Opinion ID: 2284287
Heading Depth: 1
Heading Rank: 3

Heading: Failure to Comply with Statutes

Text: Mother alleges that the trial court failed to strictly comply and scrupulously adhere to the statutory mandates of chapters 211 and 453. She argues that because of the failure to strictly comply with these statutes, the termination of her parental rights and resulting adoption proceedings are void, so the judgment should be reversed and the adoption petition should be dismissed. In Mother's claims, she conflates the two chapters and ignores the legislative mandate on how to construe each chapter.
This case is a private action for termination of parental rights and adoption. The prerequisite to any adoption is the consent of natural parents or involuntary termination of parental rights. In re J.F.K., 853 S.W.2d 932, 934 (Mo. banc 1993). Adoptive Parents petitioned for termination of parental rights under section 211.447 and adoption without consent under section 453.040(7). Specifically, count I of the petition requests transfer of custody and termination of parental rights under chapter 453; count II seeks termination of parental rights under section 211.447, subsections 2(2)(b), 5(1)(b), 5(2)(d), and 5(3); [8] count III seeks adoption of the Child as being in the Child's best interest. Because Adoptive Parents pleaded a right to termination of parental rights under chapter 211 and adoption without consent under chapter 453, both chapters are applicable to this case, and the differences between the chapters must be explored. Chapter 211 is utilized primarily by state actors, that is, the division of children's services or the juvenile officer, to take children into protective custody and terminate parental rights. See In re J.F.K., 853 S.W.2d at 934. Prospective parents seeking adoption, however, may seek to terminate parental rights based on chapter 211 provisions in an adoption petition. Section 211.447.6. Prospective parents also may request a termination of parental rights incident to an adoption action under chapter 453. In re J.F.K., 853 S.W.2d at 934. Chapter 453 does not speak to termination of parental rights; rather, it authorizes adoption without consent or with consent that has the effect of terminating parental rights. Section 453.040 sets out the scenarios in which the consent of a parent to adoption is not required. The Adoptive Parents pleaded that Mother's consent was not required under subsection 7 of section 453.040: The consent to the adoption of a child is not required of:    (7) A parent who has for a period of at least six months, for a child one year of age or older, or at least sixty days, for a child under one year of age, immediately prior to the filing of the petition for adoption, willfully abandoned the child or, for a period of at least six months immediately prior to the filing of the petition for adoption, willfully, substantially and continuously neglected to provide him with necessary care and protection[.] When a person alleges that consent of the parent is not required for the adoption under section 453.040, the statutory mandates of chapter 211 are irrelevant to the chapter 453 proceeding unless specifically cross-referenced and mandated by chapter 453. In re S.L.N., 167 S.W.3d 736, 740-41 (Mo.App.2005); e.g., section 453.040(7) (making no mention to chapter 211); see also section 453.040(1) (specifically cross-referencing chapter 211). However, if the prospective parents plead termination of parental rights under chapter 211 in a chapter 453 petition, all statutory requirements for chapter 211 must be met for each chapter 211 claim. See In re S.L.N., 167 S.W.3d at 740-41.
The legislature has created different rules for construing the provisions of chapter 211 and chapter 453. Chapter 453, which governs the procedures for the adoption and foster care of Missouri children, has an express rule of statutory construction. Section 453.005 states that the chapter is to be construed to promote the best interests and welfare of the child in recognition of the entitlement of the child to a permanent and stable home. This Court has noted that [Chapter 453] is to be liberally construed with a view to promoting the best interests of the child, but such liberal construction is obviously not to be extended to the question of when the natural parents may be divested of their rights to the end that all legal relationship between them and their child shall cease and determine[.] In re Adoption of R.A.B., 562 S.W.2d 356, 360 (Mo. banc 1978). Provisions in chapter 211 govern the termination of parental rights. In section 211.443, the legislature explicitly stated how the termination of parental rights provisions of chapter 211 should be construed: The provisions of sections 211.442 to 211.487 shall be construed so as to promote the best interests and welfare of the child as determined by the juvenile court in consideration of the following: (1) The recognition and protection of the constitutional rights of all parties in the proceedings; (2) The recognition and protection of the birth family relationship when possible and appropriate; and (3) The entitlement of every child to a permanent and stable home. Unlike chapter 453, which only discusses the best interest of the child in the construction of its provisions, chapter 211 requires a court to consider and protect both the best interest of the child and the constitutional rights of all the parties when construing its termination of parental rights provisions.
Mother claims there were multiple failures to comply with the statutes and one court rule applicable to the proceedings for the placement and transfer of custody of Child to Adoptive Parents. She claims a failure to comply with section 453.014.1(4) (who may place a minor for adoption), section 453.026 (requirement of a written report regarding child before adoptive parents accept physical custody), section 453.110, (transfer of custody requirements), and Rule 44.01(d) (requirement of five days notice before any hearing on a motion). Specifically, she asserts that: (1) the Velascos do not fall within the authorized intermediaries under section 453.014.1(4), and, therefore, they did not have the statutory authority to place Child in the Adoptive Parents' custody; (2) the record does not contain a written report about Child that was created before the Adoptive Parents accepted custody, as required by section 453.026; (3) custody of Child was surrendered and taken before a petition was filed and an order entered pursuant to section 453.110.1; [9] and (4) she did not receive any notice of the hearing to transfer custody of Child in violation of Rule 44.01(d). She argues that these deficiencies render the proceedings void and require reversal of the judgment, dismissal of the Adopted Parents' petition, and return of custody of Child to her. Mother quotes from In re Baby Girl, 850 S.W.2d 64 (Mo. banc 1993), in support of her claim that Adoptive Parents' failure to comply with all statutory requirements in the judicial proceedings in this case makes the court's order transferring custody void. She asserts that because judicial approval of the transfer of custody of the child was not obtained, all acts thereafter regarding custody were void from any legal perspective. Id. at 68. She reads In re Baby Girl too broadly. In that case, this Court found the transfer of custody from birth mother to prospective adoptive parents illegal from its inception because the prospective adoptive parents took custody of the child from the hospital where she was born and transported the child to their home state of Arkansas without any person seeking and obtaining judicial approval of the transfer of custody. Id. The Court found that this was precisely the type of action that the legislature sought to avoid when it enacted [section] 453.110.1. Id. In contrast, in this case, Adoptive Parents filed their petition for transfer of custody in the circuit court sitting as a juvenile division of the county in which Child was located, and that court entered an order transferring custody of Child to them pursuant to section 453.110.1. Mother challenges the proceedings and resulting order transferring custody because there were deficiencies in those proceedings. She does not claim that no judicial action was filed or that there was no order transferring custody. The proceedings and resulting court order for transfer of custody, even if defective, are not void. While each statute and rule serves a valid purpose, such as to prevent the indiscriminate placement and transfer of custody of the child, see id. at 68 (discussing section 453.110's purpose), a party aggrieved by noncompliance with statutes and rules still must timely raise the error. In re P.G.M., 149 S.W.3d 507, 516 (Mo.App.2004). See also In re Duren, 355 Mo. 1222, 200 S.W.2d 343, 345 (1947); In re Z.L.R., 306 S.W.3d 632, 638 (Mo.App.2010). The errors Mother asserted occurred in October 2007 when the Velascos surrendered custody of Child to the Adoptive Parents and the proceedings on the Adoptive Parents' request for transfer of custody occurred. Mother first objected to the proceedings and claimed error in the order transferring custody approximately two years later on appeal after entry of the judgment terminating her parental rights and granting adoption of Child by Adoptive Parents. She did not timely protest the lack of investigation and filing of reports, the lack of notice of the transfer-of-custody hearing, or the allegedly improper transfer of custody when the case was pending in the trial court; therefore, her claims of error are not preserved. [10] Because Mother failed to properly preserve her claims, they only can be reviewed for plain error. Rule 84.13(c). Despite the failure to raise the issue, this Court, in its discretion, may review these claims for plain error. In re Duren, 200 S.W.2d at 345; In re Z.L.R., 306 S.W.3d at 638. In determining whether to exercise its discretion to provide plain error review, the appellate court looks to determine whether there facially appears substantial grounds for believing that the trial court committed error that is evident, obvious and clear, which resulted in manifest injustice or a miscarriage of justice. In re R.S.L., 241 S.W.3d 346, 351 (Mo.App.2007). Even statutory errors that are evident, obvious, and clear, must result in a manifest injustice or miscarriage of justice. In re Z.L.R., 306 S.W.3d at 638 (noncompliance with section 211.447 had the effect of shifting burden of proof to natural parent and resulted in a manifest injustice). Here, the statutory errors are evident, obvious, and clear from the record, so the issue is whether they resulted in manifest injustice or a miscarriage of justice. While custody of Child was surrendered and taken before a court order in violation of section 453.110.1 and no investigation and report was ordered and completed as required by section 453.110.2 before the court ordered the transfer of custody, Mother has failed to show a manifest injustice or a miscarriage of justice occurred. The record shows, and Mother does not dispute, that a transfer of the Child's custody urgently needed to occur. The record shows that Child was in need of food, clothing, shelter, and medical care at the time the trial court ordered transfer of custody to Adoptive Parents. It also shows that the trial court reviewed a report prepared after an extensive investigation of whether Adoptive Parents were qualified to be foster parents, and the content of the report was relevant to their qualifications to take custody of Child. Although Mother's circumstances were not investigated or addressed in any report, she does not contest that she was incarcerated or that her family members' scarce resources and work schedules limited their ability to care for her Child. Moreover, Mother does not claim that Adoptive Parents have not provided appropriately for Child during the time he has been in their custody. She asserts, instead, that she should have had the opportunity three years ago to argue that the Child should have been placed in foster care with someone who would have allowed visitation. While the record supports Mother's claim that Child's placement with Adoptive Parents had a negative impact on her relationship with Child, that negative impact has been exacerbated significantly by Mother's delay in challenging the transfer-of-custody proceedings. She asserts that she was not accountable for the delay because of her initial lack of counsel, her then ineffective counsel, and her failure to have notice of the transfer-of-custody hearing, all which precluded her from asserting her rights at an earlier time. As a threshold issue, Mother never requested counsel. Although Missouri recognizes a statutory right to counsel in actions brought to terminate parental rights, the parent must assert that statutory right. Section 211.462.2; section 453.030.12. Section 211.462.2 states: 2. The parent or guardian of the person of the child shall be notified of the right to have counsel, and if they request counsel and are financially unable to employ counsel, counsel shall be appointed by the court. Notice of this provision shall be contained in the summons. (Emphasis added). Section 453.030.12 states: 12. A birth parent, including a birth parent less than eighteen years of age, shall have the right to legal representation and payment of any reasonable legal fees incurred throughout the adoption process. In addition, the court may appoint an attorney to represent a birth parent if: (1) A birth parent requests representation; (2) The court finds that hiring an attorney to represent such birth parent would cause a financial hardship for the birth parent; and (3) The birth parent is not already represented by counsel. (Emphasis added). The record shows that the summons gave Mother the required statutory notice that she had the right to request appointment of counsel, but she failed to make any request. While the court of appeals has stated that section 211.464 requires that [a] parent must make a clear and unequivocal waiver on the record of his or her decision to proceed to trial [on the merits of a TPR petition] without a court appointed attorney, In re B.L.E., 723 S.W.2d 917, 920 (Mo.App.1987), no statute or case has imposed the requirement of an affirmative waiver of counsel for transfer of custody proceedings. So, under sections 453.030.12 and 211.462.2, when Mother learned of the proceedings to transfer custody and had the required statutory notice of her right to counsel, she needed to request appointment of counsel. Despite her failure to do so, the trial court not once, but twice appointed counsel to represent her. The record also refutes her claim that she did not have notice and could not assert her rights absent appointed, competent counsel. The October 28, 2007, letter Mother sent to Adoptive Parents' counsel shows that she had knowledge of the proceeding and who was involved in it 22 days after the petition was filed and that she was able to send correspondence to Adoptive Parents' counsel despite her incarceration and language barriers. [11] The prejudice to Mother was exacerbated by the lateness of her claims. As discussed below, her claims of error in failure to comply with sections 453.014.1(6), 453.026, and 453.110, and Rule 44.01(d) would not result in dismissal of the petition but would, instead, require rehearing of the transfer of custody matter, which is not in Child's best interest at this point in the proceeding. Mother has failed to prove a miscarriage of justice or manifest injustice. Mother's next three claims of error, however, warrant relief under plain error review. She claims there was noncompliance with the mandatory investigations and reporting requirements of sections 211.455, 453.070, and 453.077. Those sections require examination of the fitness of the natural parents, the child's condition before and after placement, the fitness of the adoptive parents, and the filing of written reports to aid the court in adjudicating the propriety of terminating parental rights and the best interests of the child.
Mother asserts that the trial court did not comply with section 211.455 and, therefore, the judgment must be reversed, the adoption petition must be dismissed, and the custody of Child must be returned to her. Section 211.455 mandates an investigation and written report after a petition to terminate parental rights is filed under chapter 211 to help the court determine if termination is in the best interest of the child. The relevant portions of section 211.455 state: 1. Within thirty days after the filing of the petition, the juvenile officer shall meet with the court in order to determine that all parties have been served with summons and to request that the court order the investigation and social study.    3. The court shall order an investigation and social study except in cases filed under section 211.444. The investigation and social study shall be made by the juvenile officer, the state division of family services or a public or private agency authorized or licensed to care for children or any other competent person, as directed by the court, and a written report shall be made to the court to aid the court in determining whether the termination is in the best interests of the child. It shall include such matters as the parental background, the fitness and capacity of the parent to discharge parental responsibilities, the child's home, present adjustment, physical, emotional and mental condition, and such other facts as are pertinent to the determination. Parties and attorneys or guardians ad litem or volunteer advocates representing them before the court shall have access to the written report. All ordered evaluations and reports shall be made available to the parties and attorneys or guardians ad litem or volunteer advocates representing them before the court at least fifteen days prior to any dispositional hearing. The requirements of section 211.455 are mandatory, and the investigation and social study must be ordered after the termination petition is filed. In re C.W., 211 S.W.3d 93, 98 (Mo. banc 2007). When a court fails to strictly comply with applicable provisions of chapter 211, the failure constitutes reversible error. Id. at 98; In re K.A.W., 133 S.W.3d 1, 19-20 (Mo. banc 2004). The judgment is not void; jurisdiction over the child is not removed from the trial court. [12] In re D.O., 315 S.W.3d 406, 408 (Mo.App.2010); In re T.A.L., 328 S.W.3d 238, 253-54 (Mo.App. 2010). Because the Adoptive Parents sought termination of Mother's parental rights under section 211.447, the trial court was required to order a section 211.455 investigation and social study, but no written report was made to the court prior to its termination of Mother's parental rights under section 211.447. [13] The trial court's failure is reversible error that amounts to a manifest injustice because the reports educate the trial court as to the parental background, the fitness and capacity of the parent to discharge parental responsibilities, the child's home, present adjustment, physical, emotional and mental condition, and such other facts as are pertinent to the determination. Section 211.455.2. Without these reports, Mother's and Child's circumstances were not briefed fully for the trial court. Its judgment, entered without this information, was manifestly unjust. The termination of Mother's parental rights under section 211.447 is reversed because of the trial court's failure to comply with section 211.455. The case is remanded for compliance with section 211.455 and then a new trial. Because of this finding of plain error, Mother's other claims regarding compliance with section 211.447 are moot.
Mother claims that the trial court plainly erred by failing to order and review investigations and written post-placement assessments of the Child and the Adoptive Parents as required by sections 453.070 and 453.077. She asserts that because the trial court did not strictly comply with the statutory requirements, custody of the Child should be returned to her and the adoption petition should be dismissed. Under section 453.070.1, an adoption decree may not be entered until the juvenile division receives and reviews written reports about the adoptive parents and the child's suitability for adoption. This section mandates an investigation and written report. It states: [N]o decree for the adoption of a child under eighteen years of age shall be entered for the petitioner or petitioners in such adoption as ordered by the juvenile court having jurisdiction, until a full investigation, which includes an assessment of the adoptive parents, an appropriate postplacement assessment and a summary of written reports as provided for in section 453.026, and any other pertinent information relevant to whether the child is suitable for adoption by the petitioner and whether the petitioner is suitable as a parent for the child, has been made. [14] Section 453.070's investigation and report may be waived if the child is the natural child of one of the adoption petitioners or the natural parents have consented to the adoption. Section 453.070.5. In all other cases, the trial court shall order the division of family services, a juvenile officer, a licensed child-placement agency, a social worker, or any other suitable person appointed by the court to conduct the investigation and create a written report. Section 453.070.2. The written report shall be submitted to the court within ninety days of the request of the investigation. Id. Section 453.077 mandates a post-placement assessment to be conducted six months after the child has been placed in the custody of the adoptive parents. Any person authorized under section 453.070 or the person who conducted the section 453.026 pre-placement assessment may conduct the post-placement assessment. Section 453.077.1. [T]he postplacement assessment shall include an update of the preplacement assessment which was submitted to the court pursuant to section 453.070, and a report on the emotional, physical, and psychological status of the child. Id. The purpose of the reports mandated by sections 453.070 and 453.077 is to provide the trial court with adequate information to determine whether the child is suitable for adoption and whether it is in the best interest of the child to finalize the adoption. In re Adoption of G., 389 S.W.2d 63, 66 (Mo.App.1965). Although these reports do not adjudicate the issues, In re K.K.J., 984 S.W.2d 548, 554 (Mo.App. 1999), the trial court cannot make an informed decision in their absence. Completion and review of these reports post-decree is futile. In re Adoption of G., 389 S.W.2d at 66. In this case, the trial court was provided with an extensive report prepared about the Adoptive Parents' fitness to be foster parents, not adoptive parents, and a one-paragraph update to adoptive home study furnished by the GAL, Mr. Garrity. Neither document complies with either section 453.070 or section 453.077. Neither document examines whether Child was suitable for adoption, including whether circumstances warrant termination of parental rights or adoption without the Mother's consent. Neither document accesses the Adoptive Parents' fitness to be adoptive parents, nor do they evaluate the Adoptive Parents after Child was placed with them. The trial court did not comply with these mandatory investigations and written reports. The record shows that the trial court was not briefed fully about the best interests of the Child, his suitability for adoption, and the suitability of the Adoptive Parents. The importance of this information is apparent from the legislature's express statement that no adoption decree should be entered without complying with the investigation and reporting requirements. Section 453.070.1. In this case, those reports would have provided information about Mother that was not otherwise before the trial court. It was manifestly unjust for the trial court to enter its judgment without the essential information in these reports.