D.A.S., Petitioner, v. The PEOPLE of the State of Colorado, Respondent. In the Interest of O.J.S., A.S.S., and D.A.S., Jr., Children.
No. 92SC646
Supreme Court of Colorado, En Banc.
Nov. 15, 1993
Rehearing Denied Dec. 6, 1993.
863 P.2d 291
Chief Justice ROVIRA delivered the Opinion of the Court.
v.
The PEOPLE of the State of Colorado, Respondent.
In the Interest of O.J.S., A.S.S., and D.A.S., Jr., Children.
No. 92SC646.
Supreme Court of Colorado, En Banc.
Nov. 15, 1993.
Rehearing Denied Dec. 6, 1993.
Daniel E. Muse, City Atty., Laura Grzetic Eibsen, Asst. City Atty., Denver, for respondent.
Allen B. Alderman, Denver, guardian ad litem, for the children.
Chief Justice ROVIRA delivered the Opinion of the Court.
In this appeal, D.A.S. (the mother) contends that the court of appeals erred in affirming the judgment of the juvenile court which terminated her parental relationship with her children (O.J.S., A.S.S., and D.A.S., Jr. (Jr.)).1 The mother argues that reversal is necessary because the testimony of a psychologist and his report were admitted into evidence at the termination hearing in violation of the attorney-client privilege. We affirm.
I
On April 29, 1987, the Colorado Department of Social Services (department) filed a dependent or neglected children petition with the City and County of Denver juvenile court on behalf of Jr. The petition alleged that Jr. had been placed in a shelter by Denver Police Department personnel after the staff at the United Cerebral Palsy Center, a therapeutic preschool attended by Jr., noticed severe bruising on his back, buttocks, and thighs as well as bruising on his ear and cheek. The petition stated that termination of the parent-child relationship may be a possible remedy should the petition be sustained by the juvenile court.
The juvenile court appointed a guardian ad litem to represent Jr. and accepted the mother‘s admission that his home environment was injurious to his welfare. The court sustained the petition and adjudicated Jr. a dependent and neglected child. Jr. then was placed in the department‘s custody and began residing in a foster care home. A dispositional hearing was set for May 29, 1987, at which time a treatment plan for the mother was adopted by the court.
On September 23, 1987, the department filed a dependent or neglected children petition with the juvenile court concerning O.J.S. and A.S.S. in order to bring the two children under the court‘s jurisdiction. The court sustained the petition and adjudicated O.J.S. and A.S.S. dependent and neglected children. The court adopted the same treatment plan as the one that earlier was adopted, with the additional requirement that the mother maintain a stable source of income.
On October 12, 1987, O.J.S. and A.S.S. sustained second and third degree burns in a fire that broke out in the apartment they
In November 1989, the department moved to terminate the parent-child legal relationship among both parents and their three children. The department alleged that both the mother and father failed to comply with the treatment plan, they were unfit as parents, the treatment plan had been unsuccessful at rehabilitating the parents, and the parents’ conduct was unlikely to change within a reasonable time.
Thereafter, the mother requested the trial court to appoint Dr. Richard Spiegle, a clinical psychologist, as her independent expert witness pursuant to
At trial, the mother elected neither to call Spiegle as a witness nor submit his report into evidence. The guardian ad litem, however, sought to call Spiegle to testify and introduce his report into evidence. The mother objected. Relying on B.B. v. People, 785 P.2d 132 (Colo. 1990), she argued that the attorney-client privilege protected the testimony and report from disclosure.
The court admitted both the testimony and the report, concluding that B.B. was inapposite and that the children‘s involvement in the evaluation either negated any attorney-client privilege that might have existed or created an equal privilege in the children which only they could waive. Based on this and other evidence, the court terminated both the mother‘s and the father‘s parental relationship with their three children. Both parents appealed and the cases were consolidated.
The court of appeals affirmed, reasoning that the presence of the children at the parent-child interactional evaluation, the knowledge of the mother‘s attorney that the interactional evaluation would be undertaken, and the provisions of
The mother appeals arguing that (1) the attorney-client privilege attached to the testimony of Spiegle and the report prepared by him and (2) the request for and participation in the parent-child interactional evaluation did not amount to a waiver of the attorney-client privilege.
II
The mother claims a blanket privilege for all of the testimony of Spiegle and all of the information contained in his written report. As stated in her objection at trial, she invoked the “attorney-client privilege ... and object[ed] to [the] testimony of Dr. Spiegle and introduction of the report into evidence.” It is important to note at the outset, however, that the privilege asserted
In short, much of the information to which the mother claims the attorney-client privilege has nothing to do with “communications made by the client to him [Spiegle].”
Recognizing that the privilege asserted by the mother does not extend to all of the challenged testimony and conclusions of Spiegle, we turn to the narrower question of whether any of Spiegle‘s testimony or written conclusions are protected from disclosure under the attorney-client privilege. For the reasons that follow, we conclude that they are not.
A
The mother argues that the court of appeals erred in not applying the holding of B.B. to the facts of this case. She acknowledges that the burden of establishing the applicability of the attorney-client privilege rests with the claimant of the privilege, Clark v. District Court, 668 P.2d 3, 8 (Colo. 1983), but asserts that this burden was met by her reliance on B.B. v. People, 785 P.2d 132 (Colo. 1990).
In B.B. v. People, 785 P.2d 132 (Colo. 1990), we considered “whether a privilege exists between an indigent parent and an expert witness appointed by the court at the request of the parent under section 19-11-107(1), enabling the parent to prevent the expert from testifying on behalf of the People at the termination hearing.” Id. at 133. After examining the need to provide a parent who faces termination of the parent-child legal relationship with fundamentally fair procedures as well as the underlying purposes of the attorney-client privilege, id. at 138-39, we concluded that “when an expert is appointed under
Here, the mother‘s motion for a court appointed expert under
The mother maintains, however, that her communications with Spiegle should be considered confidential irrespective of the presence of the children and in spite of the fact that the report had been distributed to all counsel prior to trial. The basis for this argument is the generally recognized rule that, although the presence of a third person ordinarily destroys the confidentiality required to assert the attorney-client privilege, that destruction “does not always occur when a person other than client and lawyer becomes a party to the communication if that person is needed to make the conference possible.” 2 Jack B. Weinstein et al., Weinstein‘s Evidence 503(a)(4)[01] (1993). This exception has been applied in numerous contexts, all of which are factually distinguishable from the situation presented here.
For example, the presence of a third party has been found not to defeat the requirement of intended confidentiality where “the help of an interpreter is necessary to enable the client to consult the lawyer,” or in cases “where the client has one of his agents attend the conference, or the lawyer calls in his clerk or confidential secretary.” John W. Strong et al., McCormick on Evidence § 91 at 334-35 (4th ed. 1992). We are aware of no authority, however, where this exception has been found applicable when a party that is represented by independent counsel is the third party who is present during the communications at issue. Thus, while we acknowledge that the presence of third parties does not necessarily negate a finding of intended confidentiality if the presence of that party is necessary for the consultation to occur, given the fact that the children themselves are parties to this action and represented by counsel, we believe that the mother could not have had a reasonable expectation that her communications with Spiegle would be confidential.
Moreover, even assuming that this exception to the general rule is applicable when the third person who is privy to the communication is also a party to the litigation, we conclude that the mother has failed to establish, and the record does not support the
The only testimony at trial concerning the reasons why the presence of the children was needed was that in Spiegle‘s opinion, conducting a parent-child interactional evaluation was an “appropriate” procedure for determining the mother‘s fitness as a parent, and a procedure which was “standard” for Spiegle to conduct. The record is devoid of any evidence which establishes that a parent-child interactional evaluation is necessary in order for a court appointed expert to properly assist in mounting an effective defense against a possible termination of the parent-child legal relationship, and Spiegle‘s testimony establishes only that such an evaluation was considered by him to be appropriate and one he routinely utilized. Consequently, we reject the mother‘s argument that the presence of the children did not violate the requirement that communications be confidential in order for the attorney-client privilege to attach.
We conclude, therefore, that the attorney-client privilege did not attach given the fact that: (1) much of the information to which the privilege is claimed did not fall within the scope of that privilege; (2) the mother‘s attorney knew, prior to appointment of Spiegle, that a parent-child interactional evaluation would likely be conducted; (3) no request was made to forego that evaluation; (4) the children participated in Spiegle‘s evaluation of the mother and themselves; (5) the children‘s participation in the evaluative process was not required in order to make Spiegle‘s evaluation possible; and (6) Spiegle‘s report had been disseminated to opposing counsel prior to trial.
Accordingly, we reject the mother‘s contention that the court of appeals erred in affirming the juvenile court‘s ruling that the attorney-client privilege did not attach to the testimony and report of Spiegle.
JUDGMENT AFFIRMED.
LOHR, J., dissents.
KIRSHBAUM and SCOTT, JJ., join in the dissent.
Justice LOHR dissenting:
The majority holds that the testimony and report of a psychologist appointed as an expert witness by the court pursuant to
I.
In proceedings in the Juvenile Court of the City and County of Denver, on the petition of the Denver Department of Social Services (department), the court adjudicated three minor children, the oldest of whom was three years of age, to be dependent and neglected with respect to both their parents and adopted treatment plans in an effort to remediate the deficiencies in the care of the children. The department later moved to terminate the parental rights of both parents with respect to the children, alleging, among other things, that the parents had failed to comply with the treatment plans.
In order to assist her in preparation for the termination hearing, the mother, who was indigent and represented by appointed counsel, moved for the appointment of Dr. Richard Spiegle, a clinical psychologist, as an expert witness of her own choosing pursuant to
At the termination hearing, the mother did not call Dr. Spiegle as a witness nor did
II.
The majority holds, first, that much of the information as to which the mother claimed the attorney-client privilege was not within the scope of that privilege and, second, that the privilege is inapplicable in any event because the mother participated without objection in an interactional evaluation session involving the three children. The presence of the three young children, the majority holds, destroyed the confidentiality required to assert the attorney-client privilege and thus abrogated any privilege that might otherwise have existed. I disagree with both holdings on which the majority bases its rejection of the mother‘s claim of privilege in this case.
A.
I first address the majority‘s holding that the attorney-client privilege that arises between a parent and an expert witness appointed to represent the parent under
In order to provide such procedures, and in recognition of the severity of the consequence of termination of parental rights, the General Assembly adopted the Parent-Child Legal Relationship Termination Act of 1987 (the Act),
We observed in B.B. that an indigent parent facing termination of parental rights is disadvantaged by the inability to hire expert assistance, whereas the state has resources at its disposal to prepare its
An attorney shall not be examined without the consent of his client as to any communication made by the client to him or his advice given thereon in the course of professional employment; nor shall an attorney‘s secretary, paralegal, legal assistant, stenographer, or clerk be examined without the consent of his employer concerning any fact, the knowledge of which he has acquired in such capacity.
In Miller v. District Court, 737 P.2d 834 (Colo. 1987), we recognized that the privilege extends to communications between the client and agents of the attorney and that “a psychiatrist retained by defense counsel to assist in the preparation of the defense is an agent of defense counsel for purposes of the attorney-client privilege.” Id. at 838. In B.B. we held that the reasoning of Miller applies as well to parental rights termination proceedings. We stated:
Were the attorney-client privilege not applicable to the present case, an indigent parent would be presented with a dilemma. The parent either could forego the assistance of an expert, with a resulting impairment of the parent‘s ability to evaluate and counter the People‘s evidence, or could obtain appointment of an expert, and run the risk that the expert would obtain information and form opinions adverse to the parent‘s interest and that the People could then elicit the expert‘s testimony to support their own case. To put the parent to such a choice would defeat the very purpose of
section 19-11-107(1) —to enable an indigent parent to obtain assistance from an expert of the parent‘s own choosing at state expense in preparing a defense against the People‘s efforts to terminate the parent-child relationship.
The majority, however, confines the holding of B.B. to communications between the mother and the psychologist and holds that opinions of the psychologist based on “observations of and conclusions regarding the children themselves,” op. at 294, and their interaction with their mother are outside the pale of the privilege. This cramped reading of B.B. ignores its philosophical underpinnings and seriously erodes the protections it was intended to provide to indigent parents facing the loss of a fundamental liberty interest in the care, custody, and management of their children. The essential purpose of B.B., and of Miller, is to provide the indigent person with expert advice and assistance on issues central to the case and minimize the adverse effect of the disparity in the resources available to the state and to the person for whom the expert assistance is made available. In order to effectuate this purpose, I would hold that the confidential “communications” protected under our holding in B.B. consist not only of verbal communications but of all information provided by the parent to the expert that the expert reasonably requests in order to accomplish a full and effective evaluation relevant to the issues in a termination of parental rights proceeding. Information obtained by observing the interaction of the parent and children is easily encompassed within the scope of the privilege by application of that standard.
B.
The majority goes on to hold, more broadly, that the participation of the children in the interactive evaluation, a part of the evaluative process that the mother‘s attorney knew in advance to be likely, prevented the attorney-client privilege from arising because it destroyed the confidentiality required to assert that privilege. I disagree.
Legally, the majority‘s analysis is flawed as well. The majority concedes that destruction of confidentiality “does not always occur when a person other than client and lawyer becomes a party to the communication if that person is needed to make the conference possible.” Op. at 295 (quoting 2 Jack B. Weinstein et al., Weinstein‘s Evidence § 503(a)(4)[01] (1993)). It rejects the application of that principle to the presence of the children at the interactive evaluation on two bases. First, the children were represented by counsel. Op. at 295. Second, “the record does not support the finding, that the presence of the children was necessary to make Spiegle‘s evaluation possible.” Id. I fail to grasp the significance of the children‘s representation by counsel. Nothing in the record suggests that the children‘s counsel requested access to the doctor‘s report or to be advised of his findings or in any way objected to participation of the children in a confidential interactive evaluation. As to the majority‘s conclusion that the presence of the children was not necessary, it imposes an inappropriately high standard. As the majority concedes, there is evidence that conducting a parent-child interactive evaluation was an ” ‘appropriate’ procedure for determining the mother‘s fitness as a
In further support of its determination that no confidentiality was intended, the majority notes that Dr. Spiegle‘s report was provided to all counsel involved in the termination proceeding prior to its admission at trial. The majority states that dissemination of the report, presumably by Dr. Spiegle himself, “strongly suggests that, at least as far as Spiegle was concerned, the report prepared by him was not intended to be treated as confidential.” Op. at 295. Dr. Spiegle‘s post-analysis actions, however, cannot be read as evidence of an intention on the part of the mother not to hold the communications confidential. The attorney-client privilege is personal with the client and thus may be waived only by the client herself. Losavio v. District Court In and For Tenth Judicial District, 188 Colo. 127, 132-133, 533 P.2d 32, 35 (1975). The burden of establishing a waiver is on the party seeking to overcome the claim of privilege. Clark, 668 P.2d at 8. Waiver of the privilege must be established by evidence showing that the privilege holder herself has expressly or impliedly forsaken her claim of confidentiality with respect to the information in question. Id. There is no evidence in the record that the mother authorized or assented to distribution of the report. In
III.
Finally, I believe it necessary to address that portion of the court of appeals’ opinion relying in part on
The guardian ad litem shall be provided with all reports relevant to a case submitted to or made by any agency or person pursuant to this article, including reports of examination of the child or persons responsible for the neglect or dependency of the child....
The reports referred to in
Attorneys are not among the classes of persons required by
The incident of privileged communication between patient and physician, between patient and registered professional nurse, or between any person licensed pursuant to article 43 of title 12, C.R.S. [concerning licensure of mental health professionals], or certified school psychologist and client, which is the basis for a report pursuant to
section 19-3-304 , shall not be a ground for excluding evidence in any judicial proceeding resulting from a report pursuant to this part 3....
No section within the Child Protection Act evinces an intent to abrogate the attorney-client privilege. To hold otherwise would obliterate the privilege recognized in B.B. The reliance by the court of appeals on
For all of the above reasons, I respectfully dissent.
KIRSHBAUM and SCOTT, JJ., join in this dissent.
