Source: https://casetext.com/case/aceves-v-superior-court
Timestamp: 2019-04-23 12:19:09+00:00

Document:
Appeal from Superior Court of San Diego County, No. SCE171710, Herbert J. Exarhos, Judge.
Francis J. Bardsley, Public Defender, Danny Lester and Gary R. Nichols, Deputy Public Defenders, for Petitioner.
Paul J. Pfingst, District Attorney, Thomas F. McArdle and Edward J. Mantyla, Deputy District Attorneys, for Real Party in Interest.
In this case, a supervising deputy public defender requested that the deputy assigned as trial counsel be relieved because of a conflict. The supervising deputy asserted he was unable to relate the facts that generated the conflict without breaching client confidences. He did, however, declare the conflict was strictly between the client and the public defender's office, it was created by a statement from the client that had caused a complete breakdown of the attorney-client relationship and it had nothing to do with threats to witnesses as the People suggested. The trial court nevertheless conditioned withdrawal on divulging the facts underlying the conflict and denied the motion.
We conclude the public defender's disclosure was sufficient to permit withdrawal, and the trial court should have granted the motion instead of placing the attorney in the untenable position of asserting the client's constitutional right to effective assistance only by sacrificing client confidences. Accordingly, we grant the petition.
The People filed a complaint against Armando Abreu Aceves (Abreu) charging him with attempted murder, penalty enhancements and previous "strikes." About the time the case was first called for trial, Abreu's attorney, Deputy Public Defender Danny Lester (Lester), advised the trial court he had an actual conflict with Abreu, which had just arisen and could not be waived, and requested the appointment of new counsel. Lester declared the conflict caused a "complete, utter and absolute" breakdown in the attorney-client relationship and precluded him from continuing the representation. He also stated he could not reveal the nature of the conflict without divulging client confidences or breaching ethical duties.
The People suggested the basis for Lester's motion involved threats to witnesses, threats that were neither privileged nor a proper basis for a "conflict." Concerned with the People's assertions, the lateness of the motion, and the defendant's "recalcitrant" conduct, the court asked Lester if the conflict had been created by Abreu or involved issues of dual representation or safety. Lester replied nonresponsively repeating he could not discuss the conflict without revealing privileged communications.
Abreu filed Marsden motions (see People v. Marsden (1970) 2 Cal.3d 118 [ 84 Cal.Rptr. 156, 465 P.2d 44]) in the past and had a motion to disqualify the judge pending.
Lester had originally requested an in camera hearing on the motion but later withdrew the request.
Nichols appeared in place of Lester who was, by this time, out of state apparently on vacation.
Nichols declined the invitation to address the court in camera saying: "Our obligation to the client is to maintain his confidences, period. I don't think that telling the court, even in camera with [the transcript] sealed, lives up to that obligation. I would gladly do it . . . if I thought I could serve both masters at the same time. [¶] But my understanding of the law is I can't disclose that information to anyone outside of the law firm — outside of the attorneys that represent this gentleman. I cannot disclose [that information] to the court."
"[i]t's a statement no one can ignore,"
Nichols could not describe the facts which generated the conflict without violating the privilege or breaching ethical obligations.
Unlike Lester's approach in the earlier motion, Nichols assured the court there was no basis for speculation that the conflict involved third parties or threats to witnesses: It was, to the contrary, a matter strictly between Abreu and the office of the public defender. Specifically, Nichols stated, "There is no third-party involvement in the factual basis of the conflict." Nichols went on to say, while nothing prevented the conflict from arising with successor counsel, the facts were situational — that is, peculiar to representation by Lester and the public defender's office — and there was no reason for Abreu to make the statement to new counsel.
Although accepting the honesty of Nichols's representations, the trial court was unsatisfied it knew anything more about the conflict than it knew at the last juncture and, therefore, denied the motion.
Abreu's counsel followed with another petition. We issued an order to show cause and set the matter for argument.
Although this petition like the previous one was filed in Abreu's name, the transcripts reflect Abreu was not asked his position on the motion to withdraw. Both deputy public defenders represented that the conflict rendered the office incapable of providing Abreu effective assistance. Given this posture, we view the writ petition as brought by the office of the public defender notwithstanding the filing in the client's name.
(1a) The debate before us focuses on disclosure. Relying chiefly on Uhl v. Municipal Court (1974) 37 Cal.App.3d 526 [ 112 Cal.Rptr. 478], the deputy public defender argues the trial court should have excused the public defender's office without requiring a further explanation of the facts giving rise to the conflict after he made, and the court accepted, his representations. The People counter Uhl is invalid and the trial court must be permitted to inquire into the facts of the conflict so that it has sufficient information upon which to evaluate whether the request to be relieved is meritorious. The People further assert that, if trial counsel refuses to reveal facts because of the attorney-client privilege, the court may disregard trial counsel's other representations and deny the motion.
"`Conflicts of interest may arise in various factual settings. Broadly, they "embrace all situations in which an attorney's loyalty to, or efforts on behalf of, a client are threatened by his responsibilities to another client or a third person or by his own interests."
The People concede the trial court accepted the honesty and sincerity of Nichols's representations.
(1c) The People argue the policy of deferring to defense counsel is not and should not be the law. Citing People v. Bonin (1989) 47 Cal.3d 808 [ 254 Cal.Rptr. 298, 765 P.2d 460], People v. Mroczko (1983) 35 Cal.3d 86 [ 197 Cal.Rptr. 52, 672 P.2d 835] and various other cases, the People take the position Uhl has been overruled sub silentio, the trial court is required to make an inquiry into the conflict and the court may not rely on the word of defense counsel alone.
We disagree. First, Uhl has not been overruled. Nor does it stand for the proposition, as the People suggest, that the trial court must accept a sweeping claim of conflict and "rubber stamp" counsel's request to withdraw. To the contrary, in Uhl, there was a discussion of the general nature of the conflict — that the conflict existed between Uhl and an unnamed client the office represented in another matter — but it was limited in scope by privileged matters.
(3b) Thus, Uhl does not abrogate the court's duty of inquiry or the attorney's obligation to provide information about the conflict. It simply limits the range of inquiry to prevent the required disclosure of communications that are confidential but form the factual basis of the conflict. The trial court still has a duty to explore the conflict, and counsel has a corresponding duty to respond, and to describe the general nature, as fully as possible but within the confines of privilege. At the same time, we note Bonin, Mroczko and the other cases do not directly involve requests to withdraw because of a conflict intertwined with a confidential communication from the client. In short, as we see it, Uhl remains unaffected by Bonin, Mroczko and other cases.
(1d) In the case before us, the trial court inquired and the deputy responded as completely as he could — that the conflict was between Abreu and the public defender, it caused a complete breakdown of the relationship and, most important, the public defender was not improperly relying on threats to witnesses or third parties as the basis of the conflict. Although counsel did not reveal the specific facts of the conflict, he gave the court meaningful information about the general nature of the conflict and made clear he properly evaluated exceptions to the privilege; all parties, including the prosecutor, were satisfied the communication was privileged. Under the circumstances, the disclosure was sufficient to permit withdrawal.
As noted in part II. B, post, the People concede the communication was privileged.
Second, the point of Bonin, Mroczko and the duty-of-inquiry cases is, as the People concede, to avoid the inevitable reversal on appeal where counsel advises the trial court, intentionally or otherwise, there is no conflict. Our case is the opposite: The public defender insists there is a conflict that necessitates immediate withdrawal and appointment of counsel with undivided interests so Abreu can be properly represented and the potential for reversal eliminated.
In this vein, we note case law ties the duty of inquiry to the duty of the trial court to ensure the "`trial is conducted with solicitude for the rights of the accused'" and to "`protect the right of the accused to have the assistance of counsel.'" ( Holloway v. Arkansas (1978) 435 U.S. 475, 484 [55 L.Ed.2d 426, 434, 98 S.Ct. 1173], citing Glasser v. U.S. (1942) 315 U.S. 60, 71 [86 L.Ed. 680, 699-700, 62 S.Ct. 457].) Thus, we would expect to see the duty of full inquiry triggered when defense counsel discounts the effect of a potential conflict. If "protect[ing] the right of the accused to have the assistance of counsel" is the goal, however, we question whether the scope of inquiry is as broad where as here the public defender's office asserts it has a disabling conflict, cannot provide effective assistance and must withdraw from the case.
The same considerations apply here. In addition, where the conflict is between lawyer and client — rather than between two or more clients — the lawyer is properly concerned divided loyalties may affect his or her full and active representation. Moreover, if there is no reason to doubt counsel's sincerity, the trial court properly relies on the lawyer. ( U.S. v. Hurt (D.C. Cir. 1976) 543 F.2d 162, 166-167 [177 App.D.C. 15] [client named defense counsel in suit].) Regardless of how others might react, only the trial lawyer can realistically appraise whether the conflict may have an impact on the quality of the representation or whether counsel's self-interest might stand in the way. ( Ibid., see also Smith v. Lockhart (8th Cir. 1991) 923 F.2d 1314, 1321; see also People v. Hardy, supra, 2 Cal. 4th at pp. 137-138.) In such cases, the court by necessity relies on the lawyer.
Finally, as Nichols stated, the public defender's office does not declare conflicts lightly. Rather, as indicated in the original petition and at oral argument, conflicts proceed up the chain of command for review by the supervisor of the deputy assigned to try the case, the chief trial deputy and higher administrators in the office.
As far as the public defender is concerned, we believe an affirmative representation by personal appearance or declaration to the effect that the chain of command has reviewed the facts and concurs there is a conflict is a necessary prerequisite for this type of motion. There is ample support that such a procedure was followed in this case.
Thus, at least in this case, the trial court was not being asked to take one lawyer's word for it. It had the assurance the matter had been evaluated by attorneys with different levels of experience and responsibility and, were it possible, the office would continue the representation. We add such review by superiors in the office of the public defender makes the People's argument that a deputy may seek to be relieved to go on vacation a remote possibility. Likewise, the fact that, if the motion is granted, the events leading up to withdrawal are subject to scrutiny and, if appropriate, reporting by successor counsel, makes unlikely the People's assertion the motion will be used for delay or other improper purposes. In sum, the procedure to a large degree contains its own checks and balances.
Nichols added, had the conflict been limited to Lester and Abreu, the office "would do its best to get another attorney up to speed to adequately represent this defendant as quickly as possible," but that was not the case.
We also reject the People's argument that defense counsel's option was simply to provide privileged information in camera or remain on the case. First, the People provide no support for their premise. Second, the argument is seriously undercut by the People's concession that the attorney-client privilege appears with few exceptions to be "absolute" and the exceptions apparently do not apply. Finally, if endorsed, such a result would pit the right to conflict-free representation against the preservation of client confidences, exert a chilling effect on the constitutional guarantee of effective assistance and free flow of attorney-client communications, and leave the public defender with a Hobson's choice no attorney should have to make.
"The State argues . . . that to credit [counsel's] representations to the trial court would be tantamount to transferring to defense counsel the authority of the trial judge to rule on the existence or risk of a conflict and to appoint separate counsel. In the State's view, the ultimate decision on those matters must remain with the trial judge; otherwise unscrupulous defense attorneys might abuse their `authority,' presumably for purposes of delay or obstruction of the orderly conduct of the trial.
The same applies to the separation of powers argument. The trial court maintains the authority to (1) inquire into counsel's representations as long as it does not improperly require the disclosure of confidential client communications and (2) punish attorneys who abuse the process for purposes of obstruction or delay. However, where as here counsel maintains he must step down because of a disabling conflict, the conflict concededly involves privileged communications and the trial court admittedly accepts counsel's representations, the court may not deny the motion to withdraw.
I respectfully but strongly disagree with my colleagues. The attorney-client privilege and the duty to maintain inviolate client confidences are statutory enactments with constitutional implications and are deserving of the strongest protection. It is necessarily the case, however, that in some circumstances rights and protections must yield to ensure the preservation of other equal or greater interests. In this case we deal with such circumstances.
On the morning trial was set to commence, counsel informed the court a conflict existed with his client such that he was ethically unable to proceed to trial. Noting such conflict was the result of a communication with the defendant, counsel refused to disclose, to any useful extent, its nature. A second hearing came no closer to disclosing the nature of the conflict. All the while, Aceves has refused to waive his right to a speedy trial.
Indeed, defense counsel requested a stay of the trial over Aceves's objection and we granted the stay on September 30, 1996, pursuant to a good cause finding under Penal Code section 1382.
Counsel's reticence and the defendant's refusal to waive his right to a speedy trial placed the trial court in an unenviable position. The court could refuse to discharge the attorney and, in the event of a conviction, face the certain prospect of an attack based on the claim defendant proceeded to trial with conflicted counsel. On the other hand, the court could abdicate its responsibility to determine an important legal issue and to protect the rights of the accused to a speedy trial by blindly accepting counsel's conclusion a conflict exists. Doing so, however, might well eliminate or compromise other of the defendant's rights in the event counsel's legal conclusion concerning the conflict was in error. For example, an in-custody defendant such as Aceves would face a long delay of his case with all the detriments inherent in a less than speedy trial.
The People have argued this case involves gang-related activities in which witnesses' appearances may be tenuous.
None of this is necessary. If one assumes the confidentiality protection exists to assure the defendant is adequately represented, it serves no ultimate interest of the defendant or the criminal justice system to require a court to make a decision as crucial as the discharge of counsel totally ignorant of the circumstances claimed to require it. A wise balancing of the interests involved leads to the conclusion that, at least to a degree, the attorney-client privilege and the duty to maintain confidences must yield to the obvious need of the trial court to have information on which to base a significant legal decision.
In the present case any compromise of the privilege would be minor. There is no need for a confidence to be released to the world — only to the trial judge, or if appropriate to another judge, in a closed hearing resulting in a sealed transcript. Further, it may not be necessary in such a closed hearing to reveal the confidence; only enough must be shown under the circumstances of the case to sufficiently demonstrate a conflict exists. It is my view counsel's comments in this case have not reached that stage.
Under the facts of Uhl, where there is an early report of a situation in which conflict often occurs, a balancing of the interest in maintaining a client confidence may outweigh any competing interest. However, under other circumstances, like those in the present case, it would be a wholesale abdication of judicial authority and an abandonment of a court's responsibility to protect the rights of a defendant to discharge counsel without an inquiry sufficient to convince the court a conflict exists. I cannot join in such an act.

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