STATE OF NEW JERSEY,
Plaintiff-Appellant,
vs.
JAMES DAVIS,
Defendant-Respondent.
_________________________________________________
STATE OF NEW JERSEY,
Plaintiff-Appellant,
vs.
YURI JONES,
Defendant-Respondent.
_________________________________________________
STATE OF NEW JERSEY,
Plaintiff-Appellant,
vs.
MICHAEL GORE,
Defendant-Respondent.
_________________________________________________
Argued December 9, 2003 - Decided: January 16, 2004
Before Judges Stern, Lefelt and Payne.
On appeal from Superior Court of New Jersey, Law Division, Mercer County, Indictment
Nos. 02-05-0670, 01-09-1201, 01-09-1181.
Kimberly Lacken, Assistant Prosecutor, Mercer County, argued the cause for appellant (Joseph L.
Bocchini, Jr., Mercer County Prosecutor, attorney, Ms. Lacken on the brief).
Gerald Boswell argued the cause for respondents (Yvonne Smith Segars, Public Defender, attorney,
Gerald Boswell and Robert J. Konzelmann, Assistant Deputy Public Defender, on the brief).
Mark Paul Cronin argued the cause for amicus curiae the Attorney General of
the State of New Jersey (Peter C. Harvey, Attorney General, Mr. Cronin on
the brief).
The opinion of the court was delivered by
PAYNE, J.A.D.
This appeal raises the novel issue of whether a former public defender, Gerald
Boswell, now retained by the Office of the Public Defender (OPD) as a
pool attorney to represent two defendants in separate capital murder proceedings and another
defendant charged with non-capital murder, must be disqualified from that representation because he
has sued the OPD and various former and present OPD employees alleging causes
of action arising out of his employment premised on violations of the Law
Against Discrimination, the Conscientious Employee Protection Act and common-law defamation. In a lengthy
and thoughtful opinion, Judge Maria M. Sypek held that Boswell's suit did not
give rise either to a conflict of interest or an appearance of impropriety
under RPC 1.7. We affirm.
1) The Court determines that there is no conflict of interest or appearance
of an impropriety.
2) The prosecutor does not seek Mr. Boswell's disqualification.
3) The client consents to his continued representation after full disclosure.
Upon receipt, one judge explicitly declined to act on the letter, reasoning that
any action would require the issuance of an advisory opinion. No response was
issued by the other two judges.
Thereafter, the State moved to disqualify Boswell in the three cases in motions
that were argued in consolidated proceedings before Judge Sypek in the presence of
defendants Jones and Gore. Although as the result of logistical problems defendant Davis
was not present, the argument was videotaped, and the videotape was viewed by
him in Boswell's presence. Following oral argument, Judge Sypek issued a written decision
and order denying the State's motion. Additionally, prior to the issuance of her
opinion, Judge Sypek conducted a detailed examination of Davis, Jones and Gore to
determine their understanding of the basis for the State's motion and the State's
arguments. In response to questions by the court, all three indicated orally that
they understood the nature of the arguments presented, they had no further questions
regarding them, and they wished Boswell to continue as their attorney. A specific
waiver was not requested from any of the three.
Following issuance of the court's opinion and order, the State moved before us
for leave to appeal, which we granted, holding oral argument both on the
motion and on the appeal itself. In both instances, the OPD was invited
to participate as amicus in the proceedings, and it declined. An invitation to
the Office of the Attorney General was accepted, and it has filed a
brief on appeal and participated in oral argument.
Accordingly, in the criminal setting we have reinforced that it is incumbent on
the courts to ensure that defendants receive conflict-free representation. State v. Loyal,
164 N.J. 418, 433 (2000) (emphasizing trial court's responsibility for "assuring fairness and reliability
of trial").
[Ibid.]
Moreover, we recognize that the court maintains an independent interest in assuring that
conflict-free representation occurs, since the existence of conflict undermines the integrity of the
court. S.G., supra, 175 N.J. at 140 (quoting United States v. Dolan,
570 F.2d 1177, 1184 (3d Cir. 1978)). Further, the existence of an unadjudicated conflict
is also detrimental to the independent interest of the court to be free
from future unjustified attacks over the fairness of the proceedings. Ibid. Adherence to
the Rules of Professional Conduct serves not only a client's interests but also
the "broader societal interest [in] the integrity of the trial process itself." State
v. Jimenez,
175 N.J. 475, 484-85 (2003) (citing State v. Loyal,
164 N.J. 418, 433-34 (2000).
We note as well the heightened scrutiny of the issues raised that is
required because two of the three prosecutions at issue are capital in nature.
State v. Harvey,
176 N.J. 522, 528-29 (2003) (addressing standard applicable to potential
conflicts arising in prosecutor's office). The fact that the existence of an unaddressed
conflict may result in reversal of a conviction provides additional weight to the
State's motion. See, e.g., State v. Bellucci,
81 N.J. 531, 545-46 (1980) (imposing
an absolute bar to multiple representation, absent waiver); State v. Land,
73 N.J. 24, 35 (1977); Drisco, supra, 355 N.J. Super. at 291-96.
We balance these interests against our recognition that, absent an un-waived conflict, a
constitutional presumption exists in favor of counsel of one's choice. Jimenez, supra, 175
N.J. at 484. See also Dewey v. R. J. Reynolds Tobacco Company,
109 N.J. 201, 218 (1988) (holding that a motion for disqualification "calls for us
to balance competing interests, weighing the 'need to maintain the highest standards of
the profession' against 'a client's right freely to choose his counsel'") (quoting Government
of India v. Cook Indus. Inc.,
569 F.2d 737, 739 (2d Cir. 1978)).
RPC 1.7, which governs the conflict of interest analysis in this case, precludes
representation of a client if that representation is directly adverse to another client.
Of significance here, prior to January 1, 2004, RPC 1.7 additionally provided that:
"A lawyer shall not represent a client if the representation of that client
may be materially limited by . . . the lawyer's own interests." See
RPC 1.7(b). The present formulation of that provision states that a "lawyer shall
not represent a client if the representation involves a concurrent conflict of interest.
A concurrent conflict of interest exists if: . . . there is a
significant risk that the representation of one or more clients will be materially
limited by . . . a personal interest of the lawyer." See RPC
1.7(a)(2). We regard the new formulation of the Rule as incorporating the requirement,
found in case law, that a solid foundation exist for any claim of
disqualifying conflict of interest.
A federal court has held that in contrast to multiple representation cases, which
present unique, straightforward dangers of conflict, self-interest cases "fall along a wide spectrum
of ethical sensitivity from merely potential danger to outright criminal misdeeds." Beets v.
Scott,
65 F.3d 1258, 1270 (5th Cir. 1995), cert. denied, sub nom Beets
v. Johnson,
517 U.S. 1157,
116 S. Ct. 1547,
134 L. Ed.2d 650 (1996). Accordingly, federal courts have recognized that:
Because of the virtually limitless cases in which a "conflict" may theoretically arise
when a lawyer's self-interest is implicated, there is a very real danger of
analyzing these issues not on fact but on speculation and conjecture. Accordingly, when
a conflict of interest issue arises based on a lawyer's self-interest, a sturdier
factual predicate must be evident than when a case concerns multiple representation. Only
by requiring a more specific articulation of the facts giving rise to a
conflict situation can courts refrain from effectively "straightjacket[ing] counsel in a stifling, redundant
. . . code of professional conduct." [Beets, supra,] at 1272. Supposition and
speculation, therefore, will simply not do.
[Treffinger, supra,
18 F. Supp 2d at 432.]
Here, it is significant that defendants Davis, Jones and Gore are Boswell's clients;
his client is not the OPD. Although Boswell, as a pool attorney, has
a contractual relationship with the OPD, not with his clients, he nonetheless has
a duty of fidelity to the client identical to that of a deputy
public defender employed by the OPD. See N.J.S.A. 2A:158A-11 ("The primary duty of
all members of [OPD] staff and of others engaged on a case basis
shall be to the individual defendant, with like effect and to the same
purpose as though privately engaged by him and without regard to the use
of public funds to provide the service"); Turner v. Department of Human Services,
337 N.J. Super. 474, 478 (App. Div.), certif. denied,
168 N.J. 294 (2001).
See also State v. Bell,
90 N.J. 163, 168 (1982) (holding in a
decision permitting representation of co-defendants by different attorneys in the same public defender's
officer that because the primary responsibility of an assistant public defender is to
represent individual criminal defendants, "we can expect the public defenders to withdraw from
the case whenever joint representation may prejudice their clients.")
The State does not assert that Boswell has breached his duty to his
clients, but rather raises hypothetical possibilities that such a breach could result if
the OPD failed to adequately supervise Boswell or if it unjustifiably withheld resources
necessary for Boswell to mount an effective defense. We find that these hypothetical
circumstances are insufficient to establish a significant risk of conflict.
Nothing suggests that Boswell, a seasoned criminal defense attorney with extensive experience in
trying capital, homicide and other serious criminal cases, would act negligently in these
particular proceedings. It is highly unlikely that Boswell would have been assigned these
cases by the OPD if it regarded him in any sense negligent or
incompetent. Indeed, for Boswell to act negligently would be contrary to his personal
interest, since such conduct could provide evidence to support a potential defense by
the OPD that Boswell's prior performance as a public defender was substandard. Moreover,
we note that, in the two capital prosecutions, Boswell has as his co-counsel
an experienced OPD attorney-employee whose presence further safeguards defendants' interests in those cases.
See Jimenez, supra, 175 N.J. at 492 (relying on the presence and advice
of co-counsel Joseph Krakora in finding the absence of conflict). Additionally, we note
that Boswell, as an attorney, remains bound by the strictures of RPCs 1.1
and 1.3, requiring, respectively, competence and diligence in the representation of a client,
and he remains subject to the court's oversight. See RPC 8.4 (stating that
it is professional misconduct for a lawyer to violate the Rules of Professional
Conduct).
We likewise find sufficient safeguards to guard against the State's second hypothetical scenario,
that the OPD might withhold necessary support to Boswell out of retaliation for
his suit. The deleterious effect of such conduct on Boswell's pending litigation and
the safeguard provided by the appointment of co-counsel in the capital prosecutions are
considerations here, as well. Moreover, we note that the OPD is bound by
its statutory charge to reasonably provide all services and facilities necessary to the
representation of its clients. N.J.S.A. 2A:158A-5. Application to the court for relief can
be made if this duty is breached.
In summary, we find in this case that the existence of Boswell's suit,
together with governing statutes, rules of professional conduct, and court oversight operate as
a check on any tendency toward disservice to the clients that the OPD
and Boswell are jointly bound to serve. We find such safeguards to be
adequate to guard against any hypothesized negligence or misfeasance on the part of
Boswell or the OPD and thus find no actual or potential conflict of
interest in Boswell's continued representation of defendants Davis, Jones and Gore. Compare In
re Advisory Committee on Professional Ethics, Docket No. 18-98,
162 N.J. 497, 504-05
(2000) (envisioning "many circumstances" in which the self-interest of a lawyer serving as
a municipal administrator would limit his ability to serve as the municipality's attorney).
We recognize that a certain amount of ill will may have been engendered
by Boswell's suit. However, RPC 1.7 does not prohibit ill will, but only
"tangible conflicts between the lawyer's and the client's interests in the subject matter
of the representation." Santa Clara Cty. Counsel Atty's Ass'n. v. Woodside,
869 P.2d 1142, 1153, 1157 (Cal. Sup. Ct. 1994) (determining that California's conflict of interest
statute did not preclude a wage and hours suit by county attorneys against
their public employer). See also In re City of Newark,
346 N.J. Super. 460, 469-70 (App. Div. 2002). In the unlikely event that an actual conflict
should arise, we can reasonably expect that Boswell would withdraw from the defense
of the affected cases. Jimenez, supra, 175 N.J. at 490; Bell, supra, 90
N.J. at 168.
As stated in RPC 1.7, the appearance-of-impropriety rule prohibits a lawyer from representing
a client in those situations "in which an ordinary knowledgeable citizen acquainted with
the facts would conclude that the multiple representation poses substantial risk of disservice
to either the public interest or the interest of one of the clients."
Lawyers and courts can only guess at what an ordinary citizen acquainted with
the facts might conclude. Furthermore, a lawyer often cannot ascertain beforehand what that
conclusion might be. Thus, the bar does not know whether the conduct will
be deemed to create the appearance of impropriety until after the Advisory Committee
on Professional Ethics or a court reaches that conclusion.
[Ibid.]
Although the Pollock Commission found the appearance of impropriety rule to be inappropriate
as a basis for attorney discipline, it found in a further recommendation adopted
by the Court that "a court properly may consider the appearance of impropriety
as a factor in determining that . . . representation poses an unwarranted
risk of disservice either to the public interest or the interest of the
client." Ibid.
We thus do not regard appearance of impropriety concerns to have been rendered
wholly moribund in the present context, particularly in light of the capital prosecutions
of two of Boswell's three clients. Jimenez, supra, 175 N.J. at 496 (Justice
Long, dissenting); Loyal, 164 N.J. at 430 (stressing the critical nature of public
confidence in the fairness of capital proceedings). We therefore consider their implications as
part of our analysis of the effect of Boswell's suit on his continuing
ability to serve as a defense attorney retained by the OPD.
In conducting this analysis, we recognize as the present underpinning of appearance of
impropriety concepts the concern that conduct be examined and, in certain circumstances, regulated
that is not at odds with the Rules of Professional Conduct, but that
nonetheless may be contrary to the policies underpinning the Rules. See Treffinger, supra,
18 F. Supp 2d at 434. However, we note as well the Court's
frequently-expressed concern that any threat to the spirit of the Rules that is
subject to regulation must be more than a fanciful possibility. See, e.g., Jimenez,
supra, 175 N.J. at 493; Loyal, supra, 164 N.J. at 429; In re
Opinion No. 653,
132 N.J. 124, 132 (1993); Higgins v. The Advisory Comm.
of Professional Ethics of the Sup. Ct. of NJ,
73 N.J. 123, 129
(1977).
For the reasons that we have expressed previously in determining that no conflict
of interest under RPC 1.7 has been presented by Boswell's suit, we find
the concerns identified by the State insufficient to suggest either underlying disservice to
the public interest or the interest of the client that would alter our
view that no actual or potential conflict exists here.
Our determination is reinforced by consideration of the nature of Boswell's suit: an
action claiming at its core violations of the New Jersey LAD and CEPA
statutes, which have been found to be fundamental to the protection of employee
rights in this state. Parker v. M & T Chemicals,
236 N.J. Super. 451, 461-62 (CEPA); Fuchilla v. Layman,
109 N.J. 319, 334, cert. denied, sub
nom, University of Medicine and Dentistry of the State of New Jersey v.
Fuchilla,
488 U.S. 826,
109 S. Ct. 75,
102 L. Ed.2d 51
(1988) (LAD); Anderson v. Exxon Co.,
89 N.J. 483, 495 (1982) (LAD).
In a case involving neither the CEPA nor the LAD statutes, but nonetheless
relevant here, we have previously determined that municipal attorneys are not precluded by
the Rules of Professional Conduct from organizing under a union for the purpose
of collectively negotiating the terms of their employment with their client-employer. In re
City of Newark, supra,
346 N.J. Super. 460. There, we rejected the City's
position that the "interjection of a union will seriously impair the attorney-client relationship
by creating dual loyalties" and that unionization would create an appearance of impropriety
under the former RPC 1.7(b) and (c)(2). Id. at 466. We held:
We find no merit in this contention. There is nothing fundamentally incompatible between
the constitutional right of government employees to organize for the purpose of collective
negotiations, N.J. Const., art. I, ¶ 19, and the duty of loyalty owed by
a municipal attorney to his client. . . . [T]he American Bar Association
. . . [has] recognized the right of government attorneys and corporate lawyers
to organize "for the purpose of negotiating wages, hours, and working conditions" so
long as they perform their duties in accordance with . . . the
Cannons of Ethics. 2 ABA Informal Ethics Opns., No. 986 (July 3, 1967).
[Id. at 467.]
Moreover, we have held that there is nothing incompatible between the Code of
Professional Ethics and New Jersey's Conscientious Employee Protection Act that would serve to
bar a former in-house attorney's suit for monetary damages against his former corporate
client/employer. Parker, supra,
236 N.J. Super. 451. There, we reiterated our view that
the CEPA legislation constituted "a reaffirmation of this State's repugnance to an employer's
retaliation against an employee who has done nothing more than assert statutory rights
and protections and a recognition by the Legislature of a preexisting common-law tort
cause of action for such retaliatory discharge." Id. at 456 (quoting Lepore v.
National Tool and Mfg. Co.,
224 N.J. Super. 463, 470 (App. Div. 1988),
aff'd [and quoted at]
115 N.J. 226, 228 (1989)). In rejecting the employer's
claim that CEPA as applied to in-house attorneys violated the separation of powers
between the judiciary and the legislature, we stressed the congruence between CEPA and
the Rules of Professional conduct, stating:
In the situation before us, we see no "conflict with the constitutional judicial
powers of the Supreme Court." [Knight v. Margate,
86 N.J. 374, 394 (1981)].
The Whistle Blowers Act [CEPA] "serves an important, legitimate governmental purpose clearly within
the State['s] police powers and deals with a direct and vital concern of
the legislature. . . ." Ibid. The Act does not interfere with the
Court's regulation of the legal profession. The Act does not interfere with any
legitimate interest of the employer-client. Rather, it reinforces the Court's constitutional mission to
encourage and insure the ethical practice of law. We see no constitutional incompatibility
and will not read in-house attorneys out of the Act's protection.
[Parker, supra, 236 N.J. Super. at 461-62.]
Our decisions in City of Newark and Parker both concerned employers as clients
and found in that context no fundamental conflict between client and counsel necessarily
to arise as the result of our recognition of a right to maintain
a job action or suit and no inherent conflict between such job actions
and the underlying purposes of the Rules of Professional Conduct. In the present
case, the relationship between Boswell and the OPD is more attenuated than it
was in the cases that we have just discussed, since the OPD acts
as the contract-employer of Boswell, but not as his client. Cf. State v.
Rogers,
177 N.J. Super. 365, 374 (App. Div. 1981) (holding that the Deputy
Public Defendant owes allegiance only to his client/defendant), appeal dismissed,
90 N.J. 187
(1982). We see no reason why this more attenuated relationship should receive greater
ethical scrutiny than that accorded in the two cases that we have discussed.
To be sure, in Parker, we limited our holding to instances in which
a former employee sued for monetary damages. However, we did so out of
concern that a broader holding might result in a judicial foisting of an
unwanted employee-attorney on a corporate employer through the prevention of his discharge. Parker,
supra, 236 N.J. Super. at 460. That concern does not exist in the
present case, since the OPD, by hiring Boswell first as a per diem
and then as a pool attorney, signaled its willingness to continue at least
a contractual relationship with him.
Given our recognition of the strong policy underpinnings of the CEPA legislation and
its compatibility with the Rules of Professional Conduct, and the similarly strong policy
considerations underlying the New Jersey LAD, we see no ground in this case
upon which to premise a conclusion that Boswell's continued representation at the OPD's
request of Davis, Jones and Gore disserves either the public interest or his
clients, thereby undermining the intent of the Rules of Professional Conduct. To preclude
as a matter of ethics Boswell's representation of defendants simply because he filed
CEPA and LAD claims against the OPD would, in essence, deprive Boswell and
all like-situated public sector attorneys of a remedy for retaliation and discrimination that
is now deeply embedded in our jurisprudence. We are unwilling to take so
radical a step on so negligible a foundation. See Santa Clara, supra, 869
P.
2d at 1154.
In a situation such as this in which none of the individual defendants
in Boswell's suit remain in his chain of command, we find no basis
upon which to presently conclude that any animosity engendered by the litigation will
in the future ripen into a conflict affecting Boswell's representation of his clients
in the present proceedings, or in the perception that such would occur. Were
we to find otherwise under facts such as these, we would open to
unjustifiable challenge the countless criminal cases handled by public sector attorneys who, while
engaged in job actions against their employers, have with skill and loyalty represented
their assigned clients. See e.g. State v. Walsh,
147 N.J. 595 (1997)(action by
a public defender seeking specific performance of an agreement to promote him).
Nor do we find compelling the State's argument that retention of Boswell as
counsel to defendants in these cases will unnecessarily open the proceedings to challenge
by means of motions for post-conviction relief. If convictions ensue, such proceedings are
likely to eventuate under any circumstances. See, e.g., S.G., supra, 175 N.J. at
143; Loyal, supra, 164 N.J. at 433; Drisco, supra, 355 N.J. Super. at
291-93; State v. Muniz,
260 N.J. Super. 311, 315 (App. Div. 1992).
In reaching our conclusion that no actual or potential conflict exists in this
case, and, as a part of that conclusion, that Boswell's continuing representation does
not violate the spirit of the Rules of Professional Conduct, we decline Boswell's
invitation to render a bright-line pronouncement that an attorney such as he, engaged
in suit against his employer, cannot be disqualified on grounds of conflict of
interest from the representation of clients to whom he has been assigned. Cases
such as this require close analysis of the factual circumstances presented, since we
can envision circumstances, for instance, in which the adverse interests of the suing
attorney and those he has sued were sufficiently intertwined as to render unsupportable
any further relationship. We merely state that we have not been presented with
such a case here. We decline to speculate as to how other situations
should be resolved.
Footnote: 1
The appearance of impropriety provisions of
RPC 1.7 are framed solely in terms
of multiple representation. It is nonetheless clear that the Rule applies as well
to conflicts arising from self-interest or other factors. See Treffinger, supra, 18 F.
Supp.
2d at 434.