In re DARIUS G., a Minor (The People of the State of Illinois, Petitioner-Appellee, v. Tracie G., Respondent-Appellant)
No. 2-10-0685
Second District
December 15, 2010
739 941 N.E.2d 192 | 346 Ill. Dec. 270 | 406 Ill. App. 3d 727
For the preceding reasons, the judgment of the circuit court of Lake County is affirmed.
Affirmed.
HUTCHINSON and SCHOSTOK, JJ., concur.
Tricia L. Smith, of Law Office of John H. Maville, of Belleville, for appellant.
Joseph P. Bruscato, State‘s Attorney, of Rockford (Lawrence M. Bauer and Scott Jacobson, both of State‘s Attorneys Appellate Prosecutor‘s Office, of counsel), for the People.
PRESIDING JUSTICE JORGENSEN delivered the judgment of the court, with opinion.
Justice McLaren concurred in the judgment and opinion.
Justice Hutchinson dissented, with opinion.
OPINION
Respondent, Tracie G., appeals the trial court‘s June 30, 2010, order terminating her parental rights to minor Darius G.1 Respondent argues on appeal that she received ineffective assistance of counsel and that the trial court‘s findings that she is unfit and that termination is in Darius‘s best interest are contrary to the manifest weight of the evidence.
For the following reasons, we agree with respondent‘s contention that she received ineffective assistance of counsel resulting from a per se conflict of interest when, during these proceedings, the same attorney from the public defender‘s office appeared on her behalf at one hearing but then subsequently appeared on Darius‘s behalf at another hearing. Accordingly, we reverse and remand.
I. BACKGROUND
A. Shelter Care and Permanency Review Hearings
On December 4, 2007, the State petitioned the trial court to find Darius a neglected minor under sections 2-3 and 2-4 of the
On December 12, 2007, respondent appeared for a shelter-care hearing, and the court appointed Robert Simmons of the public defender‘s office to represent her. Respondent provided the court with the identity of Darius‘s father, was advised by the court of the pending petition, and waived her right to the shelter-care hearing. Darius was placed in traditional foster care.
On March 20, 2008, respondent stipulated to the neglect petition. Darius was represented by Kristin Anderson (the reason for the change in attorneys is unclear from the record, but it appears that she, too, was a “conflicts” attorney), who agreed with the stipulation. The court accepted the stipulation, finding that a factual basis supported it. The court adjudicated Darius a neglected minor, and custody and guardianship remained with DCFS.
Thereafter, a series of permanency-review hearings were held to assess whether respondent was making reasonable progress toward the goal of returning Darius home to her care. At the first hearing, on September 8, 2008, respondent‘s former counsel, Simmons, appeared on behalf of Darius‘s father. Respondent‘s new counsel was Matthew Jura. Darius was represented by Kristin Anderson. Throughout the remaining permanency-review hearings, Darius was represented by Anderson while respondent was represented by Jura (March 10, 2009) and Erin Buhl (September 1 and October 20, 2009). (On September 29, 2009, Shannon Reeves-Rich requested on Buhl‘s behalf a continuance, which was granted.)
In sum, the evidence from these hearings reflected that respondent initially made reasonable progress but later attended only half of her scheduled visits with Darius (sometimes missing without explanation), was evicted from her apartment, was discharged from counseling for
B. Termination of Parental Rights
On November 24, 2009, the State petitioned for termination of parental rights and power to consent to an adoption, arguing that termination was appropriate because, pursuant to the
That same day, respondent appeared before the court for arraignment on the petition. Respondent was represented by Mike Herrmann. Anderson continued to represent Darius. The court informed respondent of the petition‘s allegations, the bifurcated nature of the proceedings (unfitness followed by best interest), the State‘s burden of proof, and respondent‘s right to counsel and to present evidence on her own behalf. Thereafter, the parties discussed locating Darius‘s father so that he could be served with the petition.
A brief hearing was held on December 18, 2009. At that hearing, respondent was again represented by Buhl, not Herrmann.
However, at the next substantive hearing, the pretrial conference held on February 19, 2010, Herrmann reappeared, although he no longer represented respondent. Instead, he appeared on Darius‘s behalf. No explanation was provided for why Herrmann replaced Anderson as Darius‘s attorney. Respondent was present and Buhl appeared on her behalf. As it was the father‘s first appearance, the trial court arraigned him on the petition to terminate parental rights. Afterwards, the trial date was scheduled. Nothing else of substance happened at this hearing.
On March 19, 2010, at a brief appearance before the court on a discovery status, respondent was again represented by Buhl and Darius was again represented by Anderson. Herrmann did not appear.
Immediately thereafter, a hearing commenced on the best-interest portion of the State‘s petition. In sum, the State argued that it would be in Darius‘s best interest for respondent‘s parental rights to be terminated. Again, Arnquist agreed. On June 30, 2010, the court found that it was in Darius‘s best interest that respondent‘s parental rights be terminated. Respondent appeals.
II. ANALYSIS
Respondent argues first that she was denied effective assistance of counsel because Herrmann represented both her and Darius at different times during the proceedings. In juvenile proceedings, ineffective-assistance-of-counsel claims are considered under the same standard as that applied in criminal proceedings; namely, that, to establish ineffective assistance, one must show both that counsel‘s representation fell below an objective standard of reasonableness and a reasonable probability that, but for the error, the result would have been different. In re S.G., 347 Ill. App. 3d 476, 479 (2004). Here, however, respondent argues that she need not establish any prejudice to succeed on her ineffective-assistance claim because, when the same attorney represents opposing parties in the course of the same litigation, a per se conflict of interest arises and prejudice is presumed. Respondent argues that such representation is per se ineffective and that her right to privileged and confidential communication with Herrmann was violated when, after representing her, he appeared on Darius‘s behalf.
The State disagrees that this situation presents a per se conflict of interest. The State notes that the case law enumerating per se conflicts of interest has been developed in the criminal-law context, where the adversarial nature of the proceedings has a fundamental impact on constitutional due process protections. Here, the State notes, proceedings under the
Although respondent did not raise this issue before the trial court, forfeiture is a limitation on the parties, not the reviewing court. In re D.F., 208 Ill. 2d 223, 239 (2003). Here, we relax the forfeiture rule to: address a plain error affecting the fundamental fairness of a proceeding (see In re Jay. H., 395 Ill. App. 3d 1063, 1067 (2009)); maintain a uniform body of precedent (see Dillon v. Evanston Hospital, 199 Ill. 2d 483, 505 (2002)); and reach a just result (see In re D.F., 208 Ill. 2d at 239).
We review de novo the question of whether counsel‘s representation constituted a per se conflict of interest. People v. Miller, 199 Ill. 2d 541, 544 (2002). As the State correctly notes, the per se conflict-of-interest inquiry originated in criminal law and is based upon a criminal defendant‘s sixth amendment right to effective assistance, i.e., conflict-free representation. People v. Hernandez, 231 Ill. 2d 134, 142 (2008). A per se conflict arises when a defense attorney has ties to a person or entity that would benefit from an unfavorable verdict for the defendant, because the attorney‘s knowledge that his or her other client‘s favorable result would conflict with the defendant‘s interest “might ‘subliminally’ affect counsel‘s performance in ways [that are] difficult to detect and demonstrate.” Id. at 142-43. In the criminal context, our supreme court has identified three per se conflicts requiring reversal: (1) defense counsel has a prior or contemporaneous association with the victim, the prosecution, or an entity assisting the prosecution; (2) defense counsel contemporaneously represents a prosecution witness; or (3) defense counsel is a former prosecutor who had been personally involved in the defendant‘s prosecution. Id. at 143-44. The “threshold inquiry in any conflict-of-interest case is whether, in fact, defense counsel represented or represents a party with conflicting interests to those of the defendant.” People v. Graham, 206 Ill. 2d 465, 472 (2003).
The State argues that none of the three circumstances identified above exists here, but it concedes that two appellate court opinions have applied the per se conflict analysis outside the criminal context and, specifically, in cases involving termination of parental rights: In re D.B., 246 Ill. App. 3d 484, 492 (1993) (no per se conflict established), and S.G., 347 Ill. App. 3d at 481 (per se conflict established). The State
First, we note that, to the extent the State suggests that a parent‘s right to counsel in a termination case — a right derived from the
Second, to address the State‘s argument that S.G. and D.B. should not apply here, we summarize their holdings. In S.G., the trial court appointed an attorney (an assistant public defender) as guardian ad litem for the minors. The attorney represented the minors for a total of two months and appeared at one hearing where he cross-examined a State witness. After that hearing, with no reason for the change appearing in the record, the trial court vacated the attorney‘s appointment as guardian ad litem and instead appointed him to represent the mother. The attorney represented the mother for the next four years. Although the record did not reflect that the attorney represented the mother in anything but a “competent and dedicated manner with complete loyalty,” the appellate court agreed with the mother that the fact that he had first represented her children in the same proceedings created a per se conflict. S.G., 347 Ill. App. 3d at 481.
Specifically, the court noted that it was uncontested that the attorney represented parties with adverse objectives at different times in the same proceedings; the State did not disagree that the mother‘s interest and the minors’ interests were diametrically opposed (the mother sought to retain her custody and parental rights, while the State, DCFS, and the guardian ad litem advocated otherwise). Id. The
The S.G. court further rejected the State‘s reliance on D.B., which had found no per se conflict where the mother‘s attorney, who had previously served as the minor‘s guardian ad litem, did not simultaneously represent the minor and the mother, and the mother continued the attorney‘s representation after he informed her that he had represented the minor but did not think that there would be a conflict of interest. D.B., 246 Ill. App. 3d at 492. The S.G. court declined to follow D.B. because it disagreed that only simultaneous representation can create a per se conflict of interest and because nothing in the record revealed any consultation between the attorney and the mother about the potential for a conflict or a knowing waiver of the potential conflict. S.G., 347 Ill. App. 3d at 482.
We similarly conclude that D.B. does not control here. Like the court in S.G., we see nothing in the record reflecting that respondent was informed of a conflict of interest or waived her right to conflict-free representation. Further, we disagree with D.B.‘s conclusion that only simultaneous representation can create a per se conflict of interest. Clearly, a per se conflict would exist if, for example, the assistant State‘s Attorney assigned to petition for the termination of a respondent‘s parental rights left that office and was later appointed in the same proceedings to represent the respondent. See People v. Kester, 66 Ill. 2d 162, 167-68 (1977) (per se rule applied in criminal context where appointed defense counsel had previously appeared in same proceeding as assistant State‘s Attorney). Obviously, such representation is not simultaneous, but any off-the-record opinion the attorney may have developed about the respondent in his or her prior representation of the State might affect his or her ability to represent the respondent with “undivided loyalty.” In re Lackey, 71 Ill. App. 3d 705, 707 (1979) (right to effective assistance of counsel entitles parent to “undivided loyalty” of his or her attorney).
First, unlike in S.G., Herrmann appeared on respondent‘s behalf and then appeared on Darius‘s behalf. A conflict and resulting prejudice are clear if an attorney represents the child first, possibly forming the opinion that it would be in the child‘s best interest for the respondent‘s rights to be terminated, and then the same attorney in the same proceedings represents the respondent. In contrast, the prejudice to respondent here is less obvious. Is respondent‘s right to conflict-free representation prejudiced if Herrmann no longer represents her? We conclude that it is.
We consider that off-the-record confidential communications between respondent and Herrmann likely occurred, that, in those conversations, Herrmann likely learned information that he would not otherwise have learned, and that he might have, in his interactions with respondent, formed an opinion of her that he would not otherwise have had the opportunity to formulate. Certainly, it is reasonable to presume that, as respondent‘s counsel, Herrmann at a minimum interviewed her and reviewed her file. As such, if Herrmann concluded from this confidentially gleaned information that respondent was unfit or that her rights should be terminated, he was subsequently placed in the unique position of being able to use this information when he represented Darius.2 In contrast, if Herrmann represented only respondent, his obligation would have been to advocate only for
Notes
Our second consideration regarding whether to apply the per se rule in this case arises from the limited nature of Herrmann‘s representation. In our view, if there is a spectrum upon which scenarios suggesting conflict might be measured in cases of dual, non-
The point, as previously discussed, is that the per se nature of the conflict rule makes irrelevant the length or nature of the representation, and it necessarily includes situations where prejudice might be impossible to establish. Indeed, in S.G., the attorney, after representing the minor, represented the mother for four years with no signs in the record of anything but competent, dedicated, and completely loyal representation. S.G., 347 Ill. App. 3d at 481. Nevertheless, the brevity of the attorney‘s representation of the minor did not preclude application of the rule or alter the fact that the rule‘s purpose is to protect against what is not reflected in the record. Id. Similarly, the court in Hernandez, rejecting the State‘s argument that the attorney did not have an active relationship with the party who created the conflict, stated, “the very nature of a per se conflict rule precludes inquiry into the specific facts of a case.” Hernandez, 231 Ill. 2d at 150. The court cited other cases where the attorney‘s status alone engendered the conflict and inquiries into the degree or extent of the representation were unnecessary. Id. at 151. Further, the court held that “active representation” was simply unnecessary, and that conflicts may arise from counsel‘s “‘prior or current’ or ‘previous or current‘” association, relationship, commitment, professional connection, or “‘some tie‘” with both the “victim” and the defendant. Id. Accordingly, here, Herrmann‘s limited appearance and his failure to perform on the record any obviously prejudicial representation are irrelevant to a finding of a per se conflict.
Our third consideration in deciding whether to apply the per se conflict rule is that, as the State points out, the rule originated in criminal law and in relation to constitutional protections and, therefore, might not perfectly fit the unique three-party termination proceedings contemplated by the
We also note that, while the shared goal in juvenile proceedings is to serve the child‘s best interest, what that best interest is often depends on whose perspective is being considered. Here, as in S.G., the State and the guardian ad litem (although not Herrmann, at least not on the record) agreed that it was in Darius‘s best interest that respondent‘s rights be terminated — a position diametrically opposed to respondent‘s. Thus, competing positions clearly may exist within the unified goal of best interest.
In sum, we find S.G.‘s reasoning sound and see no compelling reason to depart from its conclusion. From a pragmatic standpoint, we agree with S.G. that the better rule is to find that Herrmann‘s representation of both respondent and Darius in these termination proceedings created a per se conflict. As stated by the court in Hernandez, “[a]pplication of the per se rule is not unworkable but rather straightforward and simple.” Hernandez, 231 Ill. 2d at 147. A clear rule better informs attorneys that, while multiple attorneys from the public defender‘s office may substitute to represent the same client, the same attorney may not during the proceedings appear on behalf of different clients.4 Further, a clear rule will inform the trial court not to accept an appearance from an attorney who already, at some point during the proceedings, appeared on behalf of another party.
Our conclusion should not be construed as insensitive to the importance of finality in juvenile proceedings. Rather, as the State conceded at oral argument, we do not pursue “finality at any cost.” We remain mindful that a proceeding to terminate parental rights is a drastic measure and that the strict procedures contained in the Juvenile Court and Adoption Acts, including the right to be represented by counsel, are paramount. In re E.B., 231 Ill. 2d 459, 463-64 (2008).
III. CONCLUSION
For the foregoing reasons, the judgment of the circuit court of Winnebago County is reversed, and the cause is remanded.
Reversed and remanded.
JUSTICE HUTCHINSON, dissenting:
I generally agree with the analysis presented by the majority concerning the per se conflict of interest issue. I do not agree, however, that this court should have reviewed the issue. I do not believe that we should address the issue because the issue was never raised in the trial court, either during the series of hearings that followed the events in question or upon any motion for reconsideration. Accordingly, I do not believe that this issue has been preserved for review.
This court should not overlook forfeiture because the rules of civil procedure do not direct our consideration of this issue. See In re Samantha V., 234 Ill. 2d 359 (2009). In In re M.W., 232 Ill. 2d 408, 430 (2009), our supreme court explained that the forfeiture principles that apply in criminal proceedings also apply in proceedings under the
The record in this case is complete as to the evidence presented and the trial court‘s findings. A careful review of that record reveals no actual conflict of interest that impacted respondent‘s case. Counsel who appeared consistently on behalf of respondent after attorney Herrmann was present for respondent‘s arraignment waged a steady and solid case on behalf of respondent. Indeed, respondent does not even raise the argument that an actual conflict of interest occurred.
Rather, the majority and respondent are concerned about what happened outside the record when the same assistant public defender stepped up on behalf of respondent one day and then stepped up approximately three months later on behalf of the minor. Had this representation of both parties during the termination of parental rights proceedings been addressed to the trial court during those proceedings or in a postjudgment motion, the trial court could have taken evidence, if necessary, to determine whether during Herrmann‘s brief representation any information had been revealed that compromised either respondent‘s case or the minor‘s case. During oral argument, the State noted that this case continued on for several months after Herrmann‘s representation of the minor and that during this time, no one raised the issue or apparently considered that the scenario raised an ethical problem or a conflict of interest.
By this dissent, I am not excusing this administrative mistake nor am I condoning it. The majority clearly identifies the dangers and potential constitutional dimensions of such confusion in representation during a termination of parental rights case. Furthermore, it is also obvious that the office of the public defender involved in this case recognizes that it must be cautious in representing parties in complicated, multiparty cases, as it has created various “Conflicts” divisions within its ranks. However, without more information and a proper resolution at the trial court level, I believe that respondent has forfeited this issue.
If this matter must be remanded, and as I have earlier indicated, I do not believe that it should because the issue of a per se conflict of interest was not preserved, a more limited hearing appears appropriate. Assuming that the trial court and the attorneys involved in the presentation of this case are available, I would recommend upon remand that the trial court conduct a hearing to determine what, if any, information or knowledge was exchanged that could have compromised respondent‘s case or the minor‘s case. If the trial court determined that a conflict of interest did exist, then I believe new hearings on the petition to terminate respondent‘s parental rights should be held.
best interest of the child unfettered by the constraints of client wishes. Arguably, this direct access to provide the court with information or impressions that were developed in part while representing a respondent would be more prejudicial to the respondent who, if he or she had remained the attorney‘s client, would have retained some measure of control over the attorney‘s actions via the attorney-client relationship.