I represented a birthmother in an adoption where everyone agreed the adoptive parents would stay anonymous. She now wants her whole file, which names them. Can I redact or withhold those identities?

Plain-English summary

The inquiring attorney had represented a birthmother to find appropriate adoptive parents for her unborn child. The attorney interviewed potential couples, told them he or she represented the birthmother, and explained that the adoptive parents would pay the attorney's legal fees. All parties insisted on anonymity, and all correspondence ran through counsel, though the attorney's firm had inadvertently forwarded the birthmother a legal bill bearing the potential adoptive couple's name. The adoption agency required termination of both the birthmother's and birthfather's parental rights, and the birthmother said she did not know the birthfather's whereabouts. After the adoption was completed, the attorney closed the file and billed the adoptive couple.

The birthfather and birthmother then petitioned the court for custody of the baby, and the birthmother requested her file, which included the full identities of all the couples who had been interviewed. Concerned about disclosing those identities, the attorney asked whether he or she could edit references to the interviewed couples or withhold documents containing their identities.

The panel applied Rule 1.17(d), under which a lawyer, on termination, must take reasonably practicable steps to protect a client's interests, including surrendering papers and property to which the client is entitled. The panel emphasized that it advises on the Rules of Professional Conduct, not substantive law, and noted that Rhode Island law bars public inspection of adoption records absent a court order, citing R.I. Gen. Laws 1956 (1985 Reenactment) sections 8-10-21 and 23-3-15. The panel opined that the attorney had an obligation under Rule 1.17(d) to surrender papers and property belonging to the client to mitigate prejudice to the client's interests, but because all parties, including the birthmother, had agreed the identities of prospective adoptive parents would remain confidential, the attorney would not violate the Rules by withholding the prospective and actual adoptive parents' identities.

Currency note

This opinion was issued in 1995, after the Rhode Island Supreme Court adopted the Model Rules of Professional Conduct effective November 15, 1988, and it applies the file-surrender rule (then numbered Rule 1.17(d)) as originally adopted. The Rhode Island Supreme Court later revised the Rules of Professional Conduct in 2007 as part of the nationwide Ethics 2000 process; the corresponding Model Rule provision is Rule 1.16(d). Subsequent rule amendments or later opinions may have changed the analysis, and the cited statutes may have been amended. Treat this page as historical context, not current guidance. Verify against current rules before relying on any specific rule or statute mentioned here.

Common questions

Q: Did the birthmother have a right to her file?

A: The opinion recognized the attorney's obligation under Rule 1.17(d) to surrender papers and property belonging to the client to protect the client's interests.

Q: Did that mean the attorney had to disclose the adoptive parents' identities?

A: No. The opinion concluded that because all parties, including the birthmother, had agreed those identities would remain confidential, the attorney would not violate the Rules by withholding the prospective and actual adoptive parents' identities.

Q: Did the panel decide the adoption-records question under state law?

A: No. The opinion stated it advises on the Rules of Professional Conduct, not substantive law, and only noted that Rhode Island law bars public inspection of adoption records absent a court order.

Background and rules framework

The opinion applied Rhode Island Rule of Professional Conduct 1.17(d) as it stood at the time, the provision requiring a lawyer on termination to take reasonably practicable steps to protect a client's interests, including surrendering papers and property to which the client is entitled (the Model Rules address this subject in Rule 1.16(d)). The panel balanced that duty against the parties' shared agreement of confidentiality over the adoptive parents' identities, and it pointed to Rhode Island's statutory confidentiality of adoption records as background substantive law rather than as the basis for its ethics conclusion.

Citations and references

Rules of Professional Conduct:

• Model Rule 1.16(d) / RI RPC 1.17(d) (protecting client interests on termination; surrendering papers and property, as numbered at the time)

Statutes:

• R.I. Gen. Laws 1956 (1985 Reenactment) section 8-10-21 (confidentiality of adoption proceeding records)
• R.I. Gen. Laws 1956 (1985 Reenactment) section 23-3-15 (confidentiality of adoption proceeding records)

See also

• RI EAP Op. 95-04: Confidentiality of a client's documents and return of the file
• RI EAP Op. 89-13: Obligation to forward a client file to a second-opinion attorney
• RI EAP Op. 2016-04: Joint representation; each client entitled to the file

Source

• Landing page: https://www.courts.ri.gov/attorney-resources/Pages/Ethics-Advisory-Panel-default.aspx
• Original PDF: https://www.courts.ri.gov/Opinions/EAP%2095-13.pdf

Original opinion text

Best-effort transcription from a scanned PDF. Minor errors may remain; the linked PDF is authoritative.

FINAL

ETHICS ADVISORY PANEL
OPINION # 95-13, REQUEST # 572
Issued May 4, 1995

The inquiring attorney represented a birthmother for the purpose of finding appropriate adoptive parents for her unborn child. The inquiring attorney interviewed potential couples and informed them that he/she represented the birthmother and that the adoptive parents would pay the inquiring attorney's legal fees. All parties insisted upon anonymity and all correspondence between the parties was through counsel. The inquiring attorney's law firm inadvertently forwarded the birthmother the legal bill which had the name of the potential adoptive couple.

As part of the process, the adoption agency insisted that the parental rights of both the birthmother and birthfather be terminated. The inquiring attorney states that the birthmother insisted that she did not know the birthfather's whereabouts. Once the adoption was complete the inquiring attorney closed the file and billed the adoptive couple.

Thereafter, the birthfather and birthmother petitioned the court for custody of the baby. The birthmother has requested her file from the inquiring attorney which includes the full identities of all the couples who were interviewed. The inquiring attorney's concern with relinquishing the entire file to the birthmother is the disclosure of the identities of all parties involved. The inquiring attorney asks whether he/she may edit any reference to the couples who were interviewed and/or can he/she withhold documents that contain the couples' identities.

Rule 1.17 entitled "Declining or Terminating Representation" section (d) addresses an attorney's obligation to assist the client upon withdrawal or termination of representation. That rule states:

(d) Upon termination of representation, a lawyer shall take steps to the extent reasonably practicable to protect a client's interests, such as giving reasonable notice to the client, allowing time for employment of other counsel, surrendering papers and property to which the client is entitled and refunding any advance payment of fee that has not been earned.

The Panel renders advice based upon the Rules of Professional Conduct and not substantive law. The Rhode Island General Laws address substantive law and procedure for adoption proceedings. In Rhode Island the public is prohibited from inspecting records of an adoption proceeding unless disclosure of the information is granted by a court order. Rhode Island General Laws 1956 (1985 Reenactment) §§ 8-10-21 and 23-3-15.

The Panel opines that the inquiring attorney has an obligation under Rule 1.17(d) to surrender papers and property belonging to the client in order to mitigate any prejudice to the clients' interests. According to the facts, all parties involved, including the birthmother, agreed that the identities of prospective adoptive parents were to remain confidential. The Panel believes that the inquiring attorney would not be in violation of the Rules by withholding the prospective and actual adoptive parents' identities.