary, modification of the custody order due to changed circumstances would not be before a court unless and until Mother or Father filed an appropriate motion to modify. Further, the issue of changed circumstances could not even arise until there had been sufficient time after entry of the custody order for circumstances to change. Accordingly, Judge DuBois’s comments about a change in circumstances were unnecessary to his decision and, pursuant to Rabkin, had no preclusive effect under the doctrine of res judicata. 5
The doctrine of collateral estoppel is inapplicable for essentially the same reason. Collateral estoppel, also known as issue preclusion, “prevents relitigation of previously decided issues. . . . [Ijssue preclusion applies (1) after final adjudication (2) of an identical issue (3) actually litigated and necessarily decided in the first suit and (4) asserted against one who was a party in the first suit or one in privity with that party.”
(DKN Holdings LLC
v.
Faerber
(2015)
Mother argues that even if the comments had no preclusive effect, Judge Greenberg was not permitted to enter a ruling inconsistent with Judge DuBois’s order because “one trial court judge may not reconsider and overrule a ruling of another judge.”
(Curtin
v.
Koskey
(1991)
While we acknowledge the general principle, we conclude that Judge DuBois’s comments on the issue of changed circumstances do not constitute the type of “ruling” that cannot be altered by a subsequent trial judge.
6
In deciding the binding scope of Judge DuBois’s ruling, a useful analogy can be made to the law of the case doctrine. Under that doctrine, “ ‘ “where, upon an appeal, the [reviewing] court, in deciding the appeal, states in its opinion a principle or rule of law necessary to the decision, that principle or rule becomes the law of the case and must be adhered to throughout its subsequent progress, both in the lower court and upon subsequent appeal and . . . in any subsequent suit for the same cause of action, and this [is true] although in its subsequent consideration this court may be clearly of the opinion that the former decision is erroneous in that particular.” ’ ”
(People
v.
Murtishaw
(2011)
The law of the case doctrine is not directly applicable to Judge DuBois’s ruling, since the doctrine applies only to matters decided by an appellate court.
(People v. Parker
(2014)
There are strong policy reasons to limit the binding effect of Judge DuBois’s ruling in this manner. In general terms, any other rule would bestow inappropriate authority on the first trial judge on the scene. While it is entirely appropriate to preclude later trial judges from reconsidering an earlier judge’s ruling on issues properly presented for decision, there is no reason to require subsequent judges to adhere to an earlier judge’s expression of views on issues that were not actually before him or her. Such a rule would grant arbitrary and unnecessary authority to judicial musings, as opposed to judicial decisions. As applicable specifically to custody rulings, there are two additional factors. First, the issue of changed circumstances necessarily must be considered in light of all circumstances prevailing at the time of a request to modify the order. To isolate particular circumstances and declare them determinative, as Judge DuBois did, fails to do justice to the doctrine. Further, there is no way for a family court judge to know in advance whether any particular circumstance deemed important at the time a custody order is entered will remain critical, in light of other changing circumstances over time. Under Mother’s argument, Judge DuBois’s comments would have remained binding for years, notwithstanding the growth of L. and the changing nature of living arrangements and relationships among her family members. Second, there was no effective appellate review available for Judge DuBois’s comments regarding changed circumstances. Because those views had no immediate legal or practical effect, it would be unfair, as well as inefficient, to require a party to seek appellate review merely to prevent their application in later proceedings. In addition, because the comments had nothing to do with the issues involved in the custody decision, it is not clear that judicial review would have been available even if an appeal had been taken. Just as the comments constituted an advisory ruling when they were
2. Judge Greenberg’s Finding of No Changed Circumstances
We review a ruling on a request for modification of a custody order for abuse of discretion.
(FT.
v.
L.J.
(2011)
Judge Greenberg did not abuse her discretion in concluding Mother had failed to demonstrate “ ‘a significant change of circumstances’ indicating that a different custody arrangement would be in [L.’s] best interest.”
(Brown, supra,
Mother argues Judge Greenberg abused her discretion because the grandparents were deeply involved in L.’s life and “[L.j’s proximity to her maternal grandparents was a pivotal factor in the custody decision.” An examination of the custody order, however, demonstrates it was the presence of both the grandparents and Mother’s sister in the Bay Area that was important in the resolution of custody, and their presence was important not only because of the role played by those family members in L.’s life but also because Mother could stay with them when visiting with L. in California. Following the grandparents’ relocation, as discussed above, Mother continued to have some family in the Bay Area. In any event, Judge Greenberg did not abuse her discretion in concluding that the grandparents’ role in L.’s life was not so important that their voluntary decision to move away from the Bay Area required an adjustment in custody arrangements.
B. Sanctions *
The family court’s orders are affirmed. Father may recover his costs on appeal. (Cal. Rules of Court, rule 8.278(a)(1), (2).)
A petition for a rehearing was denied July 12, 2016, and the opinion was modified to read as printed above. Appellant’s petition for review by the Supreme Court was denied September 21, 2016, S236121.
Notes
This aspect of Mother’s application did not constitute wholly changed circumstances. Judge DuBois’s order anticipated that Mother would spend nearly a year in Charlottesville before assuming a more permanent post. While settling in Washington, D.C., was a possibility at that time, there were other options, including a foreign post.
In support of her claim of lack of cooperation with the grandparents. Mother submitted a printout of a chain of e-mails dating from the end of September 2014. The chain began with
According to Father, Mother enrolled L. in a Virginia kindergarten program without consulting him, in violation of the custody order. In the enrollment application, she listed the home deeded to the grandparents as her own home.
Mother had earlier filed a petition for writ of mandate challenging the family court’s order, docketed as case No. A146235. This court summarily denied the petition in an order dated October 22, 2015. The parties have relied on exhibits submitted with Mother’s writ petition as the primary record in this appeal.
Mother merely distinguishes Rabkin by arguing that the circumstances relating to modification of the custody order were different, without acknowledging or addressing the decision’s ruling with respect to res judicata.
The general principle is subject to various subtleties and qualifications. (See, e.g..
In re Marriage of Oliverez
(2015)
Father contends we should also apply the doctrine of implied findings because Mother failed to request a statement of decision. (See
Shaw
v.
County of Santa Cruz
(2008)
While Mother’s attorney claimed at the healing to have a lease of the Bay Area home and Virginia utility bills, these were never provided to the court or offered in evidence, and they are not contained in the appellate record. We therefore cannot consider them.
See footnote, ante, page 488.