Juliana De Guzman v. R. James Nicholson
Juliana DeGUZMAN, Appellant, v. R. James NICHOLSON, Secretary of Veterans Affairs, Appellee
Attorneys
Juliana DeGuzman, pro se., Tim McLain, General Counsel; R. Randall Campbell, Assistant General Counsel; Brian B. Rippel, Deputy Assistant General Counsel; and Erika E. Liem, all of Washington, D.C., for the appellee.
Full Opinion (html_with_citations)
Before the Court is a motion by Clem-ente D. Paredes of 122 Purok I, Bantug Norte, Cabanatuan City, Nueva Ecija, Philippines, to represent the appellant as her counsel in this particular case only, without admission to this Courtâs bar, pursuant to this Courtâs pro hac vice rule, Rule 46(c) of this Courtâs Rules of Practice and Procedure (Rules). U.S. Vet.App. R. 46(c). For the reasons that follow, we hold that to allow representation by an attorney who is not a member of this Courtâs bar, Rule 46(c) requires that he or she meets the qualifications of an attorney described in Rule 46(a), which sets forth the requirements for attorneys who seek admission to this Courtâs bar. In this regard, the attorney must, at a minimum, (1) be a person of good moral character and repute; (2) be admitted to practice in the Supreme Court of the United States, or the highest court of any state, the District of Columbia, or a United States territory or commonwealth; and (3) be in good standing in such court. Because Mr. Paredes has not shown that he is admitted to a qualifying court, he has not made the requisite showing to allow
I. BACKGROUND
The appellant, Juliana DeGuzman, appeals the March 31, 2005, decision of the Board of Veteransâ Appeals (Board) that denied service connection for the cause of death of veteran Pastor A. DeGuzman. The appellant is the veteranâs widow. The appellant was initially represented in this appeal by counsel Mark R. Lippman of the Veterans Law Group. On January 5, 2006, the Court granted appellantâs counselâs motion to withdraw and directed the appellant to file a brief within 60 days after the date of the Courtâs order. The appellant failed to file a brief. On March 20, 2006, the Court ordered the appellant to show cause why this appeal should not be dismissed because of her failure to file a brief. On March 21, 2006, the Court received a document entitled âAppeal Brief for the Appellant.â The document was signed by Clemente D. Paredes of 122 Purok I, Bantug Norte, Cabanatuan City, Nueva Ecija, Philippines. On the document, Mr. Paredes identified himself as âCounsel for Appellant.â On the same date, the Court also received from Mr. Paredes an âEntry of Appearance of Counsel for Appellant.â
On April 25, 2006, the Court received a response to its order of March 20, 2006, signed by Mr. Paredes. The response attached a copy of the brief and an entry of appearance. On May 19, 2006, the Clerkâs Office returned the entry of appearance as nonconforming. On July 17, 2006, Mr. Pa-redes filed a motion seeking permission to represent the appellant in this case only and for leave to file the brief lodged with the Court on March 21, 2006, and to resubmit his notice of appearance. He states that he is not admitted to practice before the Court. He notes that the appellant is an indigent claimant and that he has agreed to represent her on a pro bono basis. Mr. Paredes also states, however, that the appellant has agreed to compensate him only if her claim is successful. Accompanying Mr. Paredesâ motion under Rule 46(c) is a notice of appearance and a fee agreement. The fee agreement states that the appellant shall compensate counsel âonly in case of an award, at twenty (20) percent thereof.â
II. ANALYSIS
A. Rule 46 and Current Law
Mr. Paredes seeks to appear in the instant appeal pursuant to Rule 46(c) of the Courtâs Rules of Practice and Procedure. He identifies himself as an attorney and provides his âRoll No. 13429.â He also lists his address in the Philippines. He provides no other information regarding any admissions and licenses. His name and âRoll No.â do, however, appear on the list of attorneys practicing before the Supreme Court of the Philippines. See www. su'premecourt.gov.ph. In his motion, he acknowledges that he has not been admitted to practice before this Court. In support of his motion, he asserts that he seeks permission to appear in this case only to assist the appellant with her filings in this Court, and that she is an indigent litigant.
Rule 46 governs the admission of an attorney to the bar of this Court and appearance by a person on behalf of a party in a particular case only, without admission
(a) Admission of Attorneys to Bar of Court.
(1) General. A person of good moral character and repute who has been admitted to practice in the Supreme Court of the United States, or the highest court of any state, the District of Columbia or a United States territory or commonwealth with the meaning of 48 U.S.C. § 1904(e)(5), and is in good standing therein, may be admitted to the bar of the Court upon application. See Rules of Admission and Practice.
(c) Appearance in a Particular Case. On motion and a showing of good cause, the Court may permit any attorney or nonattorney practitioner not admitted to practice before the Court, or any other person in exceptional circumstances, to appear on behalf of a party or amicus for the purposes of a particular case. Whenever a person is admitted to practice under this subsection, the person will be deemed to have conferred disciplinary jurisdiction upon the Court for any alleged misconduct in the course of, in the preparation for, or in connection with any proceeding in that case.
U.S. Vet.App. R. 46(a)(1), (c). This Courtâs Rule 46 was prescribed pursuant to the Courtâs authority in 38 U.S.C. § 7263, which provides: âRepresentation of appellants shall be in accordance with the rules of practice prescribed by the Court under section 7264 of this title. In addition to members of the bar admitted to practice before the Court in accordance with such rules of practice, the Court may allow other persons to practice before the Court who meet standards of proficiency prescribed in such rules of practice.â 38 U.S.C. § 7263(b). Section 7264(a) provides: âThe proceedings of the Court of Appeals for Veterans Claims shall be conducted in accordance with such rules of practice and procedure as the Court prescribes.â
Accordingly, this Court has explicit authority to prescribe rules to govern the representation of appellants in this Court, and Congress has specifically provided that the Court may allow persons to practice before the Court who have not been admitted as members of the bar so long as those persons meet âstandards of proficiencyâ prescribed in its rules. In addition, this Court has the inherent power to regulate attorney behavior, including the power to control the admission to its bar and to discipline attorneys who appear before the Court. See In re Bailey, 182 F.3d 860, 864-65 (Fed.Cir.1999); see also Chambers v. NASCO, Inc., 501 U.S. 32, 43, 111 S.Ct. 2123, 115 L.Ed.2d 27 (1991) (â[A] federal court has the power to control admission to its bar and to discipline attorneys who appear before it.â).
Pursuant to Rule 46, there are six distinct categories of representation before the Court, two for attorneys and four for non-attorney representatives. The two categories of attorneys who may represent appellants before this Court are those who are admitted to the bar of the Court and those who may be permitted to appear before the Court â[o]n motion and upon a showing of good cause ... for the purpose of a particular case.â U.S. Vet.App. R. 46(a), (c). As noted above, for admission to this Courtâs bar, Rule 46(a) provides explicit criteria requiring that an attorney applying for admission be (1) a person of good moral character and repute; (2) who has been admitted to practice in the Supreme Court of the United States, or the highest court of any state, the District of Columbia, or a United States territory or commonwealth within the meaning of 48 U.S.C. § 1904(e)(5)
This Court has previously addressed, in a panel decision, circumstances concerning an attorneyâs motion to appear pro hac vice pursuant to Rule 46(c). See Silverman v. Brown, 7 Vet.App. 487 (1995) (per curiam order). In Silverman, this Court denied a motion to appear pro hac vice and directed the appellantâs counsel to either perfect an application for admission to the bar of this Court or inform the Court that he had withdrawn as the appellantâs counsel. In denying the motion, the Court noted that this was counselâs second appearance before the Court and concluded that the assertions made in the motion did not establish the âgood causeâ showing necessary under Rule 46(c) to justify an attorneyâs failure to be admitted to practice before this Court. Id. at 487. There, counsel had stated that (1) he was not a member of the bar of this Court; (2) his client requested that he represent her in this Court; (3) there was only one attorney in the appellantâs state of residence admitted to practice before this Court, but his client did not want that attorney to represent her; and (4) it was not his intent to regularly practice before this Court. Id. This Courtâs decision in Silverman, however, is not directly on point with the circumstances presented here, where counsel is apparently admitted to the bar of a foreign country, the Philippines, has his office in the Philippines, and has made no showing of having been admitted in another United States jurisdiction. Although the Court has not yet interpreted Rule 46(c) to determine whether the Rule, as currently adopted by this Court, allows an attorney licensed only in a foreign country to appear pro hac vice, this Court has previously interpreted Rule 46(a) and determined that an attorney could not be admitted to the bar of this Court if he lacked admission to a qualifying court. See In re Application for Admission of Gere Unger, 16 Vet.App. 205 (2002) (per curiam order). In In re Application for Admission of Gere Unger, this Court denied the application of a person for admission to the bar of this Court, pursuant to Rule 46(a), because his certificate of good standing from the Mashan-tucket Pequot Tribal Court did not meet the criterion of a âcertificate of good standing from the Clerk of the Supreme Court of the United States, or the highest court of any state, the District of Columbia or a United States territory or commonwealth of the United States.â 16 Vet.App. at 208. Noting that âUnited States territories and commonwealthsâ are defined in title 48 âto include only the Commonwealth of Puerto Rico, the Virgin Islands, Guam, Americana Samoa and the Commonwealth of the Northern Mariana Islands,â the Court held that the Mashantucket Pequot Tribe was not a âterritory ... of the United States for purposes of Rule 46.â Id. at 207-08 (citing 48 U.S.C. § 1904(e)). The Court there relied exclusively on the applicant not meeting the requirement of Rule
B. Interpretation of Rule 46(c)
1. Appearance Pro Hac Vice as an Attorney
We hold that, in order for an attorney to be allowed to represent an appellant in a particular case under Rule 46(c) without having been admitted to practice before the Court as a member of the Courtâs bar, the requirements for attorneys set forth in Rule 46(a) must be met. We interpret Rule 46(c) as therefore requiring that the attorney (1) be a person of good moral character and repute; (2) be admitted to practice in the Supreme Court of the United States, or the highest court of any state, the District of Columbia, or a United States territory or commonwealth within the meaning of 48 U.S.C. § 1904(e)(5); and (3) be in good standing in such court. This interpretation of Rule 46(c) satisfies the statutory requirement that âstandards of proficiencyâ must be met in order for a person to appear as a representative on behalf of an appellant before this Court. This interpretation of Rule 46(c) also recognizes that the term âattorneyâ appears in both Rule 46(a) (âAdmission of Attorneys to Bar of Courtâ) and in Rule 46(c) (âOn motion and a showing of good cause, the Court may permit any attorney ... to appear on behalf of a party or amicus for the purposes of a particular case.â), and that the term âattorneyâ as used in both those subsections of the same Rule must be read consistently. Accordingly, this reading of Rule 46(c) is consistent with the intent, structure, and context of Rule 46. See Thomas v. Derwinski, 1 Vet.App. 289, 291 (1991); cf. King v. St. Vincentâs Hosp., 502 U.S. 215, 221, 112 S.Ct. 570, 116 L.Ed.2d 578 (1991) (when interpreting a statute, the Court is required to look at the context and the provisions of law as a whole); Natâl Org. of Veteransâ Advocates v. Secây of Veterans Affairs, 314 F.3d 1373, 1381 (Fed.Cir.2003) (holding that regulations interpreting âentitled to receiveâ language of 38 U.S.C. §§ 1311(a)(2) and 1318 were inconsistent and the Agency failed in its obligation to reconcile regulations under the two statutory provisions); Imazio Nursery, Inc. v. Dania Greenhouses, 69 F.3d 1560, 1564 (Fed.Cir.1995) (all parts of a statute must be construed together without according undue importance to a single or isolated portion); see also Gardner v. Derwinski, 1 Vet.App. 584, 586 (1991) (âDetermining a statuteâs plain meaning requires examining the specific language at issue and the overall structure of the statute.â), affd sub nom. Gardner v. Brown, 5 F.3d 1456, 1456 (Fed.Cir.1993), aff'd, 513 U.S. 115, 115 S.Ct. 552, 130 L.Ed.2d 462 (1994); 2A N. Singer, Sutherland on Statutory CONSTRUCTION § 46:05 (6th ed.2000) (âeach part or section of a statute should be construed in connection with every other part or section so as to produce a harmonious wholeâ and âthe court will not only consider the particular statute in question, but also the entire legislative scheme of which it is a partâ).
In addition, not only does this interpretation of Rule 46(c) render Rule 46 harmonious in its entirety, it also compares favorably with the Supreme Courtâs acknowledgment that admission to practice before a Federal court is derivative of membership in a state bar. See In re Ruffalo, 390 U.S. 544, 547, 88 S.Ct. 1222, 20 L.Ed.2d 117 (1968). Similarly, this interpretation is harmonious with the Courtâs Rules of Admission and Practice (A & P Rules). The A & P Rules apply to attorneys and non-attorneys who have been admitted to practice under Rule 46(a) or (b) or permitted to appear under Rule 46(c) of the Courtâs Rules of Practice and Procedure. U.S. Vet.App. R. Adm. & Prac. 1(e) (defining âpractitionerâ as used throughout the A & P Rules). Under A
Additional support for this result is found in the Model Rules. In its A & P Rules, this Court has stipulated that âunless otherwise provided by specific rule of the Court, the disciplinary standard for practice is the Model Rules of Professional Conduct adopted by the American Bar Association on August 2, 1988, as amended.â U.S. Vet.App. R. Adm. & Prac. 4(a). Although this Court has provided a specific rule regarding pro hac vice admissions, and the Model Rules are therefore not directly applicable here, the Court notes that Rule 46 and its interpretation of Rule 46(c) are consistent with Model Rule 5.5, entitled âUnauthorized Practice of Law; Multijurisdictional Practice of Law.â Model Rule 5.5 authorizes a lawyer âadmitted in another United States jurisdictionâ to provide legal services, under certain conditions, âon a temporary basis in this jurisdiction.â Model Rules of Profâl Conduct R. 5.5(c) (2006). The comment to this Model Rule notes that this paragraph applies to âlawyers who are admitted to practice law in any United States jurisdiction, which includes the District of Columbia and any state, territory or commonwealth of the United States.â Id. emt. 7.
The Court notes that under the rule that requires that an attorney be previously admitted in another court within the United States, reliance is largely placed by the court upon the courts of the states to determine the qualifications of persons seeking admission to the bar. In this regard, the state courts ensure that a minimum level of qualification has been achieved by having met a state barâs educational requirements, character requirements, and competence requirements. The Court also recognizes that courts have varying rules with respect to those who are admitted pro hac vice. For example, the United States District Court for the District of Columbia provides in its rules that an attorney seeking admission to practice pro hac vice must be a member in good standing of the bar of any United States Court or of the highest court of any state, and all papers must be signed by such counsel and by a member of the bar of the court. U.S. Dist. Ct. Cv. R. 83.2(c)(1); U.S. Dist. Ct. Cr. R. 44.1(c)(1). That courtâs rule also provides that an attorney seeking to appear pro hac vice file a motion signed by a sponsoring member of the bar of that Court, accompanied by a declaration by the non-member that sets forth, among other things, a list of all bars to which the attorney has been admitted. U.S. Dist. Ct. Cv. R. 83.2(d); U.S. Dist. Ct. Cr. R. 44.1(d). The District of Columbia Superior Court allows admission pro hac vice under limited circumstances and requires that an applicant be a member in good standing âof the bar of any United States court or the highest court of any stateâ and âjoins of record a member in good standing of the District of Columbia Bar who will at times be prepared to go forward with the case, and who shall sign all documents ... and shall attend all subsequent proceedings in the action un
Regardless of the requirements imposed and allowances made by other courts in their rules, the rules of this Court do not require the temporary admission to practice of one who is not a member of the bar of this Court. This Court has, however, allowed under Rule 46(c) the temporary admission of an attorney upon a showing of good cause. The Court, as discussed above, now holds that Rule 46 does not specifically provide for the admission to practice pro hac vice of attorneys admitted in a foreign country, the term âattorneyâ as used in Rule 46(c) must be interpreted consistently with the term as used in Rule 46(a), and this requires the prior admission by the attorney in another United States jurisdiction. We do not reach the issue of what minimum requirements must be met in order for a qualifying attorney to show âgood causeâ to allow him or her to practice in this Court pro hac vice without having been admitted here. The decision whether to grant pro hac vice status is committed to the sound discretion of the Court. See Supreme Court of New Hampshire v. Piper, 470 U.S. 274, 277 n. 2, 105 S.Ct. 1272, 84 L.Ed.2d 205 (1985). The Supreme Court has rejected the argument that pro hac vice admissions are protected by either due process or equal protection. Leis v. Flynt, 439 U.S. 438, 441-42, 99 S.Ct. 698, 58 L.Ed.2d 717 (1979) (per curiam) (âSince the founding of the Republic, the licensing and regulation of lawyers has been left exclusively to the States and the District of Columbia within their respective jurisdictions. The States prescribe the qualifications for admission to practice and the standards of professional conduct. They also are responsible for the discipline of lawyers.â).
In the instant case, Mr. Paredes has not met the requirements to justify his admission pro hac vice because he has not shown, at a minimum, that he has been admitted to practice in another United States jurisdiction. Accordingly, Mr. Pa-redes may not appear as an attorney before this Court pursuant to Rule 46(c). The Court recognizes that many appellants before this Court reside in the Philippines and that there is an interest for those appellants to have the convenience of being represented by counsel whose office is located in the Philippines. Nevertheless, the Courtâs holding is based on its interpretation of the language in Rule 46(c). This interpretation is reasonable in light of the interests of the Court is ensuring that attorneys appearing before this Court have demonstrated a certain level of qualification by having met a state barâs requirement for education, character, and competence. Moreover, the Court notes that even if the requirement of admission in another United States jurisdiction were not imposed here, Mr. Paredes has not
Our colleague notes that other courts allow by specific rule for the admission pro hac vice of attorneys admitted in a foreign country. He also provides a set of criteria, if satisfied, under which he would admit Mr. Paredes pro hac vice to practice before this Court. That set of criteria, however, goes beyond interpreting our Rule 46(c) and imposes new requirements that essentially rewrite or amend our existing rule and would also require the amendment of Rule 7(b)(1) of our A & P Rules that, as discussed above, provides for the initiation of disciplinary proceedings in this Court after receipt of evidence that an attorney has been convicted of a serious crime âin any court of the United States, of the District of Columbia, or of any state, territory, commonwealth, or possession of the United States.â U.S. Vet.App. R. Adm. & Prac. 7(b)(1). Our current A & P Rules do not provide for the initiation of disciplinary proceedings after receipt of evidence that an attorney, who resides in a foreign country, has been convicted of a serious crime in the foreign country. Our colleagueâs preferred set of criteria would not offer protections in the face of such conviction but would require this Court to wait until the Philippine courts acted in connection with a disciplinary complaint.
Significantly, as noted above, the current language of Rule 46(c) does not contemplate the admission pro hac vice of attorneys licensed only in a foreign country or countries. By adopting our colleagueâs new detailed requirements, the Court would be bypassing the Courtâs established rule-promulgating procedures that usually include either public comment or recommendations or both from the Rules Advisory Committee. See 38 U.S.C. § 7264(a) (âproceedings of the Court ... shall be conducted in accordance with such rules of practice and procedure as the Court prescribesâ); 28 U.S.C. § 2071(b) (âAny rule prescribed by a court, other than the Supreme Court, under subsection (a) shall be prescribed only after giving appropriate public notice and an opportunity for comment.â); § 2071(e) (âIf the prescribing court determines that there is an immediate need for a rule, such court may proceed under this section without public notice and opportunity for comment, but such court shall promptly thereafter afford such notice and opportunity for comment.â); U.S. Vet.App. R. 40(a) (âThe Court will have a Rules Advisory Committee ... for the study of, and advice to the Court on possible changes to, rules of the Court, either sua sponte or at the request of the Court.â). The Courtâs bar and the public should have the opportunity to provide input â indeed, the Court should have the benefit of such input â on such a far-reaching change in the Courtâs practice and proceedings.
Although our colleagueâs proposed set of criteria appears to offer protections both for the appellants and the integrity of the Court and warrants serious consideration, such consideration should be undertaken, not by a panel of judges, but by the full Court as part of a rules change proceed
2.Appearance Pro Hac Vice as a Non-attorney Representative
This is not the end of the matter because an attorney not qualified to appear pro hac vice, or not showing âgood causeâ to appear pro hac vice as an attorney representative, may nevertheless be able to appear pro hac vice as a non-attorney representative. Cf Thomas, 1 Vet.App. at 291 (noting that the âshowing of good cause required for allowing Rule 46(c) pro hac vice representation cannot be the sameâ for both an attorney and a non-attorney). The Court next will construe Mr. Paredesâ motion as one seeking to appear as a non-attorney representative, and the Court will consider whether he meets the non-attorney criteria under Rule 46. As stated in Thomas, supra, there are four categories of non-attorneys who may appear before the Court under Rule 46. The four categories are:
1. Those admitted to practice under the direct supervision of an attorney admitted to the bar of the Court;
2. Those employed by an organization which is chartered by Congress, is recognized by the Department of Veterans Affairs for claims representation, and provides a written statement signed by the organizationâs chief exfecutive officer certifying to the employeeâs: (a) understanding of the procedures and jurisdiction of the Court and of the nature, scope, and standards of its judicial review; and (b) proficiency to represent appellants before the Court;
3. Those appearing pro se; and
4. Those who, on motion and upon a showing of good cause, may be permitted by the Court to appear for the purpose of a particular case.
Thomas, 1 Vet.App. at 291. The first three categories do not apply here. With respect to the fourth category, the Court in Thomas noted that the showing of âgood causeâ under the fourth category as to a non-attorney representative who is not accountable either to an attorney or a chartered and recognized veteransâ service organization, is for the protection of both the appellant and the Courtâs integrity. Id. Permission to appear in such capacity is limited to those circumstances where the showing of good cause satisfies the intent, structure, and context of Rule 46. Such a showing generally requires:
(1) that there be a special relationship, other than contractual, between an appellant and the non-attorney; (2) that no fee be charged by the non-attorney for representation services rendered; and (3) that special circumstances exist that limit the ability of the appellant to otherwise proceed pro se.
Id. The Court has âwide discretionâ in interpreting the term âgood cause,â and when exercising such discretion, will consider the âcontext of the language of the rule and the specific situation presentedâ in each case. Id. The Court concludes that because Mr. Paredes entered into a fee agreement with the appellant, Mr. Paredes may not appear pro hac vice before the Court pursuant to Rule 46(c) as a non-attorney representative.
In light of the Courtâs denial of the motion of Mr. Paredes to appear pro hac vice, the Court deems it appropriate that, in order to permit the appellant to make possible arrangements for representation,
III. CONCLUSION
Because the requisite showing has not been made in the instant case, the Court will deny the motion to permit Mr. Pa-redes to appear before the Court, pursuant to Rule 46(c), as an attorney or as a non-attorney representative in this case. The appellant is to proceed with this appeal either pro se or with representation that meets the requirements of Rule 46. The Clerk will return to Mr. Paredes the brief he submitted on behalf of the appellant. The Court will sua sponte stay the proceedings in this appeal for 90 days from the date of this opinion to permit the appellant to make possible arrangements for representation. Accordingly, the appellant, not later than 90 days after the date of this opinion, shall file with the Court notification as to whether she is proceeding pro se or whether she has obtained representation. This case is withdrawn from the panel.
. Section 1904(e)(5) of title 48, U.S.Code, provides: "As used in this subsection, the