Case Title: IN RE FORMAL ADVISORY OPINION 16-2

Citation: 

Docket Number: 

State: georgia

Court: Georgia Supreme Court

Date: 2017-12-11T00:00:00Z

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In the Supreme Court of Georgia Decided: December 11, 2017 S17U0553. IN RE FORMAL ADVISORY OPINION NO. 16-2. PER CURIAM. In January 2012, this Court approved Formal Advisory Opinion 10-2, which clarified the ethical responsibilities of an attorney serving as both legal counsel and guardian ad litem to a child in a case involving the termination of parental rights. FAO 10-2 interprets and discusses various provisions of the Georgia Rules of Professional Conduct, including Rule 1.14; however, that rule was amended around the same time that FAO 10-2 was approved, and the Formal Advisory Opinion Board determined that the amendment to Rule 1.14 substantively altered the analysis and conclusion of FAO 10-2. On June 14, 2016, the Board issued Formal Advisory Opinion 16-2, which redrafts FAO 10-2 and interprets the amended Georgia Rules of Professional Conduct to address the same issue. FAO 16-2 was filed in this Court on November 10, 2016, see State Bar Rule 4-403 (d), and, on January 18, 2017, we granted the State Bar of Georgia’s petition for discretionary review, see id. After considering the record and the State Bar’s brief, we hereby approve Formal Advisory Opinion No, 16-2, which is attached to this opinion as an appendix.1 Formal Advisory Opinion 16-2 approved. All the Justices concur. 1 FAO 16-2 eliminates language concerning the specific areas of continued confidentiality following the attorney’s withdrawal. Instead, FAO 16-2 simply directs the attorney to “consider Rule 1.6 before disclosing any confidential client information.” The Court notes that in addition to the proposed FAO’s directive to consider Rule 1.6, the attorney should also consider all applicable law, including Rule 1.14(c). STATE BAR OF GOERGIA mm ISSUED BY THE FORMAL ADVISORY OPINION BOARD PURSUANT TO RULE 4-403 ON JUNE 14,2016 FORMAL ADVISORY OPINION NO. 16-2 OUESTION PRESENTED; May an attorney who has been appointed to serve both as legal counsel and as guardian ad litem for a child in a termination of parental rights case advocate termination over the child's objection? SUMMARY ANSWER: When it becomes clear that there is an irreconcilable conflict between the child's wishes and the attomey's considered opinion of the child's best interests, the attorney must withdraw from his or her role as the child's guardian ad litem. OPINION: Relevant Rules This question squarely implicates several of Georgia's Rules of Professional Conduct, particularly. Rule 1.14. Rule 1.14, dealing with an attomey's ethical duties towards a child or other client with diminished capacity, provides that "the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer relationship with the client." Comment 1 to Rule 1.14 goes on to note that "children as young as five or six years of age, and certainly those of ten or twelve, are regarded as having opinions that are entitled to weight in legal proceedings conceming their custody."^'' This question also involves Rule 1.2, Scope of Representation, and Rule 1.7, governing conflicts of interest.Comment 2 to Rule 1.7 indicates that "[Ijoyalty to a client is also impaired when a lawyer cannot consider, recommend or carry out an appropriate course of action for the client because of the lawyer's other competing responsibilities or interests. The conflict in effect forecloses alternatives that would otherwise be available to the client."'^' This situation also implicates Rule 3.7, the lawyer as a witness, to the extent that the guardian ad litem must testify and may need to advise the court ofthe conflict between the child's expressed wishes and what he deems the best interests of the child. Finally, Rule 1.6, Confidentiality of Information, may also be violated if the attomey presents the disagreement to the Court. Statutorv Background Georgia law requires the appointment of an attomey for a child as the child's counsel in a termination ofparental rights proceeding.^'*^ The statute also provides that the court shall additionally appoint a guardian ad litem for the child, and that the child's counsel is eligible to serve as the guardian ad litem unless there is a conflict of interest between the lawyer's duty as an attomey for the child and the lawyer's "considered opinion" ofthe child's best interest as the guardian ad litem.^^' In addition to the child's statutory right to counsel, a child inatermination ofparental rights proceedings also has a federal constitutional right to counsel. Case S17U0553 Filed 11/10/2016 Page 1 of 5 In Georgia, a guardian ad litem's role is "to protect the interests ofthe child and to investigate and present evidence to the court on the child's behalf."^^^ The best interests ofthe child standard is paramount in considering changes or termination of parental custody. See, e.g., Scott v. Scott. 276 Ga. 372, 377 (2003) ("[t]he paramoimt concern in any change ofcustody must be the best interests and welfare ofthe minor child"). The Georgia Court of Appeals held in In re A.P. based on the facts ofthat case that the attorney-guardian ad litem dual representation provided for under O.C.G.A. § 15-11-98(a) (the predecessor to O.C.G.A. § 15-11-262(d)) does not result in an inherent conflict of interest, given that "the fundamental duty of both a guardian ad litem and an attorney is to act in the best interests of the [child]. This advisory opinion is necessarily limited to the ethical obligations of an attorney once a conflict of interest in the representation has already arisen. Therefore, we need not address whether or not the dual representation provided for under O.C.G.A. § 15-11-262(d) results in an inherent conflict of interest.^^^ Discussion The child's attorney's first responsibility isto his orher client.''®^ Rule 1.2 makes clear that an attorney inanormal attorney-client relationship isbound todefer toa client's wishes regarding the ultimate objectives ofthe representation.^"^ Rule 1.14 requires the attorney to maintain, "as far as reasonably possible ... a normal client-lawyer relationship with the [child].An attorney who "reasonably believes that the client cannot adequately act in the client's own interest" may seek the appointment of a guardian or take other protective action. Importantly, the Rule does not simply direct the attorney to act in the client's best interests, as determined solely by the attorney. At the point that the attorney concludes that the child's wishes and best interests are in conflict, the attorney must petition the court for removal as the child's guardian ad litem. The attorney must consider Rule 1.6 before disclosing any confidential client information other than that there is a conflict which requires such removal. If the conflict between the attorney's view ofthe child's best interests and the child's view ofhis or her own interests is severe, the attorney may seek to withdraw entirely under Rule 1.16(b)(3). The attomey may not withdraw as the child's counsel and then seek appointment as the child's guardian ad litem, as the child would then be a former client to whom the former attorney/guardian ad litem would owe acontinuing duty ofconfidentiality.'^ This conclusion is in accord with many other states.'^ For instance, Ohio permits an attomey to be appointed both asa child's counsel and asthe child's guardian adlitem. ^ Ohio ethics mles prohibit continued service in the dual roles when there is a conflict between the attomey's 1 S determination of best interests and the child's express wishes. Court mles and applicable statutes require the court to appoint another person as guardian ad litem for the child.An attomey who perceives a conflict between his role as counsel and as guardian ad litem is expressly instructed to notify the court of the conflict and seek withdrawal as guardian ad litem. This solution (withdrawal from the guardian ad litem role once it conflicts with the role as 91 counsel) is in accord with an attomey's duty to the client. Connecticut's Bar Association provided similar advice to its attomeys, and Connecticut's legislature subsequently codified that position into law.^^ Similarly, inMassachusetts, an attomey representing a child must represent the child's expressed preferences, assuming that the child is reasonably able to make "an adequately considered decision .. . even if the attomey -2- Case S17U0553 Filed 11/10/2016 Page 2 of 5 believes the child's position to be unwise or not in the child's best interest."^^ Even ifachild is unable to make an adequately considered decision, the attorney still has the duty to represent the child's expressed preferences unless doing so would "place the child atrisk ofsubstantial harm."^'^ InNew Jersey, a court-appointed attorney needs tobe"azealous advocate for the wishes oftheclient... unless the decisions arepatently absurd or pose an undue riskof harm." New Jersey's Supreme Court was skeptical that an attorney's duty ofadvocacy could be successfully reconciled withconcern forthe client's bestinterests. Incontrast, other states have developed a "hybrid" model for attorneys inchild custody cases serving simultaneously as counsel for the child and as their guardian ad litem. This "hybrid" approach "necessitates amodified application ofthe Rules ofProfessional Conduct."^ That is, the states following the hybrid model, acknowledge the "'hybrid' nature ofthe role of attomey/guardian ad litem which necessitates amodified application ofthe Rules ofProfessional Conduct," excusing strict adherence to those rules.^' The attorney under this approach is bound by the client's best interests, not the client's expressed interests.^® The attorney must present the child's wishes and the reasons the attorney disagrees to the court. Although acknowledging that this approach has practical benefits, we conclude that strict adherence to the Rules of Professional Conduct is the sounder approach. Conclusion At the point that the attorney concludes that the child's wishes and best interests are in conflict, the attorney must petition the court for removal asthe child's guardian adlitem and must consider Rule 1.6 before disclosing any confidential client information other than that there isa conflict which requires such removal. Ifthe conflict between the attorney's view ofthe child's bestinterests and the child'sview of his or her own interests is severe, the attorneymay seekto withdraw entirely following Rule 1.16(b)(3). 1. Georgia Rules of Professional Conduct, Rule 1.14, Comment 1. 2. Georgia Rulesof Professional Conduct, Rules 1.2,1.7. 3. Georgia Rules of Professional Conduct, Rule 1.7, Comment 4. 4. O.C.G.A. § 15-11-262(b) ("The court shall appoint anattorney for a child inatermination of parental rights proceeding. The appointment shall be made as soon as practicable toensure adequate representation ofsuch child and, in any event, before the first court hearing that may substantially affect the interests of such child"). 5. O.C.G.A. § 15-11-262(d) ("The court shall appoint a guardian ad litem for a child ina termination proceeding; provided, however, that such guardian adlitem may bethesame person asthe child's attorney unless oruntil there isa conflict ofinterest between the attorney's duty to such child as such child's attorney andthe attorney's considered opinion of such child's best interests as guardian ad litem"). 6. Kennv A. v.Perdue. 356 F. Supp. 2d 1353, 1359-61 (N.D. Ga. 2005), rev'don othergrounds, 2010 WL 1558980 (U.S. Apr. 21, 2010). -3- Case S17U0553 Filed 11/10/2016 Page 3 of 5 7. See Padillav. Melendez. 228 Ga. App. 460, 462 (1997). 8. In re A.P.. 291 Ga. App. 690, 691 (2008). 9. See, e.g., Wis. Ethics Op. E-89-13 (finding no inherentconflict of interest with the dual representation of an attorneyand guardianbut concluding that if a conflict does arise based on specific facts, the attorney's ethicalresponsibility is to resignas the guardian). 10. Georgia Rules of Professional Conduct, Rule 1.2. 11. Georgia Rules of Professional Conduct, Rule 1.2, Comment 1. 12. Georgia Rules of Professional Conduct, Rule 1.14. 13. Id 14. Rule 1.16 (b)(3) of the Georgia Rules of Professional Conduct provides that a lawyer may seek to withdraw if "the client insists upon pusuing an objective thatthe lawyer considers repugnant or imprudent." 15. See Rule 1.6(e) ofthe Georgia Rules ofProfessional Conduct. 16. See, e.g.. Wis. Ethics Op. E-89-13, Conflicts of Interests; Guardians (1989) (providing that dual representation as counsel and guardian ad litem is permitted until conflict between the roles occurs, andthentheattorney mustpetition thecourt fora newguardian ad litem); Ariz. Ethics Op. 86-13, Juvenile Proceedings; Guardians (1986) (providing thata "lawyer may serve as counsel and guardian adlitem for a minor child ina dependency proceeding solong asthere is no conflict between the child'swishes and the best interests of the child"). 17. Ohio Board of Comm'rs. on Griev. andDiscipline, Op.2006-5, 2006 WL2000108, at*l (2006). 18. Id at *2. 19. Id 20. Id, quoting Inre Babv Girl Baxter. 17 Ohio St. 3d229, 479 N.E.2d 257 (1985) (superseded by statute on other grounds). 21. Id. See also Baxter. 17 Ohio St. 3dat 232 ("[w]hen anattorney is appointed to represent a person and isalso appointed guardian adlitem for that person, his first and highest duty isto zealously represent his client within the bounds ofthe law and tochampion his client's cause"). 22. See Conn. BarAss'nComm. on Prof. Ethics, CTEth. Op. 94-29, 1994 WL 780846, at *3 (1994); InreTavquon. 821 A.2d 796, 803-04 (Conn. App. 2003) (discussing revisions to Conn. Gen. Stat. § 46b-129a). 23. S^ Mass Comm. For Public Counsel Servs., Performance Standards. Standard 1.6(b), at 8- 10, available at http://www.publiccounsel.net/private_counsel_manual/private_counsel_manual_pdf/chapters/ch apter_4_sections/civil/trial_panel_standards.pdf; Seealso In re Georgette. 785 N.E.2d 356, 368 (Mass. 2003). -4- Case S17U0553 Filed 11/10/2016 Page 4 of 5 24. Mass Comm. For Public Counsel Servs., Performance Standards. Standard 1.6(d) at 11. 25. In re Mason, 701 A.2d 979, 982 (N.J. Super. Ct. Ch. Div. 1997) (internal citations omitted). 26. See Inre M.R.. 638A.2d 1274, 1285 (N.J. 1994). 27. See Clark v. Alexander. 953 P.2d 145, 153-54 (Wyo. 19981: Inre Marriage of Rolfe. 216 Mont. 39,51-53, 699 P.2d 79, 86-87 (Mont. 1985); In re Christina W.. 639 S.E.2dat 111 (requiring theguardian to give thechild's opinions consideration "where thechild has demonstrated an adequate level ofcompetency [but] there isno requirement that the child's wishes govern."); see also Veazev v. Veazev. 560 P.2d 382, 390 (Alaska 1977) ("[l]t is equally plain that the guardian is not required to advocate whatever placement might seem preferable to a client oftender years.") (superseded bystatute onother grounds); Alaska Bar Assn Ethics Committee Op. 85-4 (November 8, 1985)(concluding that duty ofconfidentiality ismodified in order to effectuate the child's best interests); Utah State Bar Ethics Advisory Opinion Committee Op. No. 07-02 (June 7, 2007) (noting that Utah statute requires aguardian ad litem to notify the Court ifthe minor's wishes differ from the attorney's determination ofbest interests). 28. Clark. 953 P.2datl53. 29. Id 30. Id 31. Id at 153-54; Rolfe. 699 P.2d at 87. -5- Case S17U0553 Filed 11/10/2016 Page 5 of 5