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IN THE MATTER OF:
MARILYN ARONS, RUTH WATSON and PARENT INFORMATION CENTER OF NEW JERSEY, INC.,RESPONDENTS.
No. 440, 1999
July 6, 2000
UPL No. 4, 1996
Before Veasey, Chief Justice, Walsh, Holland, Hartnett,
(Retired Justice sitting by designation pursuant to Del. Const. art.
IV Sec. 38) and Berger, Justices, constituting the Court En Banc.
Mary M. Johnston, Esquire, Chief Counsel and Michael
S. McGinniss, Esquire, Disciplinary Counsel, (argued), Office of Disciplinary
Counsel, Wilmington, Delaware, for Appellee.
Walter Speed Rowland, Esquire, Wilmington, Delaware
and David C. Vladeck, Esquire (argued) and Amanda Frost, Esquire,
Public Citizen Litigation Group, Washington, D.C. for Appellants-Respondents.
Bill Lann Lee, Esquire, Acting Assistant Attorney General,
Mark L. Gross, Esquire, and Lisa J. Stark, Esquire, Department of
Justice, Washington, D.C., for The United States as Amicus Curiae.
The opinion of the court was delivered by: Walsh, Justice
Submitted: May 23, 2000
Upon Review of the Findings and Recommended Disposition of the Board on the Unauthorized Practice of Law.
Affirmed.
This is an appeal from a decision of the Board on the
Unauthorized Practice of Law (the “Board”), an arm of the Supreme
Court of Delaware, concluding that the appellants had engaged in the
unauthorized practice of law. The appellants, supported by the United
States Department of Justice as amicus curiae, contend that the Board
erred in not recognizing their entitlement under federal law to represent
parents of children with disabilities before State administrative
agencies. That entitlement, it is argued, preempts state law and is
supported by due process considerations. We conclude, however, that
the Board’s decision is supported by the evidence and free of any
error of law. Accordingly, we affirm.
I.
The appellants, Marilyn Arons and Ruth Watson, are,
respectively, the founder and Executive Director of Parent Information
Center of New Jersey, Inc. (collectively “Appellants”). The Parent
Information Center is a non-profit organization founded in 1977 that
provides advice, counseling and advocacy services to families of children
with disabilities. On five occasions, the Center has represented families
of children with disabilities in “due process” hearings held by the
Delaware Department of Public Instruction pursuant to the federal
Individuals with Disabilities Education Act (“IDEA”), 20 U.S.C. §
1400 et seq.
[1]
Four of these five hearings were handled by Arons,
while the other hearing was handled by Watson. Although neither Arons
nor Watson is an attorney, both possess special knowledge and training
with respect to the problems of children with disabilities.
The IDEA is intended to “ensure that children with
disabilities and their parents are guaranteed procedural safeguards
with respect to the provision of free appropriate public education.”
20 U.S.C. § 1415(a). Under the IDEA, the parents of a disabled
child are entitled to challenge any proposal to change or initiate,
or refusal to change or initiate, the identification, evaluation,
educational placement or any other aspect of the provision of a free
appropriate public education service to that child. See id. at §
1415(b)(3). When complaints are received, “the parents involved in
such complaint shall have the opportunity for an impartial due process
hearing.” Id. at § 1415(f).
Due process hearings in Delaware are conducted in a
manner typical of contested, adjudicatory hearings. The parties include
the parent(s), the local school board and the Department of Public
Instruction. The hearing is conducted by a three-member panel consisting
of an attorney admitted to practice in Delaware; an educator who is
either certified in the area of special education or who has been
a post-secondary educator in the area of programs for students with
disabilities; and a lay person with demonstrated interest in the education
of students with disabilities from an approved list compiled by the
Governor’s Advisory Counsel for Exceptional Citizens. Hearings are
chaired by the attorney member of the panel.
Due process hearings usually last from two to four
days. The school board and the Department of Public Instruction are
always represented by counsel. The hearing begins with opening statements
from each party. Evidence is then presented through witnesses, who
are subjected to direct and cross-examination. Although the rules
of evidence do not apply strictly, the Chair rules on legal issues,
the qualification of experts and objections to relevance, materiality
and admissibility. Following the presentation of evidence, the parties
make closing statements and may be asked to file written submissions
on key questions.
On August 8, 1996, the Office of Disciplinary Counsel
(“ODC”) filed a petition with the Board requesting that Arons, Watson
and the Parent Information Center be declared to have engaged in activities
constituting the unauthorized practice of law by representing families
of children with disabilities in due process hearings. While admitting
the representation of at least five such families in Delaware due
process hearings, Appellants denied that their activities, even if
amounting to the practice of law, constitute the unauthorized practice
of law. They argued that section 1415(h)(1) of the IDEA permits the
representations in which they have engaged and preempts any state-law
proscription against the unauthorized practice of law that might otherwise
apply. That section provides that any party to a due process hearing
“shall be accorded . . .the right to be accompanied and advised by
counsel and by individuals with special knowledge or training with
respect to the problems of children with disabilities.” They also
claimed that Delaware is alone among the fifty states in precluding
non-lawyer representation in these circumstances.
The matter was submitted to the Board on a stipulation
of facts, including transcripts of due process hearings, briefs, oral
argument and post-hearing correspondence. On September 24, 1999, the
Board issued a written opinion concluding that the IDEA does not authorize
the practice of law by non-lawyers, including Appellants, in due process
hearings. This appeal followed. Following the entry of this appeal,
the United States Department of Justice sought leave to appear as
an amicus curiae. Leave was granted and the Department has filed a
brief in support of Appellants’ position.
II.
The present appeal poses the first occasion for this
Court to exercise its power of review of decisions of the Board. Under
Supreme Court Rule 86(e), this Court will accept factual findings
by the Board so long as they are supported by substantial evidence.
We review on a de novo basis findings by the Board related to legal
issues. See Supr. Ct. R. 86(e). Because the parties stipulated to
the facts in this matter and the only dispute relates to matters of
law, this Court’s review on all issues is de novo.
Appellants’ principal argument is that the IDEA guarantees
parents the right to have trained non-lawyers advocate on their behalf
in due process hearings. They contend that the IDEA could hardly be
clearer because it draws no distinction between counsel and “individuals
with special knowledge or training with respect to the problems of
children with disabilities.” To the extent that Delaware law conflicts
with federal law, the argument runs, Delaware law is displaced and
federal law governs.
The ODC responds that the IDEA unambiguously supports
its position. It argues that counsel have inherent and presumptive
representational ability and authority, while educational consultants
do not, and that the statutory language of section 1415(h) neither
creates nor implies an equivalence of permissible roles for “counsel”
and for “individuals with special knowledge or training.”
Appellants and the ODC each argue that the pertinent
language of the IDEA in dispute -- “the right to be accompanied and
advised by counsel and by individuals with special knowledge or training
with respect to the problems of children with disabilities” -- unambiguously
supports their respective positions. We do not share the parties’
vision of clarity. In our view, section 1415(h)(1) is ambiguous to
the extent it appears to confer joint authority on lawyers and non-lawyers
to accompany and advise parents and others affected by the operation
of the due process hearings provided under the IDEA. That being said,
however, case law as well as statutory history support the ODC’s interpretation.
The pertinent language of section 1415(h)(1) has been
discussed by the United States Court of Appeals for the Third Circuit
in Arons v. New Jersey State Board of Education, 3d. Cir.,
842 F.2d 58 (1988). In that case, Appellant Arons sought an award
of fees for her successful representation of parents in a due process
hearing in New Jersey, where state law allows non-lawyers to represent
parents in due process hearings. In affirming a decision of the United
States District Court for New Jersey that held that the New Jersey
regulation authorizing such fees permitted payment of only legal fees
and not those of lay advocates, the court of appeals rejected the
statutory intent argument advanced by Appellants here. The court explained:
The carefully drawn statutory language does
not authorize these specially qualified individuals to render legal
services. Although the [IDEA] does give “[a]ny party to any hearing”
the right to “present evidence and confront, cross-examine, and compel
the attendance of witnesses,” those functions are not designated to
be performed by lay advocates. Furthermore, the statute does not use
the word “represent” in subsection (d)(1), as would be expected if
Congress intended to place expert and legal counsel on the same footing.
Our search through the legislative history has
failed to uncover any indication that Congress contemplated that the
“individuals with special knowledge” would act in a representative
capacity. The Senate Report describes the “individual[’s]” role as
one of consultation, with emphasis on the responsibility to identify
educational problems, evaluate them, and determine proper educational
placement.
The provisions’s [sic] text and history thus
cast substantial doubt on the plaintiff’s statement in her brief that
“Congress intended that no distinction be drawn between lawyers and
lay advocates.” 842 F.2d at 62-63 (citations omitted).
Because the sole issue presented in Arons was whether
a lay advocate, whose authority to represent parents in the IDEA proceedings
was unchallenged, was entitled to seek fees for her services, the
Arons holding is contextually distinct from the issue posed in this
appeal. We find the analysis of the federalism issue articulated by
the court of appeals to be persuasive. That court’s reference to a
1975 Senate Report discussing the IDEA is arguably
[2]
dicta. Nevertheless, the contents of the Senate
Report describing the non-lawyer’s role as one of consultation is
compelling evidence that Congress did not intend non-lawyers to advocate
on behalf of parents in due process hearings. See Arons, 842
F.2d at 62 (citing S. Rep. No. 94-168 (1975)).
Also supportive of the ODC’s proposed interpretation
of the IDEA are a Senate Conference Report addressing the statute
and remarks made by the original author of the Senate bill, Senator
Harrison Williams of New Jersey. The Conference Report states that
in administrative due process hearings a party is entitled to “the
right to counsel and to be advised and accompanied by individuals
with special knowledge, training or skills with respect to the problems
of handicapped children.” S. Conf. Rep. No. 94-455 (1975). Senator
Williams, in providing a detailed analysis of the legislation before
the Senate on November 19, 1975, echoed those words verbatim. See
121 Cong. Rec. 37416. This language confirms the clear distinction
that Congress envisioned between the representational role of counsel
and the advisory role of non-lawyers.
Recent amendments to the IDEA further bolster the ODC’s
position. Pursuant to these amendments, one of the safeguards required
for agencies receiving federal funds under the IDEA is the adoption
of procedures by the agency “that require the parent of a child with
a disability, or the attorney representing the child, to provide notice”
to the state or local educational agency of certain information in
connection with a complaint. 20 U.S.C. § 1415(b)(6) and (7) (emphasis
added). The word “attorney” is an indisputable reference to a member
of the Bar and not a layperson, even if that layperson possesses “special
knowledge or training with respect to the problems of children with
disabilities.” Equally supportive of the ODC’s position is the fact
that while the IDEA has been amended several times since Arons was
decided, Congress has not attempted to overrule that judicial interpretation.
Finally, Congress has explicitly included language in other federal statutes to permit lay representation where such a result was intended. See, e.g., 7 U.S.C. § 2020(e)(7) (Food Stamp Act provision allowing households in certification process to “be represented by a person other than a member of the household so long as that person has been clearly designated as the representative . . . and . . . is an adult.”). Congress obviously knows how to provide such authority when it wishes to do so. The absence of similar language in the IDEA strongly suggests that Congress chose not to create a right to lay representation in due process hearings.
Appellants place great reliance on, and request our
deference to, an interpretation of section 1415(h)(1) contained in
an April 8, 1981 letter of Theodore Sky, the then acting General Counsel
of the United States Department of Education. That letter was written
in response to a request by the Superintendent of Public Instruction
for the State of Washington for a “legal analysis regarding the role
of lay advocates in educational agency administrative hearings” conducted
under the IDEA. The superintendent suggested that the IDEA’s language
indicates that non-lawyers are not in fact authorized to engage in
activities conventionally viewed as legal representation, such as
examining and cross-examining witnesses. In its response, the Department
of Education rejected the superintendent’s reading of the IDEA, concluding
that notwithstanding the Senate Conference Report and the absence
in section 1415(h)(1) of the term “represent,” lay advocates are permitted
to represent parties at due process hearings and appeals under the
IDEA.
In reaching its conclusion that section 1415(h)(1)
authorizes lay representation in due process hearings, the Department
of Education relied on three factors. First, it reasoned that because
no “bifurcation of function” is set forth in the statute between counsel
on the one hand and individuals with special knowledge or training
on the other, the permissible roles of the two must be the same. Second,
the Department looked to the remarks of Congressman George Miller
and Senator Alan Cranston, both of California. Congressman Miller,
a member of the Subcommittee on Select Education which prepared the
House bill, explained section 1415(h)(1) to his colleagues by observing
that parents “will have the right to be accompanied by counsel or
other qualified individuals who possess ‘special knowledge or training
with respect to the education of handicapped children.’” 121 Cong.
Rec. 25539 (1975). Senator Cranston noted that the “procedural requirements
[of the IDEA] are consistent with the existing California statutory
and master plan requirements on this subject,” which, at the time,
permitted the lay representation of parties in California due process
hearings. 121 Cong. Rec. 37419 (1975). Third, the Department relied
upon the fact that lay representation had been authorized by Congress
for certain other types of administrative proceedings.
Because section 1415(h)(1) is arguably ambiguous, the
Department’s interpretation of that section is entitled to some level
of deference by this Court. See Chevron, U.S.A., Inc. v. Natural
Resources Defense Council, Inc., 467 U.S. 837, 843-45 (1984).
Here, however, that level of deference is modest. Where Congress has
not expressly delegated “authority to an agency to elucidate a specific
provision of the statute by regulation,” deference is due only to
a “reasonable” administrative interpretation. Id. at 843-44. Further,
less deference is due to informal agency interpretations, such as
that expressed in the Sky letter, than to formal agency regulations
adopted after a notice and comment period. See Cleary v. Waldman,
3d Cir., 167 F.3d 801, 807-08 (1999).
Even if this Court were required to give greater deference
to the Department of Education’s interpretation of section 1415(h)(1),
it is doubtful whether that interpretation could withstand the sheer
weight of the legal and factual support for the opposite conclusion.
The Department’s analysis of the statute is subject to criticism.
First, in concluding that the permissible roles of counsel and individuals
with special knowledge or training with respect to the problems of
children with disabilities must be the same, the Department overlooked
the inherent and presumptive representational authority with which
counsel are cloaked and non-lawyers are not. Second, the Department
selectively chose statements made by two lawmakers, while placing
no weight on the Senate Report, the Senate Conference Report, or the
remarks of Senator Williams. Such an approach renders that aspect
of the Department’s analysis questionable. See generally Consumer
Prod. Safety Comm’n v. GTE Sylvania, Inc., 447 U.S. 102, 118 (1980)
(“[C]ontemporaneous remarks of a single legislator who sponsors a
bill are not controlling in analyzing legislative history.”) Finally,
the Department’s reliance upon the fact that lay representation had
been authorized by Congress for certain other types of administrative
proceedings is puzzling because, as previously noted, that factor
actually supports the opposite conclusion -- that Congress knew how
to authorize lay representation when it wished to do so.
III.
In addition to their statutory interpretation argument,
Appellants contend even if the IDEA does not expressly entitle them
to represent parents in due process hearings, due process would be
violated by forbidding parents from having non-lawyer representation
in hearings under the IDEA. They note that due process hearings are
formal adversarial proceedings in which the State of Delaware funds
the attorneys who argue for the parents’ adversaries. Denying parents
and children access to “the only assistance available to them,” the
argument goes, raises “unyielding due process problems.”
[3]
The parties agree that Mathews v. Eldridge,
424 U.S. 319 (1976), governs the determination of what process is
due to safeguard a child’s fundamental right to education. Under Mathews,
courts must consider: (i) the importance of the individual interest
involved; (ii) the value of specific procedural safeguards to that
interest; and (iii) the governmental interest in fiscal and administrative
efficiency. See id. at 335.
The ODC acknowledges that the individual liberty interest
at stake in due process hearings under the IDEA is substantial. It
also concedes that some parents will forego their statutory right
to contest changes to their child’s education plan because they cannot
afford legal counsel and will opt not to proceed pro se due to the
complexity of the hearings and the prospect of facing two sets of
government lawyers. The ODC submits, however, that Appellants “grossly
and unfairly” exaggerate the risk that Delaware will deprive children
of that interest unless the children and their parents are allowed
to be represented by lay advocates. In this regard, the ODC notes
that Delaware’s Community Legal Aid Society has, on occasion, provided
representation at IDEA due process hearings to parents and children
whose cases satisfy the organization’s case acceptance criteria. The
ODC further contends that the State of Delaware has a compelling interest
in regulating the practice of law within its boundaries, and that
this interest significantly outweighs any potential benefit that some
individual parents and children may obtain through the services of
lay advocates.
We agree. A balancing of the Mathews factors
suggests that procedural due process would not be violated by forbidding
parents from having non-lawyer representation in hearings under the
IDEA. While there is no question of the importance of the individual
interests involved, it seems clear that parties to an IDEA hearing
are already provided with substantial procedural safeguards. The hearings
are conducted in a manner typical of contested, adversarial adjudicatory
hearings, including the direct and cross-examination of witnesses
and the required exchange of witness lists and documents in advance
of the hearing.
[4]
While we recognize that Appellants possess some
expertise in the area of the educational needs of disabled children,
they admittedly lack the training and skills that lawyers are expected
to exhibit in matters of evidence and procedure. Second, it seems
logical that the third Mathews factor, i.e., “governmental
interest in fiscal and administrative efficiency,” would encompass
this State’s exclusive authority to regulate the practice of law.
It would also implicate the ODC’s argument that lay advocates are
unregulated and, unlike members of the Bar, are not answerable to
the disciplinary process that operates as an arm of this Court. This
Court does not exercise its inherent authority to regulate the practice
of law for the purpose of protecting the financial interests of the
lawyer. Our role is to insure that the public will enjoy the representation
of individuals who have been found to possess the necessary skills
and training to represent others.
Finally, the record does not support Appellants’ assertion
that parents and children will be denied access to “the only assistance
available to them.” The stipulation of the parties does state that
the five families represented by the Appellants looked diligently
to find legal counsel to represent them on a reduced-cost or pro bono
basis prior to obtaining Appellants’ services. But the record also
reflects that Delaware’s Community Legal Aid Society has in the past
provided representation at IDEA due process hearings to parents and
children whose cases satisfy the organization’s case acceptance criteria.
The record further reflects that the State Superintendent of Public
Instruction and the district involved are required to provide information
to parents regarding the availability of free or low-cost legal services
which may be available. If it could be demonstrated that an unmet
need exists and that the local bar could not adequately respond, this
Court would consider the adoption of a rule allowing lay representation
in a certain limited class of cases. See, e.g., Supr. Ct. R. 57 (permitting
civil actions before Justice of the Peace Courts in which an artificial
entity or public body is a party to be prosecuted and/or defended
by an officer or employee of that artificial entity or public body,
who need not be an attorney duly licensed to practice law in this
State). At present, however, such a need has not been demonstrated.
IV.
For the foregoing reasons, the language of section
1415(h)(1) cannot be interpreted as granting any clear right to lay
representation. This conclusion renders moot Appellants’ claim that
the IDEA preempts any state-law proscription against the unauthorized
practice of law that might otherwise apply to the activities of such
individuals with special knowledge or training in this context. Accordingly,
we affirm the decision of the Board.
Last revised: 07/15/08
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[2]
The Senate Report actually
discusses the forerunner to the IDEA, the Education of All Handicapped
Children Act (“EHA”). Because the EHA and the IDEA are identical
with regard to the language relevant to the present discussion,
this opinion will not draw a distinction between the two Acts and
will refer to both as the IDEA.
[3]
This Court has some difficulty
understanding the applicability of this argument to the matter at
hand. It is not alleged that forbidding parents from having non-lawyer
assistance in hearings under the IDEA will deprive the Appellants
of their due process rights, nor are the parents, whose rights are
purportedly abridged, parties to this action. Appellants appear
to be acting as surrogates in pressing the due process claim. We
will address Appellants’ argument, however, in the context of adopting
a statutory construction that will avoid constitutional entanglements.
See DeBartolo Corp. v. Florida Gulf Coast Bldg. & Constr.
Trades Council, 485 U.S. 568, 575 (1988).
[4]
We also believe that the three
member panel consisting of an attorney, an educator in the area
of special education, and a lay person with demonstrated interest
in the education of students with disabilities, affords parents
an unbiased hearing and, coupled with the above mentioned safeguards,
adequate structural protection.
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