OPINION
This is an appeal from the Kenton Family Court’s January 11, 2011 order terminating the parental rights of appellant, A.C., with regard to her minor son, M.W.C. In the course of our review, we are called upon to determine whether it is proper to extend the briefing procedures of Anders v. State of California,
I. Background
A.C. is the natural mother of M.W.C., a male child born in 1999. On or about January 8, 2009, the Cabinet for Health and Family Services (the “Cabinet”) filed a petition in the Kenton Family Court claiming A.C. abused M.W.C. through the use of excessive discipline and “tasing,” and sought to remove M.W.C. from A.C.’s care. On the same date, the family court committed M.W.C. to the Cabinet’s custody. Soon thereafter the family court adjudicated M.W.C. a dependent child.
The Cabinet filed its petition for involuntary termination of A.C.’s parental rights on March 10, 2010. Following several delays, the Cabinet’s petition came on for trial on December 10, 2010. At trial, Patricia Moore, a licensed clinical social worker, testified that M.W.C. claimed A.C. beat him with a belt; forced him to stand in a squatting position holding cans until his leg shook and buckled; and “tased” him on the arms, back, and legs with a stun gun, causing his body to jerk. M.W.C. explained the stun gun’s electrical buzz disturbed his stepfather, so A.C. would lock M.W.C. and the other children residing in the home in the kitchen and “stun” each child until one admitted to the particular problem A.C. was concerned with at the time. Moore opined these discipline techniques occurred over a substantial period of time. Additionally, the evidence revealed that M.W.C. had witnessed high-intensity arguments between his stepfather and A.C., and that M.W.C. had been treated by several medical and mental health providers since 2006 for suicidal thoughts, depression, and aggressive behavior, yet A.C. failed to consistently provide him with needed therapy and medication. Moore testified that, since M.W.C.’s placement in the Diocesan Catholic Children’s Home, where he remained as of the trial date,
A.C. testified regarding her care of M.W.C. and her current status. A.C. explained that she was living in Ohio and taking classes at a local university. A.C. claimed she was employed at Kohl’s District Center but had never held a job for an extended period of time. A.C. admitted she had no other source of income except for a student loan. A.C. categorically denied M.W.C.’s allegations of abuse. When asked about the facts giving rise to her guilty plea to harassment without physical injury, a Class B misdemeanor, relative to two other children living in her home, A.C. agreed only that she pleaded guilty to “criminal spanking.” A.C. admitted that she had not provided M.W.C. with any essential care items — food, clothing, socks, shoes — since his removal from her care in 2009, but claimed she provided a few things for him during their visits.
Lauren Evans, a social worker with the Cabinet, clarified the services offered by the Cabinet to A.C. Evans explained A.C. failed to cooperate with the Cabinet during its investigation, and described A.C. as resistant to services. Evans testified that A.C. refused to initially complete parenting classes, and failed both to complete a psychological evaluation and to attend Al-
With respect to M.W.C., Evans testified that since his admission to the Diocesan Catholic Children’s Home, his disruptive behavior during school decreased and he received grades of all As and Bs. Evans also observed that M.W.C. is now more friendly, affectionate, trusting, and open to conversation, is able to verbally communicate his feelings, and retains a sense of safety. Evans concluded that M.W.C. is happier and there is a high probability that M.W.C. will be adopted.
Following the hearing, on January 11, 2011, the family court entered findings of fact and conclusions of law, and an order terminating A.C.’s parental rights as to M.W.C. The order also committed M.W.C. to the continued custody of the Cabinet, and vested the Cabinet with the authority to place M.W.C. for adoption.
II. Procedure before the Court of Appeals
A.C. timely appealed the family court’s order. On May 19, 2011, A.C.’s court-appointed counsel filed an appellate brief in which she stated that she is unable to find any meritorious assignment of error to raise on A.C.’s behalf; she requested that this Court independently review the record in accordance with Anders,
Once the time allotted in the June 28, 2011 order passed, the Cabinet filed a Motion to Dismiss and Motion to Advance, claiming A.C. failed to provide this Court with any claims of error and since no party has raised an issue necessitating merit review, no “case or controversy” exists, thereby justifying dismissal of A.C.’s appeal.
III. Applicability of Anders to Termination of Parental Rights Appeals
This case directly presents the question whether Kentucky will apply the principles and procedures of the landmark — and at times controversial
In Anders, the United States Supreme Court addressed “the extent of the duty of a court-appointed appellate counsel to prosecute a first appeal from a criminal conviction, after that attorney has conscientiously determined that there is no merit to the indigent’s appeal.”
[i]f counsel finds his [client’s] case to be wholly frivolous, after a conscientious examination of it, he should so advise the court and request permission to withdraw. That request must, however, be accompanied by a brief referring to anything in the record that might arguably support the appeal. A copy of counsel’s brief should be furnished the indigent and time allowed him to raise any points that he chooses; the court— not counsel — then proceeds, after a full examination of all the proceedings, to decide whether the case is wholly frivolous. If it so finds it may grant counsel’s request to withdraw and dismiss the appeal insofar as federal requirements are concerned, or proceed to a decision on the merits, if state law so requires. On the other hand, if it finds any of the legal points arguable on their merits (and therefore not frivolous) it must, prior to decision, afford the indigent the assistance of counsel to argue the appeal.
Anders,
In 1971, our Supreme Court adopted, albeit indirectly, the Anders principle and began accepting Anders briefs in no-merit appeals in criminal proceedings. Fite v. Commonwealth,
However, we have not yet addressed whether Anders proceedings should be extended to cases outside the criminal context and, particularly, to termination of parental rights matters.
Initially, we must determine whether indigent parents are entitled to appointed counsel on appeal. But for a constitutional or statutory right to appellate counsel, the attorney can simply terminate his or her relationship with the indigent parent and avoid submitting a frivolous appeal to this Court, thus elimi
The United States Supreme Court has found no absolute right to counsel in termination cases under the umbrella of the United States Constitution but instead has held the appointment of counsel need only be made on a case-by-case basis. Lassiter,
While KRS 625.080(3) does not limit appointed representation to trial proceedings, neither does it explicitly allow for appointed counsel during the appellate process. In construing KRS 625.080(3), our purpose “is to give effect to the intent of the General Assembly, and we derive that intent, if at all possible, from the plain meaning of the language the General Assembly chose.” Bowling v. Kentucky Dep’t of Corrections,
This Court has interpreted KRS 625.080(3) as entitling indigent parents to counsel “throughout all [termination] proceedings.” A.P.,
Further, this Court has indicated an attorney who represents an indigent parent on appeal is entitled to a portion of the statutory fees authorized in KRS 625.080(3), provided the fee award has not been exhausted at the trial level. See Commonwealth v. Coleman,
Kentucky Rules of Professional Conduct 1.16 impliedly protects an indigent parent from having to choose between advocacy at trial or on appeal. As the comment to Rule 1.16 stresses, “[a] lawyer should not accept representation in a matter unless it can be performed ... to completion.” Completion presumes seeing the case through an appeal if so desired by the client.
This analysis is no less applicable here and we conclude the Kentucky legislature, by virtue of KRS 625.080(3), intended to provide for the appointment of counsel for indigent parents at all stages of the termination proceedings, including any appeal.
While we have concluded that an indigent parent defending a termination of parental rights action enjoys a statutory right to counsel during the appeal, that right to counsel “does not include the right [of an indigent parent] to bring a frivolous appeal and, concomitantly, does not include the right to counsel for bringing a frivolous appeal.” Smith v. Robbins,
There are three possible answers to this question. First, the attorney could withdraw from representation in reliance on Kentucky Rules of the Supreme Court (SCR) 3.130 (1.16(a)(1)) — “representation will result in violation of the Rules of Professional Conduct[,]” namely, SCR 3.130(3.1), prohibiting pursuit of a frivolous appeal. Second, the court could protect the attorney from sanction for filing a frivolous appeal by ordering her to “continue representation notwithstanding good cause for terminating the representation.” SCR 3.130 (1.16(c)). Third, we could apply the Anders procedure. We find the third option most satisfactory.
Courts in many states have grappled with the issue of Anders’ applicability to appeals in termination cases and, while a split exists among those jurisdictions, most have concluded Anders procedures are appropriate in and extend to appeals from orders terminating parental rights. State ex rel. D.A.G.,
In so concluding, many states reasoned that the nature of the case,
i e., civil rather than criminal, makes no difference in the duties court-appointed counsel owes his or her client. From counsel’s perspective, counsel’s duty to competently and diligently represent the client is exactly the same in a civil appeal from an order terminating parental rights as in an appeal from a criminal conviction. Moreover, in both criminal and termination of parental rights cases, counsel may conclude, after thoroughly and conscientiously examining the case, that a case lacks any nonfrivolous issues for appeal. Despite the civil or criminal nature of the appeal, counsel in such a situation faces the same dilemma of having to diligently represent the indigent client who wants to appeal while still complying with counsel’s other ethical duties as a member of the Bar.
L.C.,
This same dilemma faces Kentucky practitioners. Compare SCR 3.130, Preamble, III (requiring an attorney to “zealously assert the client’s position under the rules of the adversary system”) and SCR 3.130(1.2)(a) (“[A] lawyer shall abide by a client’s decisions concerning the objectives of representation.”) with SCR 3.130(3.1) (“A lawyer shall not knowingly bring or defend a proceeding, or assert or controvert an issue therein, unless there is a basis in law and fact for doing so that is not frivolous.”) and SCR 3.130(3.3) (requiring candor towards the tribunal). Undoubtedly, Kentucky’s Rules of Professional Conduct apply uniformly despite whether the case at issue is civil or criminal in nature. Moreover, if an attorney brings a frivolous appeal, whether civil or criminal in nature, sanctions may be imposed pursuant to Kentucky Rules of Civil Procedure (CR) 73.02(4).
Additionally, courts in Alabama and Ohio recognize there is no practical difference in compelling appointed counsel to “continue with the appeal, thus requiring counsel to raise frivolous issues that the appellate court has to review [as could be done pursuant to SCR 3.130 (1.16(c)) ], and allowing counsel to file an Anders brief
Anders proceedings allow appointed counsel to juggle his or her dual — and at times competing — obligations to both his or her client and the court, while at the same time protecting the indigent parent’s statutory right to counsel. We agree with the Arkansas Supreme Court’s sentiments that Anders procedures provide “a correct balancing of the rights of indigent parents and the obligations of their appointed attorneys.” Linker-Flores,
We are mindful that other states analyzing this issue have reached the opposite conclusion, thereby declining to extend Anders to termination cases. A.L.L. v. People,
Some courts claim Anders’ procedural steps result in an extended briefing schedule. See A.L.L.,
While any delay in the appellate process and resulting permanency of the child is undesired, Anders procedures extend the briefing schedule by at most 30 days to allow the indigent parent to file a pro se brief. This delay is insignificant in the context of the entire termination proceeding and corresponding appellate process. See Linker-Flores,
Other courts claim Anders procedures compromise the appellate court’s role as a neutral decision maker by obliging the court to act as a quasi-advocate for the
Finally, a handful of states have emphasized that “the right of concern in Anders was the federal constitutional right to counsel,” a right which does not extend to indigent parents in termination of parental rights matters. Lassiter,
While we recognize Anders-type proceedings are only required in the criminal context where the indigent defendant enjoys a constitutional right to counsel,
In sum, we are persuaded by the reasoning of the majority of states addressing the issue and agree the “benefits from the Anders protections to the indigent parent’s right to counsel outweigh” any potential harm. Linker-Flores,
We believe it prudent to include a procedural blueprint to assist the bar in cases in which an Anders brief is warranted. Particularly, we are compelled to emphasize that an Anders brief should not be used as an escape provision for a court-appointed counsel whose payments have exhausted, but should only be filed when appointed counsel has conducted a thorough, good-faith review of the record and can ascertain absolutely no meritorious issue to raise on appeal. See Anders,
In accordance with Anders, once counsel has reached the conclusion that the appeal is wholly frivolous, counsel “should so advise the court and request permission to withdraw. That request must, however, be accompanied by a brief referring to anything in the record that might arguably support the appeal.” Anders,
Moreover, the Anders brief must conform with CR 76.12 by including, inter alia, statements regarding whether the argument was preserved regardless of its lack of merit, a thorough recitation of the facts, a concise and well-reasoned analysis of the issues, and appropriate citations to the record and law. See CR 76.12(4). Further, appointed counsel must certify in the Anders brief that counsel provided the indigent parent with a copy of the brief and informed the parent that he or she has a right to file a pro se brief raising any issues the parent deems meritorious. Anders,
Upon receiving counsel’s motion to withdraw and accompanying Anders brief, this Court shall enter an order granting the indigent parent thirty days to file a pro se brief and deferring counsel’s motion to withdraw to the merits panel. The order shall also grant the Cabinet thirty days from the due date of the parent’s pro se brief to file its response. After all briefs are filed, this Court will fully examine the record and decide whether the appeal is wholly frivolous pursuant to Anders,
A decision to terminate parental rights is fact-intensive and requires strict appli
IV. Application of Anders to the Case Sub Judice
In accordance with the standard articulated above, we are obligated to independently review the record and ascertain whether the appeal is, in fact, void of nonfrivolous grounds for reversal. Anders,
In view of our consideration of this case under the standards of Anders and its progeny, the Cabinet’s Motions to Dismiss and to Advance are moot.
V. Conclusion
Based on the foregoing, the Kenton Family Court’s January 11, 2011 order terminating A.C. s parental rights as to M.W.C. is affirmed.
ALL CONCUR.
Notes
. M.W.C. was supposedly transitioning from the Diocesan Catholic Children's Home to private foster care in December of 2010.
. In the same order, the family court also granted the petition to voluntarily terminate the parental rights of G.B., M.W.C.’s natural father. G.B. has not appealed that determination.
. Both the Cabinet and M.W.C's guardian ad litem filed appellees' briefs setting forth the facts of the case, and agreeing with appointed counsel’s estimate that there was no basis for a nonfrivolous appeal.
.As discussed below, Anders procedures require the appellate court to refrain from ruling on a motion to withdraw until the court has reviewed the appellate brief and agreed with counsel's assessment that there are no nonfrivolous arguments for reversal. Penson v. Ohio,
. These motions were initially considered by a different panel of this Court which, like the panel that preceded it, did not consider whether any nonfrivolous arguments could be asserted on A.C.'s behalf. Instead, the motions were properly passed to this merits panel and are decided as part of this opinion.
. Several states — Alaska, Georgia, Hawaii, Idaho, Indiana, Kansas, Maine, Missouri, Nevada, New Hampshire, and North Dakota— have chosen not to adopt Anders procedures at all. Hertz v. State,
. We cite Caldwell and Young not for their precedential value, but to show a continuing pattern in this Commonwealth of allowing Anders briefs in criminal appeals.
. We acknowledge that several unpublished opinions of this Court apply Anders principles to termination of parental rights cases. See L.D. v. Commonwealth, Cabinet for Health and Family Services, No. 2007-CA-000782-ME,
. We cite this unpublished opinion pursuant to Kentucky Rules of Civil Procedure (CR)76.28(4)(c), which provides, "unpublished Kentucky appellate decisions, rendered
. This Court believes that counsel who accepts appointment to represent an indigent parent in a termination case is obligated to see the case through the entire proceeding, including the appeals process, despite the rather meager compensation provided appointed counsel. See KRS 625.080(3) (authorizing a $500 maximum fee for appointed counsel in termination of parental rights cases); K.B.H.,
. In Wisconsin, pursuant to statute, if appointed counsel "concludes that direct appeal on behalf of the [parent] would be frivolous and without any arguable merit within the meaning of Anders " then counsel shall file a "no-merit report” with the appeals court. Wisconsin Statutes Annotated 809.32(1)(a).
. “If an appellate court determines that an appeal or motion is frivolous, it may award just damages and single or double costs to the appellee or respondent. An appeal or motion is frivolous if the court finds that it is so totally lacking in merit that it appears to have been taken in bad faith.” CR 73.02(4).
. In Smith v. Robbins,
