637 A.2d 795
(12537)Appellate Court of Connecticut
FOTI, HEIMAN and SPEAR, Js.
The respondent mother appealed to this court from the judgment of the trial court adjudicating her daughter a neglected child. Held: 1. The trial court improperly began trial prior to the filing of an amended petition that changed the basic nature of the offense alleged in the original petition; the amendment was not fundamentally fair, and it violated the respondent mother’s due process right. 2. The respondent mother could not prevail on her unpreserved claim that the trial court improperly ordered her to undergo a psychological evaluation; her failure to object to the evaluation resulted in a waiver of her right to challenge it on appeal, and it did not result in manifest injustice so as to warrant plain error review. 3. The trial court did not abuse its discretion in denying the respondent mother’s request for blood grouping tests to determine whether the respondent father was, in fact, the father of the child; the respondent mother was estopped from making such a claim by having asserted in divorce proceedings that the respondent father was the actual father and having sought support payments for the child.
Argued December 13, 1993
Decision released February 22, 1994
Petition by the attorney for the minor child to adjudicate the child neglected, brought to the Superior Court in the judicial district of Windham, Juvenile Matters at Willimantic, and tried to the court, Teller, J.; judgment adjudicating the minor child neglected and committing her to the temporary custody of the department of children and youth services, from which the respondent mother appealed to this court. Reversed in part; new trial.
Helen M. Doherty, for the appellant (respondent mother).
Page 633
Maureen A. Chmielecki, the appellee (petitioner), for the minor child.
Paul J. Bakulski, assistant attorney general, with whom, on the brief, were Richard Blumenthal, attorney general, and Susan T. Pearlman, assistant attorney general, for the appellee (department of children and families).
Matthew J. Collins, for the appellee (respondent father).
HEIMAN, J.
The respondent mother appeals from the judgment of the trial court adjudicating her child neglected and committing the child to the custody of the department of children and youth services (DCYS).[1] On appeal, the respondent mother claims, in part, that the trial court improperly (1) overruled her objection to commencing trial before an amended petition was filed identifying alleged acts of misconduct committed by her, in light of the court’s ruling that such amendment was to be allowed, (2) overruled her objection to commencing testimony relative to misconduct by her until the amended petition was filed, (3) allowed a mid-trial amendment to the neglect petition, (4) ordered a psychological evaluation of the parties and the minor child on April 21, 1992, and (5) denied her request for blood testing. We reverse, in part, the judgment of the trial court.[2]
Page 634
The trial court found the following facts. The respondent parents were married on February 29, 1988. One child, born June 21, 1989, was issue of the marriage. The marriage was terminated on February 13, 1991, after claims by the mother of family violence and sexual abuse by the husband. The divorce decree granted sole custody of the child to the mother subject to the father’s reasonable rights of visitation.
On March 7, 1991, the mother claimed that the father had sexually abused the child during an unsupervised visit. The mother took the child to Kimberly Mailloux, a child advocate and certified sexual assault counselor employed by the Northeast Connecticut Sexual Assault Crisis Service, and Morton Glasser, a physician in general and family practice, for examination and evaluation. The police, DCYS and Martha Roberts, a counselor and clinician employed by United Services who became the child’s therapist, were also notified. The father’s visitation rights were modified to allow only supervised visitation until the end of January, 1992, when the father was allowed to resume unsupervised visits for a few hours a week.
On June 6, 1991, an attorney for the minor child filed a petition seeking a determination of neglect pursuant to General Statutes 46b-129[3] and requesting that the court take appropriate action. The petition was premised on an
Page 635
allegation that the father had sexually abused the child. DCYS filed a motion to amend the child’s petition on December 13, 1991, to include allegations of neglect against the mother.
On February 21, 1992, after the first full day of the child’s unsupervised visit with the father, the mother again reported that the father had sexually abused the child. The mother again took the child to Mailloux and Glasser for evaluation and examination, and the police and DCYS were informed. Again, the father’s visitation rights were modified to supervised visitation only.
On April 21, 1992, the hearing commenced on the June 6, 1991 neglect petition. At that hearing, DCYS withdrew its motion to amend the petition and the child’s attorney requested permission from the trial court to amend the neglect petition. The court granted the motion to amend and the child’s attorney informed the court that the amended petition would be filed on April 23, 1992. The court then asked the child’s attorney to call her first witness. The mother objected to the commencement of evidence prior to the filing of the amended petition. The trial court overruled the objection and commenced trial. The child’s attorney did not file the amended petition on April 23, 1992.
On May 26, 1992, at the mother’s request, her then prospective mother-in-law took the child to DCYS for the father’s regularly scheduled visit. Diane Sinapi, a DCYS social worker, informed the prospective mother-in-law that the child would be released only to her mother after the visitation. The mother, at that time, had accompanied her fiance to Putnam Superior Court for proceedings concerning her fiance’s marital status.
When the mother failed to come to the DCYS office to pick up the child before the office closed, Sinapi released the child to the father and the child’s paternal grandmother. The grandmother drove
Page 636
to her home with the child. The grandmother’s home was located approximately forty-five minutes from the DCYS office. About forty-five minutes after the grandmother had arrived at home, the mother retrieved the child. The mother immediately reported another instance of claimed sexual abuse by the father. Again, the child was brought to Mailloux and Glasser for evaluation and examination and the police and DCYS were notified.
On July 17, 1992, the attorney for the child filed an amended petition for a determination of neglect alleging that the child was neglected, abused, denied proper care and attention, permitted to live under conditions, circumstances or associations injurious to her well-being and was uncared for in that her home could not provide specialized care that her physical, emotional and mental condition required. The amended petition had matters stricken and a new amended petition was filed on July 21, 1992. The new petition was premised on allegations that the father had sexually abused the child, and, in the event that the allegations of sexual abuse by the father were not true, that the mother was abusing the child by intentionally or otherwise fabricating false claims of sexual abuse, thereby exposing the child to unnecessary and intrusive examinations. The mother objected to the amendment because the trial was in an advanced stage. The trial court overruled the objection and stated that Practice Book 1029 (now 1055.1 [3])[4] allowed the amendment. Both parents were represented by counsel and entered denials of the petition.
Page 637
On December 16, 1992, the trial court found that the mother’s claims of sexual abuse by the father were untrue. The trial court further found that the acts of the mother were intentional in falsely reporting the sexual abuse thereby obstructing and interfering with the father’s relationship with the child, and that those actions constituted neglect and abuse on the part of the mother. On the basis of those findings, the trial court ordered that the child be committed to DCYS for a period of eighteen months. The trial court further ordered that the father be instructed and counseled on parenting and that he receive progressively increased visitation with the child in the paternal grandmother’s home. The trial court also ordered that the mother have supervised visitation rights of no more than two hours per week. The mother appeals from that judgment.
I
The mother claims that the trial court improperly (1) commenced trial prior to the filing of the amended petition identifying alleged misconduct on her part, in light of the court’s ruling that such amendment was to be allowed, (2) permitted evidence relative to acts of her misconduct prior to the filing of the amended petition, and (3) allowed a midtrial amendment to the neglect petition. The mother asserts that the trial court violated her right to due process of law by failing to give her adequate notice of the claims directed against her. We agree.
“The State has a parens patriae interest in preserving and promoting the welfare of the child, Santosky v. Kramer, 455 U.S. 745, 766, 102 S.Ct. 1388, 71 L.Ed.2d 599 (1982). . . .” (Internal quotation marks omitted.) In re Steven G., 210 Conn. 435, 440, 556 A.2d 131 (1989). We must, therefore, strike a balance between the informality and flexibility that characterize juvenile proceedings with the requirement of fundamental
Page 638
fairness demanded by due process. Schall v. Martin, 467 U.S. 253, 263, 104 S.Ct. 2403, 81 L.Ed.2d 207 (1984); Lehrer v. Davis, 214 Conn. 232, 240, 571 A.2d 691 (1990); In re Steven G., supra, 440-41. Due process requires notice that would be deemed constitutionally adequate in a civil or criminal proceeding. In re Gault, 387 U.S. 1, 33, 87 S.Ct. 1428, 18 L.Ed.2d 527 (1967). “Notice is not a perfunctory act in order to satisfy the technicalities of a statute, but has, as its basis, constitutional dimensions.”in re Baby Girl B., 224 Conn. 263, 295, 618 A.2d 1 (1992). “Notice, to comply with due process requirements, must be given sufficiently in advance of scheduled court proceedings so that reasonable opportunity to prepare will be afforded, and it must set forth the alleged misconduct with particularity.” (Internal quotation marks omitted.) In re Gault, supra; In re Steven G., supra, 441; In re Michael M., 29 Conn. App. 112, 119, 614 A.2d 832 (1992). The fact that the parties may have had knowledge that misconduct will be alleged against them does not excuse the requirement of actual adequate notice. In re Gault, supra, 34 n. 54. The purpose of notice is to clarify the issues being considered. Id.[5]
In compliance with the requirements of due process, our rules require that the neglect petition set forth with “reasonable particularity” specific allegations that have resulted in the neglect of the child. Practice Book 1027(4) (now 1040.1 [1]).[6] The rules also allow the trial court to permit
Page 639
amendments to the neglect petition during the trial. Practice Book 1029.[7] Amendments to the petition, however, cannot be of such a nature as to violate the parties’ constitutional rights to notice of the allegations against them. In re Steven G., supra. We apply a “fundamental fairness” analysis in determining whether the midtrial amendment allowed by Practice Book 1029 violated the mother’s constitutional rights. Id.
The amendment was first filed on July 17, 1992, after a significant amount of evidence had been produced at trial.[8]
By the time of the amendment, the child’s attorney had called five witnesses and the mother had called five witnesses.[9]
Further, the original petition was not accompanied by factual allegations of neglect by the mother; cf. In re Michael M., supra, 120; and the amendment changed the basic nature of the offense alleged in the original petition. Cf. In re Steven G., supra. The amendment also did not occur near the beginning of the trial. Cf. In re Carl O., 10 Conn. App. 428, 437, 523 A.2d 1339, cert. denied, 204 Conn. 802, 525 A.2d 964 (1987). Therefore, the amendment of the neglect petition was not fundamentally fair and we thus conclude that it violated the mother’s due process right.
The child’s attorney claimed during oral argument that the mother had waived her due process rights by agreeing on
Page 640
June 16, 1992, to have the evidence that was introduced on the issue of temporary custody considered on the neglect petition.[10]
“The waiver of a constitutional right is effective only if, under all the circumstances, it was knowingly, voluntarily and intelligently given.” State v. Smith, 185 Conn. 63, 86, 441 A.2d 84 (1981). The transcript does not support the claim of waiver. The mother could not intelligently waive her fights at that time. She was unaware of the allegations of the amended petition and did not know whether the amended petition would be filed. The record reflects that the child’s attorney did not file the amended petition until July 17, 1992. Therefore, the mother agreed only to allow the evidence from the temporary custody issue to be used for the issue of the neglect petition that alleged wrongdoing by only the father.
II.
Although our disposition of the previous issue requires a new trial, we address the issue of whether the trial court improperly ordered the mother to undergo a psychological evaluation on April 21, 1992, and then allowed the report of the examination to be admitted at trial because it is likely to recur at retrial.
Certain additional facts are necessary for a proper resolution of this issue. The mother alleged sexual abuse of the child by the father on March 7, 1991. After the child’s attorney filed the petition for a determination of neglect on June 6, 1991, the court ordered that psychological tests be administered
Page 641
by David Mantell, a licensed clinical psychologist, on the mother, father and child. On the basis of the report, the court ordered that the father have only supervised visitation rights. The trial court had scheduled a trial on the petition for December 17, 1991. On that date, the trial was continued to April 21, 1992. On February 21, 1992, the mother again alleged that the father had sexually abused the child. On April 21, 1992, the court ordered a second psychological evaluation of all of the parties in view of the further allegations of sexual abuse. Mantell asked to have access to the reports of seven professionals, to talk with the parties and to talk with relatives of the parties. All of the parties agreed to the second evaluation.[11] On July 17, 1992, the child’s attorney filed an amended petition alleging abuse by the mother. Another amended petition was filed on July 21, 1992. The report based on the evaluation was admitted into evidence on July 21, 1992, without objection.[12] On appeal, the mother claims that the ordering of the evaluation (1) violated General Statutes 46b-129
Page 642
(c), which denied her due process of law, and (2) constituted plain error. We are unpersuaded.[13]
A
General Statutes 46b-129(c)[14] provides that the trial court may order a physical or mental examination of the parents only after a hearing on the petition for neglect and a finding that the physical or mental ability of the parent to care for the child is at issue. Although the statute seems to connote a compulsory procedure by requiring a hearing and finding by the court, we have held that such statutory schemes are not mandatory but directory. See In re Adrien C., 9 Conn. App. 506,
Page 643
510, 519 A.2d 1241, cert. denied, 203 Conn. 802, 522 A.2d 292
(1987). “We determine whether a statute is mandatory or directory by testing whether the prescribed mode of action is the essence of the thing to be accomplished, or in other words, whether it relates to a matter of substance or a matter of convenience. . . . If it is a matter of substance, the statutory provision is mandatory. . . . If, however, the legislative provision is designed to secure order, system and dispatch in the proceedings, it is generally held to be directory, especially where the requirement is stated in affirmative terms unaccompanied by negative words.” (Citations omitted; internal quotation marks omitted.) Brown v. Smarrelli, 29 Conn. App. 660, 664, 617 A.2d 905 (1992), cert. denied, 225 Conn. 901, 621 A.2d 284 (1993); In re Adrien C. supra. “Such a statutory provision is one which prescribes what shall be done but does not invalidate action upon a failure to comply.” (Internal quotation marks omitted.) Rowe v. Godou, 12 Conn. App. 538, 543, 532 A.2d 978
(1987), rev’d on other grounds, 209 Conn. 273, 550 A.2d 1073
(1988); In re Adrien C., supra, 510-11. The party challenging the action of the trial court must object in a timely manner or waive the right to do so. In re Adrien C. supra, 511.
The requirement of a hearing and finding by the court is directory. It does not relate to a matter of substance, but is designed to secure order in the proceedings. Its purpose is to afford the objecting party a procedure for challenging a court ordered examination. If the party elects not to object, the court is not required to hold a hearing as a matter of law. Therefore, by her failure to object to the ordering of the psychological evaluations, the mother waived her right to do so on appeal.
Page 644
B
The mother next claims that ordering the evaluation constituted plain error. Practice Book 4185.[15] It is rare that this exception to the requirement for seasonable objection in the trial court is invoked. In re Mark C., 28 Conn. App. 247, 252, 610 A.2d 181, cert. denied, 223 Conn. 922, 614 A.2d 823 (1992). “Where a trial court’s action does not result in any manifest injustice, a defendant’s claim under the plain error doctrine does not warrant review. . . .” (Internal quotation marks omitted.) State v. Morales, 33 Conn. App. 184, 197, ___ A.2d ___ (1993); State v. Ulen, 31 Conn. App. 20, 37-38, 623 A.2d 70, cert. denied, 226 Conn. 905, 625 A.2d 1378 (1993). “Such review is reserved for truly extraordinary situations where the existence of error is so obvious that it affects the fairness and integrity of and public confidence in the judicial proceedings.” (Internal quotation marks omitted.) State v. Morales, supra; State v. Ulen, supra, 38; In re Mark C., supra. As we previously stated, the trial court may order a psychological evaluation without a hearing if all of the parties agree. In any event, the order did not result in manifest injustice. Further, the fact that the mother failed to object to the ordering of the evaluation and to the admission of the report frustrates any sense of injustice surrounding the admission of the report. The trial court did not commit plain error.
III
Although the disposition of the issue in part I requires a new trial, we address the issue of the trial court’s denial of the mother’s request for blood testing since it is likely to recur on retrial.
Page 645
Certain additional facts are necessary for a proper resolution of this issue. On August 7, 1992, the mother requested, pursuant to General Statutes 46b-168(a),[16] that the trial court require the respondent father and the child to undergo blood grouping tests to determine whether the respondent father was, in fact, the father of the child. The court denied the motion on August 13, 1992, and found on the basis of past conduct of the mother that paternity was not an issue in the case. The trial court orally stated that the mother claimed that the respondent father was the father of the child in the divorce action and sought support from the respondent father, which required that the respondent father be the father of the child. See General Statutes 46b-84(a);[17] Remkiewicz v. Remkiewicz, 180 Conn. 114, 117, 429 A.2d 833 (1980). Further, the trial court found in the memorandum of decision that the mother’s motion for blood grouping tests had “the purpose of attempting to undo the determination of [the father’s] paternity of the child, who was both conceived and born during the parent’s marriage and was previously judicially determined to be issue of their marriage and for whom [the] mother has received a substantial sum in child support both pendente lite and postjudgment [and viewed] this tactic as an ill conceived effort on the part of [the]
Page 646
mother to delay and confuse [the] proceedings and to further obstruct and interfere with the father’s relationship with the child; indeed to destroy that relationship with the man she has come to know and understand to be her father.” The mother claims on appeal that the blood grouping tests were necessary to determine that all necessary parties are present in the neglect petition.
“General Statutes 46b-168 provides that the court `may’ order blood tests upon a motion by any party. Thus, the order is discretionary.” Barlow v. Guerrera, 9 Conn. App. 431, 432, 519 A.2d 623 (1987). We must, therefore, determine if the trial court abused its discretion. Id.
The trial court based the denial of the blood tests on estoppel. “There are two essential elements to an estoppel: the party must do or say something which is intended or calculated to induce another to believe in the existence of certain facts and to act upon that belief; and the other party, influenced thereby, must actually change his position or do something to his injury which he otherwise would not have done. Estoppel rests on the misleading conduct of one party to the prejudice of the other. In the absence of prejudice, estoppel does not exist. . . .” (Citations omitted; internal quotation marks omitted.) Remkiewicz v. Remkiewicz, supra, 119. Both elements are met in this case. The mother claimed that the respondent father was the actual father during the divorce proceedings. This claim was calculated to have the respondent father believe that he was the actual father of the child. As a consequence, the father was required to pay support payments to the mother, which he would not have been required to do had the mother not claimed that he was the actual father. The mother was estopped from claiming that the
Page 647
respondent father was not the actual father. The trial court did not abuse its discretion in denying her motion for blood testing.
The judgment is reversed in part and the case is remanded for a new trial as to the respondent mother only.
In this opinion the other judges concurred.