HARRELL, J.
Sean Sumpter ("Father") filed in 2010 for an absolute divorce from Millicent Sumpter ("Mother") in the Circuit Court for Baltimore City. In that proceeding, the parties contested physical and legal custody of their two daughters. Prior to the merits hearing, a Circuit Court judge ordered preparation by court-related personnel a custody investigation report (hereinafter referred to sometimes as the "report") to evaluate the custodial abilities of each parent. Apparently, the Circuit Court has in place a local, unwritten policy or "rule" (as Mother's attorney referred to it in briefing and oral argument before us) that limits counsel of record in any child custody proceeding to viewing a single copy of such a report only in person in the Family Division Clerk's Office during normal public business hours. Counsel of
The report in the present case was completed one week before the merits hearing. Mother's counsel was able only to review, in person and pre-hearing, the report for approximately 90 minutes. As a consequence, Mother's attorney moved, prior to commencement of the merits hearing, to exclude the report or, alternatively, to be provided with a copy of the report. The Circuit Court denied the motion. At the conclusion of the hearing (during which the author of the report testified and the report was received in evidence on motion of Father's counsel), the judge granted a divorce and awarded custody of the children to Father, with visitation to Mother. The Court of Special Appeals, upon Mother's appeal, affirmed, in an unreported opinion, the Circuit Court's judgment.
Mother petitioned successfully this Court for a writ of certiorari. Sumpter v. Sumpter, 424 Md. 629, 37 A.3d 317 (2012). Neither Father's nor the children's best-interest attorneys opposed Mother's petition and, moreover, did not file briefs with this Court or appear at oral argument. Mother poses the question, "Did the Court of Special Appeals err in refusing to vacate and remand the case to the [C]ircuit [C]ourt when the parties, their counsel[,] and the best interest attorney were not provided a copy of the custody investigation report[,] in violation of constitutional due process and the Maryland Rules?"
If, as represented by Mother's counsel, the policy or rule is applied uniformly and vigorously to custody proceedings in the Circuit Court for Baltimore City (as it was in this case), we may have reservations about its viability. We are apprehensive, however, to make a conclusive determination on the present case for at least two reasons. First, we are uncomfortable with the state of the record, which does not purport to elucidate the full contours of the policy or rule and how it is applied. Apparently, the policy or rule is unwritten. The only tangible and direct indicia in the record of the existence of the policy or rule (other than some verbal exchanges between the judge and counsel at the hearings) is a letter to Mother's counsel, which informed them that the report was completed and may be reviewed at the Family Division Clerk's Office. The scanty record does not reveal when or why the Circuit Court enacted the policy or rule originally. Second, Mother's appeals before this Court and the Court of Special Appeals were unopposed. Neither Father's nor the children's best-interest attorney filed responsive briefs or argued orally at either appellate level. No potentially interested person, e.g., the State Attorney General's Office on behalf of the Circuit Court or the hearing judge, moved to participate as an amicus curiae. Thus, Mother's contentions in this regard were uncontested, and, as such, the appellate "debate" has been one-sided so far.
Therefore, we shall direct remand of the case ultimately to the Circuit Court, without affirmance or reversal, for supplementation
The following evidentiary facts were adduced at the two-day merits custody/divorce hearing in the Circuit Court, held on 13-14 December 2010. Mother, Father, and the children were represented each by counsel at the hearing.
Mother and Father were married in Tennessee on 27 November 2001. The marriage yielded two daughters. The parties separated in June 2006. For some time thereafter, apparently by agreement of the parties, the children lived alternately with Mother in Baltimore, Maryland, and with Father in Edgewood, Maryland. In 2007, Mother and the children left Maryland and, after a brief stay in Georgia, settled in Jacksonville, Florida. The children spent the summer of 2007 with Father in Edgewood before returning to Mother in Jacksonville. In March 2008, Mother discovered that one of the daughters was assaulted sexually in Jacksonville by someone with whom Mother had a personal relationship. She sent the children to live with their maternal grandmother in Tennessee. The children returned to Jacksonville in late June/early July 2008.
Another traumatic series of events took place in and around Mother's Jacksonville residence on 20 July 2008. Dari Waters, Mother's first cousin, attacked her in her home. The cousin then left Mother's home and murdered an individual living nearby. Jacksonville police officers responded to the incident and shot fatally the cousin when he resisted arrest.
The children returned to Maryland during the summer of 2009. They lived with Father and his fiancée in Baltimore. At the merits hearing, the parties disputed the intended duration of the children's time with Father in Baltimore in 2009-2010. Mother testified that she permitted the children to live with Father for the 2009-2010 school year only. The hearing judge concluded, however, based on the testimony of non-party witnesses, that the parties agreed to allow the children to live with Father indefinitely.
Father, self-represented at the time, filed a complaint for absolute divorce on 24 March 2010, seeking also sole physical and legal custody of the children. In response, Mother made several attempts, judicially and extra-judicially, to regain control of the children. First, she fabricated a story to dupe Father into sending the children to Georgia. She told Father that a relative of the children was injured mortally in Georgia, and that the relative wanted to see the children before the relative died. Father was skeptical of Mother's claim and refused to allow the girls to leave. Second,
Father obtained counsel. His counsel filed an amended complaint for absolute divorce on 24 May 2010. The amended complaint requested temporary custody of the two children and an injunction against Mother from removing them from Maryland. Mother, self-represented at the time, filed an answer that same day, seeking custody of the girls. On 15 June 2010, Mother secured two pro bono publico attorneys. On 12 July 2010, the Circuit Court appointed a best-interest attorney for the children.
The merits hearing was scheduled for 13-14 December 2010. Prior to the hearing, the hearing judge ordered the Adoption and Custody Unit for the Circuit Court ("ACU") to evaluate the custodial abilities of the parents and to prepare a written custody investigation report. The judge directed that the report be completed by 1 November 2010. The ACU, however, did not complete the report until 3 December 2010. On that date, the ACU mailed to Mother's counsel (and presumably to counsel for Father and the children) a letter stating that the report could be reviewed by visiting the Family Division Clerk's Office in the courthouse. The letter did not elaborate further about the asserted Circuit Court policy or rule regarding access to custody investigation reports generally. Moreover, presumably, as the order directing preparation of the report provided, the hearing judge was sent a copy of the report.
The report totals 164 pages and contains sensitive, personal information about the children, the parties, and the parties' families. The report is divided into two parts, findings and appendices. The findings are spread over 17 pages, but do not reach a conclusory recommendation regarding custody of the children. Rather, the findings summarize ACU-staff interviews with the children, the parties, and the parties' families, as well as recitation of their personal, criminal, health, education, housing, child protective services, and employment histories. The 17 appendices comprise the remaining 147 pages and contain supporting documentation for the findings. The appendices include Maryland Department of Public Safety and Correctional Services records for Mother, Father, and Father's fiancée; school records for the children; mental health records for the children and Mother; peace orders awarded to Father's mother and Father's fiancée against Mother; peace orders award to Mother against Father and Father's fiancée; a guilty plea by Mother in a matter in the Superior Court of Liberty County, Georgia; a Jacksonville police report about the death of Mother's cousin; and, an order of the Circuit Court for Baltimore City removing a child of Mother from another marriage from the "Child in Need of Assistance" ("CINA") program and placing her in Mother's care.
On 13 December 2010, the first day of the divorce and custody hearing, one of Mother's counsel moved in limine to exclude from evidence the custody investigation report or, in the alternative, that the hearing judge provide the parties' attorneys with copies of it. Mother's counsel argued that the application of the Circuit Court policy or "rule" prejudiced his client's case for two primary reasons. First, the policy or rule prevented Mother's counsel from consulting with independent experts in preparation for the merits hearing. Second, the limited time to review and access the custody investigation report prevented Mother's counsel from reviewing the "voluminous" report sufficiently to prepare for the hearing. Specifically, the "rule" limited their ability to prepare Mother to testify and to prepare cross-examination of the author of the report, especially because the report was completed and made "available" only one week before the hearing. Prior to ruling on the motion, the hearing judge asked if Mother's counsel requested a continuance for additional time to review the report. Mother's lead counsel stated, "I don't need a continuance, Your Honor. I need an actual copy of the report."
The hearing judge denied the motion. He explained that the Circuit Court imposes "practical restrictions" on the access to custody investigation reports because of the sensitive information contained in them. He stated further that the burden is on counsel to create time in their hectic schedules to review the report sufficiently, at the Clerk's office, in order to prepare for the hearing. The judge reviewed also the content of the 17 appendices to the report. He observed that most of the documents in the appendices appeared to him to be easy to comprehend and otherwise already in possession of the parties or obtainable elsewhere by them. With regard to being unable to prepare and conduct a thorough examination of the report's author, the hearing judge observed that, "while there is a prohibition on copying the report, there is no prohibition on having the report and using it in the course of the proceedings in the courtroom." The judge granted the parties' attorneys access to the custody investigation report during the hearing for purposes
The decision to limit the attorneys' access to the custody investigation report during the hearing proved, at times, a hindrance to the flow of the proceeding. The scene is reminiscent of the Greek mythological story of three Cyclopes with one eye between them that had to be passed around as needed or desired. Just before Father's attorney commenced her examination of the report's author, the following exchange occurred between the parties' attorneys and the judge:
Additionally, Father's attorney requested the court's indulgence on three occasions while she located specific content in the report, explaining, "It's just that I'm not that familiar with the report." Prior to Mother's cross-examination of the report's author, the hearing judge offered Mother's counsel a brief recess to review the report. Lead counsel declined, stating that his co-counsel would follow along in the report during his examination.
At the end of the testimony of the report's author, Father's attorney moved to have the child custody report entered in evidence. Mother's lead counsel renewed his objection based on not having been given a copy of the report, reiterating the reasons articulated in his pre-hearing objection. He urged further that the report was cumulative, in light of the author's live testimony, thus diminishing the need to submit a document containing "double, triple, and quadruple hearsay." The hearing judge overruled Mother's objection and allowed the report into evidence.
At the conclusion of the hearing, the judge granted a divorce and sole legal and physical custody of the children to Father. The judge observed that Father's testimony was credible and that he provided a stable environment for the children. He observed further that Mother had an "impaired" character; admittedly lied to the court; failed to respond sufficiently to the sexual assault of her child; and attempted to remove surreptitiously the children from Maryland. He required that Mother be consulted by Father about "major decisions involving the children" and that she have access to the children's health and school records. The hearing judge awarded Mother a specific visitation schedule, attuned to holidays and the academic school year.
Mother noted timely an appeal to the Court of Special Appeals. Neither Father's nor the children's best-interest attorneys appealed or cross-appealed, nor filed a responsive brief with that court. Mother argued that the Circuit Court policy or "rule" denying her counsel a copy of the report violated her due process rights.
Mother continues to argue primarily that the Circuit Court policy or "rule" violated her due process rights. Specifically, her counsel's limited access to the custody investigation report denied her the right "to be aware of all of the evidence considered by the trier of fact in making an adjudicatory determination and to have the opportunity to challenge and answer that evidence." Denningham v. Denningham, 49 Md.App. 328, 337, 431 A.2d 755, 760 (1981) (concluding that a judge violated appellant-father's due process rights by denying parties access to the custody investigation report that was admitted later into evidence). Although recognizing that, unlike in Denningham, her counsel had some access to the relevant custody investigation report, Mother maintains that the Circuit Court policy or rule is so restrictive that she was denied effectively the opportunity to review, challenge, and respond to the report in a meaningful manner.
Mother recapitulates the assertedly prejudicial limitations of the policy or rule that she identified at the custody hearing. First, the limited access to the custody investigation report prevented her counsel from reviewing sufficiently the "voluminous" report and appendices. As a result, Mother's counsel could not prepare Mother for her hearing testimony, could not challenge fully the evidence by interviewing witnesses whose statements were incorporated in the report, and could not prepare an exacting cross-examination of the report's author. Further, without a copy of the report, Mother's counsel could not refer to the report during opposing counsel's examination (recalling that the hearing judge permitted only the examining attorney to possess the sole copy of the report during direct examination). Second, the rule prevented Mother's counsel from consulting pre-hearing with possible independent experts. The Circuit Court policy or rule limits attorneys to taking handwritten notes, which, she argues, lack the detail and context necessary for an expert to appreciate what he or she is expected to analyze and perhaps respond critically. See American Psychological Association, Speciality Guidelines for Forensic Psychology, http://www.apa.org/ practice/guidelines/forensic-psychology. aspx (last visited 10 July 2012) (highlighting rules 1.02 and 2.01, which require forensic psychologists to "weigh all data, opinions, and rival hypothesis impartially" and to base their competency on the "preparation and study they are able to devote to the matter"). Mother argues
The Circuit Court and the Court of Special Appeals endeavored to explain why Mother was not prejudiced by application of the policy or rule. The Circuit Court opined that the custody investigation report was comprehensible, without the need for intensive study. The Court of Special Appeals agreed, noting that Mother's counsel declined a continuance to review further the report, indicating, to it at least, that counsel was prepared sufficiently.
One hurdle to issuing a ruling in this case is the dearth of justification in the record for the Circuit Court policy or rule. This absence is significant when the greater context of the law and rules is considered. The report is a "case record," defined as "a document, information, or other thing that is collected, received, or maintained by a court in connection with one or more specific judicial actions or proceedings." Md. Rule 16-1001(c)(1)(A), (e)(3). When sealing or limiting access to a case record, a trial judge must make findings about the interest sought to be protected from inspection, supported by specific findings. Md. Rule 16-1009(d)(2); see also Balt. Sun Co. v. Colbert, 323 Md. 290, 305, 593 A.2d 224, 231 (1991) (citing In re Knight Publ'g Co., 743 F.2d 231, 235 (4th Cir.1984) ("A court ruling on a motion to seal judicial records should articulate the interest sought to be protected by the seal, supported by specific findings.")). When determining whether to preclude or limit inspection of a case record, as was the case here, the trial judge must consider "whether a special and compelling reason exists" to justify restricted access. Md. Rule 16-1009(d)(4)(A). The trial court's final order that precludes or limits inspection of a case record "shall be as narrow as practicable in scope and duration to effectuate the interest sought to be protected by the order." Md. Rule 16-1009(d)(3); see also Colbert, 323 Md. at 306, 593 A.2d at 231. Moreover, the trial court must state why alternatives to sealing or limiting access to the case record were rejected. Balt. Sun v. Thanos, 92 Md.App. 227, 246, 607 A.2d 565, 574 (1992) (discussing requirements
The limited record before us does not illuminate sufficiently the full contours of the Circuit Court policy or rule, its origin, the balancing of the interests sought to be protected by it against competing interests, whether less restrictive alternatives were considered and why they were rejected, and any special or compelling reasons to prohibit the parties' attorneys from receiving a copy of the custody investigation report. Effective review of the Circuit Court policy or rule is not possible given the paucity of the present record. Thanos, 92 Md.App. at 246, 607 A.2d at 574. Therefore, remand to the Circuit Court for supplementation of the record is appropriate. Colbert, 323 Md. at 307, 593 A.2d at 232; Thanos, 92 Md.App. at 246, 607 A.2d at 574.
We observe, without concluding, that the custody investigation report may have been "sealed" effectively or limited by the Circuit Court policy or rule or otherwise subject to nondisclosure under the Maryland Access to Court Records Rules. The Maryland Access to Court Records Rules state that, generally, court records are presumed open to inspection by the public. Md. Rule 16-1002(a). The context of a custody investigation report, however, may trigger exceptions to the presumption of openness. For instance, the report may be unaccessible to the public because the hearing judge, through invocation of the Circuit Court policy or rule, "sealed" it, Md. Rules 16-1005(a)(5) & 16-1006(k), because the report may have touched upon alleged child abuse or neglect and therefore is required by statute to be kept confidential, Md. Rule 16-1006(d), or because the report contains a psychological report about the parties and their children, Md. Rule 16-1006(i)(1)(A), (B).
The above assumption notwithstanding, Mother's counsel may have been entitled to "access" the custody investigation report.
What constitutes an acceptable opportunity to "access" or "review" such a record is not conceptualized so easily. The practice of several other circuit courts around the State
The alternative approaches of the other circuit courts described above, however, seem reasonable and appear to be "as narrow as practicable in scope and duration" to protect the privacy of persons discussed in a custody investigation report, but still allowing a full pre-hearing discovery of relevant evidence. Md. Rule 16-1009(d)(3). These practices enable the parties' attorneys "to be aware of all of the evidence considered by the trier of fact in making an adjudicatory determination and to have the opportunity to challenge and answer that evidence." Denningham, 49 Md.App. at 335, 431 A.2d at 759.
The Circuit Court policy or rule here, by comparison, appears to impede significantly that ability. Counsel for the parties, it seems, could access the report pre-hearing only in the Clerk's office during its public hours, could not make verbatim notes of extensive passages from the report, and could not make or receive copies of the report (or any portion thereof). These limitations curtailed Mother's counsel's ability (and presumably Father's and the children's best-interest counsel as well) to prepare for the merits hearing, review critically the probable evidence contained in the report, or obtain independent expert opinions. For example, the merits hearing transcript suggests that the parties' attorneys were not prepared fully to cross-examine the report's author. At one point, both attorneys requested simultaneously possession of the single available copy of the report. Additionally, counsel received notice that the custody investigation report was completed approximately one week before the hearing. With such a short turnaround, providing the parties' attorneys with a copy or transcript of the custody investigation report could have provided them with a greater opportunity to incorporate the report into their respective preparation. Further, it may be unfair that parties who must pursue their child custody claims in Baltimore City
While the seeming practice of Montgomery, Prince George's, and Harford counties fosters greater pre-hearing access by the parties' attorneys to custody investigation reports, they seem also to safeguard the privacy of the people discussed in those reports. An attorney's unique role as an "officer of the court" diminishes ordinarily, to an acceptable level of risk, the concern that sensitive information in the report will be disseminated more broadly. Maryland attorneys have an enforceable duty to treat sensitive records with care. See Maryland Lawyers' Rules of Professional Conduct (MLRPC) 1.6(a) ("A lawyer shall not reveal information relating to representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation," or permitted by the MLRPC). Further, attorneys are obliged to follow the lawful and considered instructions of the court. Falik v. Hornage, 413 Md. 163, 189-90, 991 A.2d 1234, 1250 (2010) (citing MLRPC 3.4(c));
Although we are wary of the apparent policy or "rule" of the Circuit Court for Baltimore City described to us so far, we are even more wary of issuing a definitive holding, as sought by Mother, on the limited, uncontested appellate record in this case. Therefore, we shall reserve a final ruling until after the case is remanded for supplementation of the record about the Circuit Court policy or rule and, upon return to this Court, the Attorney General's response to our invitation to defend the policy or rule.
BELL, C.J., and ADKINS, J., dissent.
ADKINS, J., dissenting, in which BELL, C.J., joins.
I respectfully dissent from the majority opinion.
There is no question that in this case, the Circuit Court applied a rule limiting access to the custody investigative report, which prohibited counsel from viewing it outside the courthouse or possessing a copy of the report for counsel's use. The record contains a letter from the ACU to
To be sure, the majority's goal to understand the full terms of the Circuit Court's policy, the rationale for adoption, and alternatives considered by the Court, is a laudable one. Perhaps we do not have full appreciation of the Circuit Court's thinking or the experiences with abuses by the parties or attorneys when given such reports. But the majority has not been clear about how the parties should accomplish the proposed "supplementation of the record as to the full contours of the relevant policy or rule, why it exists (if it does), what (if any) alternatives were considered, any written expression(s) of the relevant rule or policy, and its application generally." Maj. Op. at 672, 50 A.3d at 1100-01. Certainly neither party can subpoena the judges who formulated and adopted the rule to testify as to the "full contours" sought by the majority. Moreover, unlike this Court, which has rule-making power and established procedures governing the adoption of rules, including a public hearing, and public records of the hearing as well as the recommendations made to the Court by its Rules Committee, no such power exists in the Circuit Court.
If the majority intends that the Circuit Court should provide some statement and explanation of the rule, either by oral opinion or by providing written documentation of the rule, then the opinion should say so. Absent a directive to that effect, the majority opinion leaves the parties, especially Petitioner, dangling.
If we do not decide the case on the present record, as I think we can, the opinion should direct that we are seeking clarification and explication of the rule or policy by the Circuit Court, and that if the Circuit Court does not provide same, we will decide the issue on the record we have. We certainly have the authority to issue such order. Moreover, often we are faced with a case having a less than desirable record. Normally, we proceed to decide it, allocating the burden of having failed to provide the record to the appropriate party and utilizing presumptions based on that burden. Here, if the record is incomplete regarding the nature of and rationale underlying the policy, it is the Circuit Court's failure, not that of the parties. The procedure adopted by the majority is not only highly unusual, but, in light of the clear application of the restriction with respect to this highly relevant report, is decidedly unfair.