In these consolidated appeals, G.D. (Mother) and J.D. (Father) (collectively,
We grant Mother's C.C.P. section 909 motion, deny the Bureau's motion to strike, and reverse, holding as follows. First, this is one of those "rare and compelling case[s]" ( In re Zeth S. (2003)
II. BACKGROUND
Barely a month after juvenile court Judge Rebecca Hardie permanently severed the relationship between Minor and Parents in reliance on the Bureau's recommended finding that Minor was likely to be adopted by foster parents J.M. and C.P. (collectively, Foster Parents)-in whose care the Bureau had consistently reported he was happy and thriving-Minor was removed from Foster Parents' home. During a neglect investigation concerning another foster child in the home, the Bureau discovered that Minor had recently suffered physical abuse. An investigator saw a bruise on Minor's lip, and upon inquiry, learned that it had been caused when J.M. threw an eraser at him, striking him hard enough to draw blood. J.M.'s explanation of the incident was implausible, and Minor's absence from school that day suggested that Foster Parents kept him home to hide the injury.
But that was only a hint of things to come. In the course of a series of hearings on Foster Parents' objection to Minor's detention, Judge Hardie learned that, in June 2017, more than a year earlier, the Bureau had conducted a prior investigation of possible sexual abuse of Minor in Foster Parents' home (June 2017 Investigation),
According to the social worker, she never received a copy of the investigator's report and was told only that the investigation ended inconclusively.
But never mentioned in the case notes or in the .26 Report was evidence of the following, based on detailed interview summaries in the Penal Code section 11166 investigation report that the Bureau prepared in 2017 (2017 Investigation Report)
At the hearing on October 19, 2018, Judge Hardie reviewed a summary memo from the Bureau describing the June 2017 Investigation, along with copies of detailed investigative narratives and juvenile delinquency records
Extensive testimony taken at hearings on October 31 and December 5, 2018 confirmed that, as of September 2018, Foster Parents were not only violating their safety plan-and thus putting Minor at risk of sexual abuse-but also that physical abuse of him by others in the home had been ongoing for some time. Judge Hardie summed up her evaluation of the situation as follows: "I proceeded in [Minor's] case with termination of parental rights because he was in a home with committed caregivers who wanted to adopt him.... [¶] ... [¶] [But] in looking at the whole picture [now], ... it is very concerning to me ... [¶] It's clear to me that both [C.P.] and [J.M.] were well aware of the sexually acting out behaviors of the three, now young men, boys at the time, and yet permitted them to be in the household. It's also concerning to me that ... [the nephew, R.S.,] was allowed to share the room with [Minor], because [R.S.] says he was sexually abused as a child.... [¶] If you look at [Minor's] reports, he also goes on to say that he was hit by several people in the household and he was afraid of them."
The Bureau apologized and accepted responsibility for the incomplete .26 Report, explaining to Judge Hardie that its "normal practice" for inquiring into allegations of abuse in an out-of-home foster placement was to keep the confidential investigative material siloed within the investigatory unit so as not to "cross-contaminate" the foster placement-a policy it acknowledged was flawed, as evidenced here, because the investigation report itself "was never given to the case carrying social worker or supervisor." The Bureau offered reassurances that this policy was being changed, that there would be specific instructions that social workers must include in .26 reports going forward any reports of prior abuse investigations concerning prospective adoptive parents, and that the situation here would never occur again.
Ultimately, Judge Hardie accepted the Bureau's explanation of what happened, but she did not mince words about the situation in which it placed the court. The June 2017 Investigation "should have been reported to the Court and it should have been reported to minor's counsel," she said. "[P]eople
At the conclusion of the December 5 hearing, Judge Hardie refused to return Minor to Foster Parents' custody, and was even more definitive than she had been earlier, finding as follows: "I do find well beyond preponderance of the evidence, I find by clear and convincing evidence that removal is in [Minor's] best interest[,] and therefore, I uphold the decision of the [Bureau] and deny the request for return of the child." She closed the hearing with another pointed admonition directed to the Bureau: "[H]ow on Earth does [the Bureau] approve for placement a home in which a person's own parental rights have been terminated, he's been sentenced to state prison for [a] violent offense and has three children who are now adults who have sustained allegations of sexual abuse against other children? And the [Bureau] knows all this, I'm told. And they know that these adults come in and out of the home.... [For the Bureau to] utilize that household to place children who are in foster care ... [is] outrageous to me." Judge Hardie then turned to Minor's trial counsel and asked, "Did you know any of this?" The response was unequivocal: "No, Your Honor. Not at all."
III. DISCUSSION
If we were to resolve these appeals on the record presented to the juvenile court at the .26 hearing, focusing solely on whether substantial evidence supports the juvenile court's finding that the beneficial relationship exception under section 366.26, subdivision (c)(1)(B)(i) does not apply-the only issue raised in the main briefs-we would have no trouble affirming. But proper application of the beneficial parental relationship exception involves a fact-bound weighing process ( In re Autumn H. (1994)
First, Mother's C.C.P. section 909 motion charges the Bureau with failing to disclose evidence material to the issue of adoptability in the .26 Report, which led the juvenile court to find that Minor was adoptable by Foster Parents-a finding that the transcripts of post-termination proceedings make abundantly clear would never have been made had the court known all the pertinent facts. In light of this allegation, we directed the parties to address whether the criteria for issuance of a writ of error coram vobis , a rarely invoked appellate remedy reserved for cases involving corruption of the trial court record by "extrinsic fraud" (see In re Rachel M. (2003)
Second, after we directed the parties to submit supplemental briefing on the coram vobis issue, the Bureau-which had initially staked out a position urging us to affirm without taking into account any postjudgment evidence probative of its withholding of information at the .26 hearing-stipulated to reversal. In a joint application for reversal and remand by stipulation, the Bureau, Mother, Father, and Minor (for whom we appointed counsel on appeal), together, now propose that we return the case to the juvenile court for a new .26 hearing. The joint application is vague as to the legal basis for reversing, other than the parties' agreement to our doing so. We are, of course, empowered to accept a stipulation under
Third, prior to the .26 hearing, under section 366.22, subdivision (c)(1)(D), the Bureau was required to file a report with the juvenile court analyzing the likelihood that Minor would be adopted, including in that report a "preliminary assessment of the eligibility and commitment of any identified prospective adoptive parent or guardian, particularly the caretaker[.]" And in its preliminary assessment of identified prospective adoptive parents, the Bureau was specifically obligated under section 366.22, subdivision (c)(1)(D) to supply "a social history including screening for criminal records and prior referrals for child abuse or neglect[.]" This statutory reporting obligation raises the third and final issue we asked the parties to address: Did the Bureau breach its obligation to provide a preliminary assessment of adoptability here, and if so, was the breach so egregious as to rise to the level of a due process violation, justifying reversal on that basis?
We address these three issues in turn.
A. We Grant Mother's Motion to Receive Additional Evidence on Appeal, Deny the Bureau's Motion to Strike, and Find it Unnecessary to Reach the Coram Vobis Issue in Light of the Stipulation to Reversal
"It has long been the general rule and understanding that 'an appeal reviews the correctness of a judgment as of the time of its rendition, upon a record of matters which were before the trial
Zeth S. involved a situation much like this case. There, after a termination of parental rights, and during the pendency of an appeal of the termination on grounds the juvenile court erred in failing to apply the parental benefit exception, appointed appellate counsel for the minor (Zeth) wrote a letter seeking to bring to the attention of the Court of Appeal information that allegedly showed termination of parental rights was not in
Beyond the facts presented there, Zeth S. had "no occasion to further address the question whether any particular circumstances may give rise to an exception to the general rule that postjudgment evidence is inadmissible in a juvenile dependency appeal from an order terminating parental rights," but it did acknowledge a case where "one such exception" had been recognized. ( Zeth S. , supra ,
In its motion to strike Mother's C.C.P. section 909 motion, the Bureau contends that Elise K. has been superseded by legislation in the years since Zeth S. was decided. In cases like Elise K. , the Bureau suggests, where postjudgment developments have fundamentally changed a child's prospects for adoption, the Legislature has now provided a remedy. The Bureau points to
We do not agree that that is an adequate remedy for Minor. Perhaps it could be for a child who was determined to be generally adoptable, but it is
Because the issue focuses on the child, adoptability generally falls into two categories: General adoptability, and specific adoptability. ( Carl R., supra ,
General adoptability was not addressed in this case, at least not explicitly. Minor is a high-needs child who, despite his tender years, has a history of mental instability that must be managed with a regimen of psychotropic medication and intensive therapy, and he has struggled to progress in school. Not surprisingly, the sole focus of the Bureau's adoptability assessment at the .26 hearing was on Minor's prospects for adoption with Foster Parents, who, for all the problems that later surfaced concerning their suitability to be adoptive parents, demonstrated over the course of Minor's more than two years in their care, that they understood his challenging circumstances,
Taking a "let's wait-and-see" attitude towards Minor's adoptability for three years may, in fact, serve to compound the error. We are told Minor has shown resilience and adjusted well in the emergency foster placement where he was sent after his removal from Foster Parents' home, but his caregivers there have made clear they have no interest in adoption. As a result, there is some possibility here that the Bureau mistakenly put Minor "in the position of having neither a parent nor a prospect of gaining one through adoption" ( Elise K. , supra ,
Accordingly, we will grant Mother's motion to receive additional evidence on appeal under the Elise K. exception to the rule handed down in Zeth S. In light of the parties' stipulation that "subsequent events" after the .26 hearing in this case have "undermined the juvenile court's finding that [Minor] was likely to be adopted," and their stipulation to reversal on that ground, we conclude that this is one of those "rare and compelling case[s]" ( Zeth S. , supra ,
"[M]otions to reverse or vacate duly entered judgments are governed by [Code of Civil Procedure] section 128, subdivision (a)(8). Subdivision (a) enumerates the powers of the courts of this state. Prior to 1999, the last enumerated power, set forth in subdivision (a)(8), simply provided that every court shall have the power '(8) to amend and control its process and orders so as to make them conform to law and justice.' Legislation in 1999 added to that
"The 1999 amendment was designed to supersede the opinion of the California Supreme Court in Neary v. Regents of the University of California (1992)
"Prudent rulings on motions for stipulated reversal have always required information that is usually not in the record or readily apparent. (See 9 Witkin, Cal Procedure [ (4th ed. 1997) ] Appeal, § 783, pp. 817-818.) The parties ordinarily possess or can obtain such information, but if the information would justify denial of their request for reversal they may not be motivated to seek it or, if they have the information, to disclose it. In 1994, shortly after Neary was decided, this appellate district addressed the problem
We are not persuaded that the joint application submitted by the parties offers reasons for stipulated reversal that overcome the presumption against accepting stipulated reversals on appeal. We applaud the professionalism shown by counsel for the parties in settling once it became clear there was a serious problem with the record here, followed by their diligent efforts to make the necessary showing under Code of Civil Procedure section 128, subdivision (a)(8), addressing each required item under local
We are concerned about the broader public interest, beyond the interests of the parties involved in this specific case. Based on a joint declaration signed by all counsel, including Minor's trial counsel, the parties inform us that an "error occurred in this case because 1) the agency did not directly apprise the parties and the juvenile court of problems in [Minor's] prospective adoptive home, although the social worker entered information about [the June 2017 Investigation] ... into her case notes; 2) those problems were unknown to the juvenile court and no party challenged [Minor's] adoptability; 3) the problems in the adoptive home led to [Minor's] removal from that home and placement in a temporary foster home; and 4) these circumstances undermine the juvenile court's finding that [Minor] is likely to be adopted within a reasonable time, which forms the basis for the order terminating parental rights."
Left vague in this recitation is any reference to the legal basis for reversing, other than the parties desire that we do so. Our concern is exactly what Judge Hardie highlighted at the end of the October 31, 2018 hearing: Public trust in the judiciary is uniquely at stake when the basis for termination of parental rights is called into question. While she ultimately accepted the Bureau's explanation for what happened in this case, she left little doubt that the withholding of information material to her assessment of Foster Parents' fitness as prospective adoptive parents-whatever the reasons for
C. The Bureau Breached Its Statutory Obligation to Provide A Full, Fair and Even-Handed Preliminary Assessment of Adoptability, and that Breach Violated Minor's Due Process Rights
1. Violation of Statutory Reporting Obligation Under Section 366.22, Subdivision (c)
"In addition to providing child welfare services to the family involved in a dependency proceeding, the ... social services agency provides essential information to the court. At each stage of the dependency proceeding, the social services agency is statutorily mandated to prepare social study reports and make recommendations to assist the court." ( In re Ashley M. (2003)
In carrying out these functions the social worker has been likened to a prosecutor and thus is serving as an arm of the state in this regard, working in collaboration
Here, the task fell to the social worker to prepare and file a full, fair and even-handed pre-adoption study prior to the .26 hearing revealing all information specified in section 366.22, subdivision (c)(1)(D). The Bureau makes no serious attempt to contend that what she filed complied with that obligation. While allowing it might be argued, at worst, that the .26 Report was "weak and did not fully meet all statutory reporting requirements," the Bureau contends the omissions in the .26 Report were not material to the outcome. At the October 31, 2018 hearing, the Bureau argues, all Judge Hardie said was that in light of the newly revealed information bearing on adoptability she "would have had a more difficult time making certain findings about adoptability," not that she would have reached a different result. We cannot agree that this shows the outcome would have been the same had the 2017 Investigation been revealed in the .26 Report. It is abundantly clear based on Judge Hardie's more definitive comments on December 5-after an evidentiary hearing spanning three hearing days-that she never would have found
Emphasizing the issue of general adoptability could have been litigated, but was never pressed, the Bureau points out that prior to the .26 hearing the social worker produced her case notes in discovery, and
In general, "[w]here an investigative report is required prior to the making of a dependency decision, and it is completely omitted, due process may be implicated because a cornerstone of the evidentiary structure upon which both the court and parents are entitled to rely has been omitted." ( In re Crystal J. (1993)
2. Due Process Violation
Was the Bureau's violation of section 366.22, subdivision (c)(1)(D) so egregious as to rise to the level of a denial of due process? Parents, joined by Minor, say that it was. We answer the question no as to Parents, but yes as to Minor.
Starting with Parents first, their parental unfitness had already been adjudicated by the time the case reached the permanency plan selection stage. Thus, going into the .26 hearing, their fundamental liberty interest in the care, custody and control of Minor was attenuated. Their only chance at preserving a legal bond to Minor at that point turned on the beneficial parental relationship exception, an issue on which they bore the burden of proof. ( In re Cristella C. (1992)
The Bureau contends that, at the .26 hearing, it did nothing to prevent Parents from having a fair opportunity to litigate adoptability or any
David H. , supra ,
In rejecting that claim, the appellate panel in David H. said this: "Parental rights are terminated because (1) the parents have been found so derelict in their duties to their children, or so unable to fulfill those duties, that it would be harmful to return the child to their custody [citation], and (2) the child has a chance of finding a caring, stable and nurturing home elsewhere [citation]. In David's case, he was freed from inadequate parents, but his prospective adoptive home proved to be a mirage and a hoax. It would be a tragic anomaly if the derelict parents could now further impede David's chances of finding a secure home by forcing relitigation of the permanent plan on the ground of injuries they feel were done to them. [¶] As a general matter, it would be inimical to the policies underlying the juvenile court law to allow parents to raise a collateral challenge to an order terminating parental rights on the ground that the child's post-termination placement did not meet with the parents' expectations. Such relief is not available, whether the parents' expectations were not met because of an uncontrollable turn of fate, [citation] or for any other reason, including
With respect to Parents, the analysis in David H. is apt. But notably, the David H. opinion was careful to point out that its holding did not apply to David, the minor in that case. "Whether there was fraud or other wrongdoing as to David himself is another question, which we do not address," the court observed. ( David H. , supra ,
Given the stakes for the Minor at the .26 hearing, he had a fundamental liberty interest in accurate determination of the issue of adoptability on a full and complete record. Section 366.26, subdivision (c)(1) protects that interest by holding the child welfare agency to the standard of clear and convincing proof. But quantum of proof is not the only protection minor-dependents have at .26 hearings. The Legislature has also been quite clear that the child welfare agency's pre-adoption study supplies the evidentiary foundation on which the juvenile court's adoptability determination must rest. (See § 366.26, subd. (b) ["At the hearing, ... the court, in order to provide stable, permanent homes for these [dependent] children, shall review the report as specified in Section 361.5, 366.21, 366.22, or 366.25 [and] shall indicate that the court has read and considered it ...."].) It is also important to keep in mind the unique obligation of trust and confidence that the child welfare agency has in the permanency selection phase of a dependency proceeding. The minor-dependent is entitled to view the agency as his "champion" ( In re Angelia P. (1981)
Mindful of Minor's vulnerable position going into the .26 hearing, we apply Crystal J., supra ,
When we deal with error of federal constitutional dimension in dependency cases,
Here again, Judge Hardie went to the heart of the matter, articulating the prejudice analysis well, albeit without framing it as a matter of due process.
IV. CONCLUSION AND DISPOSITION
The .26 order and findings are reversed. Without intimating any view as to what permanency option might be best in this case, or whether the parental relationship benefit exception might apply, the case is remanded with directions that the Bureau prepare an updated section 366.22, subdivision (c)(1) report specifically assessing whether Minor is likely to be adopted within a reasonable time. The juvenile court shall then conduct a new section 366.26 hearing.
We concur:
TUCHER, J.
BROWN, J.
Notes
Further unspecified statutory references are to the Welfare and Institutions Code.
(See § 366.22, subd. (c)(1).) When we refer to the .26 Report, we mean the .26 Report as originally filed in this case on May 9, 2018 and as updated in an Addendum filed on August 8, 2018, the day of the .26 hearing.
The Bureau lodged the 2017 Investigation Report with Judge Hardie at an October 19, 2018 hearing and, when the social worker testified on October 31, 2018, she brought with her and provided to Judge Hardie copies of excerpts of her case notes referring to the June 2017 Investigation. Thus, the court had before it detailed investigative information generated by the June 2017 Investigation as well as copies of the 2017 case notes that the social worker testified she produced in discovery.
Because of the many indications that individuals who were either sex offenders or had been victims of sex offenses were or may have been spending time around Minor while J.M. and C.P. were caring for him, the composition of the residents in Foster Parents' home was a major focus of the June 2017 Investigation. To address concerns raised by the issue of who, exactly, was living in Foster Parents' home and the sleeping arrangements there, the safety plan implemented for Foster Parents in 2017 required them to commit that they would not allow any other adult besides themselves, or anyone who was not specifically designated in their Resource Family Approval certificate, to live in their home, and prohibited Minor from sharing a bedroom with any adult. The safety plan also designated C.P. as the "responsible party" to provide care and supervision of Minor.
Mother's C.C.P. section 909 motion attaches eight exhibits filed post-termination in Minor's case, consisting of a minute order filed September 19, 2018 following a hearing on the Bureau's petition for emergency removal of Minor from Foster Parents' home (Exhibit A); a minute order filed October 19, 2018 following a hearing on Foster Parents' objection to the removal of Minor from their home (Exhibit B); a Memorandum to Judge Hardie dated October 16, 2018, co-authored by the social worker's supervisor and by the Bureau's lead investigator for out-of-home investigations (Exhibit C); a minute order filed October 31, 2018 following a continued hearing on Foster Parents' objection to the removal of Minor from their home (Exhibit D); a minute order filed November 14, 2018 following a continued hearing on Foster Parents' objection to the removal of Minor from their home (Exhibit E); the Court Appointed Special Advocate's (CASA) Post-Permanency Report and Recommendation to the Juvenile Court of Contra Costa County filed January 16, 2019 (Exhibit F); the Bureau's Post-Permanency Status Review filed January 16, 2019 (Exhibit G); and a minute order filed January 16, 2019 following the six-month post-permanency status review (Exhibit H).
Mother was no longer allowed to participate in the proceedings in Minor's dependency post-termination and thus did not have access to any transcripts of the hearings referenced in her Exhibits A through H, or any of the documentary evidence considered by the court at those hearings. As a result, while the exhibits she proffers highlight the major developments in the case post-termination, they give us limited information about why Judge Hardie entered the orders she did. To clarify that, on our own motion we directed that the following supplemental materials be lodged with this court: (1) transcripts of hearings dated October 19, 2018, October 31, 2018, November 14, 2018, December 5, 2018, January 16, 2019, and February 13, 2019, (2) the 2017 Investigation Report that was provided to the juvenile court at the October 19, 2018 hearing, and (3) the social worker's case notes that were provided to the juvenile court at the October 31, 2018 hearing. (See fn. 3, ante.)
Statutes 2005, chapter 634, section 2.
Carl R., supra ,
We therefore take judicial notice of the transcripts of the post-termination hearings that took place in this case on October 19, 2018, October 31, 2018, December 5, 2018, January 16, 2019, and February 13, 2019. (Evid. Code, §§ 459, 452, subd. (d).) We also take judicial notice of the 2017 Investigation Report and the social worker's 2017 case notes, since they were presented to and considered by the juvenile court at those hearings (ibid. ) and they "help complete the context of this case." (Flatley v. Mauro (2006)
See sections 361.5, subdivision (g)(1) (reports required for .26 hearings set at disposition hearings after denial of reunification services), 366.21, subdivision (i)(1) (reports required for .26 hearings set at six-month review hearings or at 12-month permanency hearings) and 366.25, subdivision (b)(1) (reports required for .26 hearings set at 24-month subsequent permanency review hearings).
See sections 361.5, subdivision (g)(1)(D), 366.21, subdivision (i)(1)(D) and 366.25, subdivision (b)(1)(D).
The Bureau argues that "[w]hile the ... social worker should have included the information regarding the prospective adoptive parents' criminal and child welfare history[,] ... it should also be noted the underlying purpose of requiring this history in the preliminary assessment was met as the prospective adoptive parents had been approved as [a resource family] after a vigorous application process." In support of this contention, the Bureau advances a somewhat convoluted explanation, premised on the idea that "the preliminary assessment report was intended as a precursor to an approved homestudy report which was the vehicle for adoption prior to the changes that took place effective January 1, 2017 that dramatically changed the approval process for 'resource families[ ]' " under section 16519.5, subdivision (d). According to the Bureau, "section 16519.5(d) defines the resource family as an individual or family that has successfully met both the home environment assessment standards and the permanency assessment criteria." Quoting from the Seiser & Kumli treatise, the Bureau then tells us " '[t]he permanency assessment will replace the adoption homestudy.' " It is indeed true that section 16519.5, subdivision (d), introduced a new, streamlined process for approval of resource families. (See Seiser & Kumli, supra , § 2.127[9], p. 2-476 ["The goal of this revised approval process is to offer a unified, family friendly, and child-centered approval process for all families seeking to care for children including those homes seeking guardianship or adoption [citation].... Previously, the approval process was different for each type of placement."].) But these changes in the administrative vetting process for resource families do not relieve child welfare agencies of the obligation to comply with their statutory reporting obligations to the juvenile court, as the Bureau implicitly concedes in acknowledging that "the social worker should have included" information required by section 366.22, subdivision (c)(1)(D) in the .26 Report. It is simply not the case that the "underlying purpose" of this reporting obligation "was met" simply because the appropriate administrative vetting for Foster Parents as a resource family had been done.
Minor's appointed appellate counsel, in addition to joining the parties' stipulation to reversal of the order terminating parental rights, filed a brief urging reversal and remand for a new .26 hearing on the ground the juvenile court's adoptability finding has been undermined. We construe this brief as a joinder in Parents' appeal to the extent it seeks reversal of the .26 order.
