Opinion ID: 2621451
Heading Depth: 1
Heading Rank: 4

Heading: Was Asch's right to effective assistance of counsel violated as a result of a conflict of interest in his representation at the preliminary hearing?

Text: [¶ 11] Claims of ineffective assistance of counsel are reviewed under the following standard: Wyoming has a well-established and oft-repeated standard for reviewing claims of ineffective assistance of counsel: `When reviewing a claim of ineffective assistance of counsel, the paramount determination is whether, in light of all the circumstances, trial counsel's acts or omissions were outside the wide range of professionally competent assistance. Herdt v. State, 891 P.2d 793, 796 (Wyo. 1995); Starr v. State, 888 P.2d 1262, 1266-67 (Wyo.1995); Arner v. State, 872 P.2d 100, 104 (Wyo.1994); Frias v. State, 722 P.2d 135, 145 (Wyo.1986). The reviewing court should indulge a strong presumption that counsel rendered adequate assistance and made all significant decisions in the exercise of reasonable professional judgment. Herdt, at 796; Starr, at 1266; Arner, at 104; Strickland v. Washington, 466 U.S. 668, 689, 104 S.Ct. 2052, 2065, 80 L.Ed.2d 674 (1984). Under the two-prong standard articulated in Strickland and Frias, an appellant claiming ineffective assistance of counsel must demonstrate on the record that counsel's performance was deficient and that prejudice resulted. Strickland, 466 U.S. at 687, 104 S.Ct. at 2064; Starr, at 1266; King v. State, 810 P.2d 119, 125 (Wyo.1991) (Cardine, J., dissenting); Campbell v. State, 728 P.2d 628, 629 (Wyo.1986); Frias, 722 P.2d at 145. In other words, to warrant reversal on a claim of ineffective assistance of counsel, an appellant must demonstrate that his counsel failed to render such assistance as would have been offered by a reasonably competent attorney and that counsel's deficiency prejudiced the defense of [the] case. Lower v. State, 786 P.2d 346, 349 (Wyo.1990). The benchmark for judging any claim of ineffectiveness must be whether counsel's conduct so undermined the proper functioning of the adversarial process that the trial cannot be relied upon as having produced a just result. Strickland, 466 U.S. at 686, 104 S.Ct. at 2064.' Chapman v. State, 2001 WY 25, ¶ 6, 18 P.3d 1164, 1168-69 (Wyo.2001) ( quoting Grainey v. State, 997 P.2d 1035, 1038-39 (Wyo.2000)). Becker v. State, 2002 WY 126, ¶ 12, 53 P.3d 94, 98-99 (Wyo.2002) ( quoting Reyna v. State, 2001 WY 105, ¶ 19, 33 P.3d 1129, 1134-35 (Wyo.2001)). An appellant bears the burden of proving that counsel was ineffective. Barkell v. State, 2002 WY 153, ¶ 10, 55 P.3d 1239, 1242 (Wyo.2002). [¶ 12] The State does not contest Asch's assertion that the preliminary hearing is a critical stage in the criminal proceedings at which a defendant has a constitutional right to the assistance of counsel. See Davila v. State, 831 P.2d 204, 214 (Wyo.1992) (Urbigkit, C.J., dissenting); Auclair v. State, 660 P.2d 1156, 1160 (Wyo.), cert. denied, 464 U.S. 909, 104 S.Ct. 265, 78 L.Ed.2d 249 (1983); and Hurst v. State, 563 P.2d 232, 235 (Wyo. 1977). In turn, Asch does not base his argument on the failure of his assigned counsel to appear at the preliminary hearing. [1] Instead, Asch premises his argument that he received ineffective assistance of counsel at the preliminary hearing on the theory that Bierman's representation of him created a conflict of interest because Thomas Smith (Smith), who represented Asch's co-defendant Sutton, was also an assistant public defender within Bierman's office. [¶ 13] It is, perhaps, obvious that an attorney with a direct, personal conflict of interest might not provide effective representation to a defendant. An attorney who is related to a crime victim, for instance, should not be called upon to represent the alleged perpetrator of that crime. That type or level of conflict, where the attorney's personal interests conflict with those of his client, is readily recognized. Almost as apparent is the conflict of interest created when one attorney, though free of personal conflict, attempts to represent two people charged with the same crime. In that situation, the interests that conflict are the interests of the two defendants. Joint representation of conflicting interests is suspect because of what it tends to prevent the attorney from doing. For example,... [joint representation] may well... preclude[] defense counsel ... from exploring possible plea negotiations and the possibility of an agreement to testify for the prosecution, provided a lesser charge or a favorable sentencing recommendation would be acceptable. Generally speaking, a conflict may also prevent an attorney from challenging the admission of evidence prejudicial to one client but perhaps favorable to another, or from arguing... the relative involvement and culpability of his clients in order to minimize the culpability of one by emphasizing that of another. Examples can be readily multiplied. ... [I]n a case of joint representation of conflicting interests the evilit bears repeatingis in what the advocate finds himself compelled to refrain from doing, not only at trial but also as to possible pretrial plea negotiations and in the sentencing process. Shongutsie v. State, 827 P.2d 361, 365 (Wyo. 1992) ( quoting Holloway v. Arkansas, 435 U.S. 475, 489-90, 98 S.Ct. 1173, 1181-82, 55 L.Ed.2d 426 (1978)) (emphasis in original). [¶ 14] Because the potential for a conflict of interest `inheres in almost every instance of multiple representation,' this Court has rejected a case-by-case inquiry, and has adopted the rule that prejudice will be presumed in all instances of multiple representation of criminal defendants and, in the absence of an appropriate waiver, multiple representation will constitute reversible error. Shongutsie, 827 P.2d at 367 ( quoting Cuyler v. Sullivan, 446 U.S. 335, 348, 100 S.Ct. 1708, 64 L.Ed.2d 333 (1980)). This rule applies whether the co-defendants are tried jointly or separately. Kenney v. State, 837 P.2d 664, 673 (Wyo.1992). [¶ 15] W.R.Cr.P. 44(c) governs the process for obtaining a waiver of the potential conflict of interest in a case of joint representation: Whenever two or more defendants have been charged with offenses arising from the same or related transactions and are represented by the same retained or assigned counsel or by retained or assigned counsel who are associated in the practice of law, the court shall promptly inquire with respect to such joint representation and shall personally advise each defendant of the right to the effective assistance of counsel, including separate representation. Unless it appears that there is good cause to believe no conflict of interest is likely to arise, the court shall order separate representation. While such a waiver may allow a defendant to be represented by the attorney of his choice, despite the potential conflict of interest, it does not rid the attorney of his obligation to abide by the rules of professional conduct. Kenney, 837 P.2d at 673-74; Shongutsie, 827 P.2d at 367. [2] [¶ 16] W.R.Cr.P. 44(c) was adopted in response to Shongutsie. Kenney, 837 P.2d at 664 n. 1, 675 n. 11. It contains two provisions specifically applicable to the instant case. First, conflict of interest must be addressed not only where co-defendants are charged with the same offense, but where they are charged with offenses arising from the same or related transactions.... Consequently, the fact that Asch was charged with a methamphetamine offense, while Sutton was charged with a marijuana offense, does not negate the necessity for a conflict of interest inquiry. And second, conflict of interest must be addressed not only where co-defendants are represented by the same attorney, but also where they are represented by retained or assigned counsel who are associated in the practice of law.... The question is the effect, if any, of the fact that Bierman, who represented Asch at the preliminary hearing, and Smith, who represented Sutton, both worked in the Casper office of the State Public Defender. [¶ 17] Asch contends that the appearance of both Bierman and Smith in these related cases requires reversal of his conviction because (1) based on Shongutsie, a presumption of prejudice exists; (2) the State Public Defender's Office is a firm within the meaning of the rules of professional conduct; [3] and (3) the State Public Defender's Office is not exempt from the requirement that attorneys must provide effective assistance of counsel, free from any conflict of interest. [4] [¶ 18] The State counters Asch's argument first by noting that the facts of this case are clearly distinguishable from the facts in both Shongutsie and Kenney. In Shongutsie, one lawyer represented two defendants in a joint trial. In Kenney, one lawyer represented two defendants in separate trials. Here, separate attorneys in the Casper office of the State Public Defender briefly represented two co-defendants in separate proceedings. [5] The question of first impression for this Court is whether we should adopt a per se rule presuming a conflict of interest and disqualifying by imputation attorneys within the State Public Defender's Office from separately representing defendants charged with offenses arising from the same incident. [¶ 19] The State contends that Wyoming should follow the lead of other states that have found public defenders' offices different from private law firms, and have concluded that a case-by-case inquiry into conflicts of interest is appropriate. See, for example, People v. Daniels, 52 Cal.3d 815, 277 Cal. Rptr. 122, 802 P.2d 906, 915, cert. denied, 502 U.S. 846, 112 S.Ct. 145, 116 L.Ed.2d 111 (1991) (automatic disqualification would hamper ability of public defender to represent indigents in criminal cases); State v. Pitt, 77 Hawai`i 374, 884 P.2d 1150, 1156 (1994) (case-by-case inquiry because public defender's office, as a government office, is different from a law firm); People v. Miller, 79 Ill.2d 454, 38 Ill.Dec. 775, 404 N.E.2d 199, 202 (1980) (no per se rule is necessary; a case-by-case analysis is sufficient to determine whether any facts peculiar to the case preclude multiple representation within a public defender's office); and State v. Bell, 90 N.J. 163, 447 A.2d 525, 528 (1982) (same potential for prejudice does not exist in public defender's office). [¶ 20] In his Reply Brief, Asch points out numerous cases that have reached the opposite conclusion. See, for example, Ward v. State, 753 So.2d 705, 708 (Fla.App.2000) (public defender's office is equivalent of a law firm for conflict purposes); Perkins v. State, 226 Ga.App. 613, 487 S.E.2d 365, 368 (1997) (for purposes of claims of ineffective assistance of counsel, lawyers in the same public defender's office are considered members of a law firm); State v. Watson, 620 N.W.2d 233, 241 (Iowa 2000) (representation of two clients by different attorneys from a public defender's office constitutes dual representation for purposes of conflict of interest analysis); and Jackson v. State, 329 S.C. 345, 495 S.E.2d 768, 773 (1998) (multiple representation out of a public defender's office may be a conflict of interest). [¶ 21] We are quite cognizant of the fact that, in Reynoldson, and again in Shongutsie, we emphasized the need to maintain caution in multiple representation cases, despite the limited resources of the State Public Defender's Office, `where any conflict in representation could be envisioned.' Shongutsie, 827 P.2d at 367 ( quoting Reynoldson v. State, 737 P.2d 1331, 1336 (Wyo.1987)). We continue to adhere to that principle. Nevertheless, because representation of separate defendants by separate attorneys is fundamentally different than representation of separate defendants by a single attorney, we agree with the courts of those jurisdictions that have found a case-by-case inquiry, rather than per se disqualification, appropriate for cases alleging a conflict of interest based on representation of co-defendants by separate attorneys from the State Public Defender's Office. We do not consider this to conflict with the holdings of Shongutsie and Kenney. [¶ 22] There are several reasons we reject automatic disqualification of assistant public defenders under these circumstances. The first reason is aptly stated in Comment d(iv) to Section 203(2) of The Restatement (Third) of Law Governing Lawyers: [P]ublic defenders who are subject to a common supervisory structure within an organization ordinarily should be treated as independent for purposes of [imputing conflicts of interest]. The lawyers provide legal services, not to the public defender office, but to individual defendants. Ordinarily, the office would have no reason to give one defendant more vigorous representation than other defendants whose interests are in conflict. Thus, while individual defendants should be represented by separate members of the defender's office, the representation of each defendant should not be imputed to other lawyers in an office where effective measures prevent communications of confidential client information between lawyers employed on behalf of individual defendants. [¶ 23] Similarly, there is no financial incentive for attorneys in a public defender's office to favor one client over another. People v. Christian, 41 Cal.App.4th 986, 48 Cal.Rptr.2d 867, 874 (1996). The public defender does not receive more money if one client prevails and another does not. See, David H. Taylor, Conflicts of Interest and the Indigent Client: Barring the Door to the Last Lawyer in Town, 37 Ariz. L.Rev. 577, 606 (1995). An assistant public defender, as a salaried government employee, simply does not have the financial interest in a case that is inherent in private practice. Turbin v. Superior Court In and For County of Navajo, 165 Ariz. 195, 797 P.2d 734, 737 (1990); Bell, 447 A.2d at 528. [¶ 24] Another reason to adopt a case-by-case inquiry for conflicts of interest within the State Public Defender's Office is that to do otherwise would needlessly jeopardize the right of individual defendants to skilled and competent representation. As noted by the Illinois Supreme Court, [i]n many instances the application of such a per se rule would require the appointment of counsel with virtually no experience in the trial of criminal matters, thus raising, with justification, the question of competency of counsel. People v. Robinson, 79 Ill.2d 147, 37 Ill.Dec. 267, 402 N.E.2d 157, 162 (1979). See also Bell, 447 A.2d at 528. [¶ 25] We do not wish to overstate this argument, inasmuch as all Wyoming attorneys are expected to have some level of knowledge of criminal law. But it goes without saying that an experienced public defender who specializes in criminal defense is a valuable asset within the criminal justice system, especially to the indigent defendant. Furthermore, given Wyoming's many small communities, with a limited number of lawyers, it could be difficult in many cases even to find local counsel for a defendant. [¶ 26] The third reason to avoid an automatic disqualification rule for imputed conflicts of interest among assistant public defenders is fiscal. Paying outside counsel every time there are multiple defendants in a case would, no doubt, be quite an expense for the taxpayers of the state. Where there has been no showing of an actual conflict of interest, and thus no showing of prejudice to the defendants, the minimal benefit of a per se rule would not justify the additional expense. While we cannot and should not put a price on the legal representation we provide to indigent defendants, the judicial branch of government still has an obligation to be fiscally responsible. [¶ 27] Finally, a per se disqualification rule is not necessary because W.R.Cr.P. 44(c) already provides an effective mechanism for dealing with potential conflicts of interest in cases of multiple representation. [6] Whether or not assistant public defenders that work out of the same office are, or are not, comparable to members of a private law firm, they are certainly associated in the practice of law and there is no reason W.R.Cr.P. 44(c) should not apply to them. [¶ 28] In a perfect world, W.R.Cr.P. 44(c) would always be applied just as it is written. The assistant public defenders assigned to represent co-defendants would notify the judge of such assignment. The judge would then immediately hold a hearing, where inquiry would be made into any possible conflicts of interest, and where the defendants' rights and options would be explained to them. Absent a waiver by the defendants or a finding by the judge that there was good cause to believe no conflict of interest was likely to arise, separate counsel would be appointed. And, of course, a perfect record would be made of all the proceedings. [¶ 29] Unfortunately, the instant case took place in the real world, and perfect procedures were not followed. To the credit of the State Public Defender's Office, a contract attorney, McLeod, was assigned to represent Asch, presumably because Smith had been appointed to represent Sutton. [7] But the preliminary hearing was set and held before McLeod was even aware of the appointment. That resulted in Bierman's appearance in her stead. [¶ 30] At this point, it should be remembered that the only conflict of interest issue raised is Bierman's appearance at the preliminary hearing. The question is whether, given Smith's appointment to represent Sutton, Bierman's brief representation of Asch that day in circuit court created such a conflict that Asch's later conviction by a jury in district court should be reversed. The limited nature of this question makes it less difficult to apply an after the fact analysis than would be true in many cases. [¶ 31] Bierman testified at the motion hearing that, as the supervising attorney in the Casper office, he assigned particular attorneys to particular felony cases. Misdemeanors, however, were assigned on a rotating basis by the office secretaries. Asch was charged with a felony, but Sutton was only charged with a misdemeanor. Consequently, Bierman would have assigned Asch's case to McLeod, but he would not have assigned Sutton's case to Smith. Bierman further testified that, at the time of Asch's preliminary hearing, he was not even aware that Sutton was being represented by his office. If multiple representation can be seen as an attempt to serve two masters, then there was no conflict of interest here because Bierman was not even aware that there were two masters to serve. [8] [¶ 32] One other aspect of Bierman's testimony leads to the conclusion that no conflict of interest arose in this case. Bierman testified that, since it was his practice to advise attorneys for whom he had covered a hearing what had transpired at that hearing, he probably did so with McLeod. On the other hand, Bierman could not recall ever having discussed the case with Smith. There is nothing in the record to contradict these assertions, so the only evidence is that no information obtained by Bierman during the preliminary hearing was used to Sutton's advantage or Asch's disadvantage. [¶ 33] Looking, both figuratively and literally, at the bottom line of W.R.Cr.P. 44(c), we can only conclude that there is good cause to believe that no conflict of interest occurred in this case. Considering the broader standard of effective assistance of counsel, we also conclude that counsel's performance in this case was not outside the wide range of professionally competent assistance, and we can find nothing in the record that substantiates any prejudice having befallen Asch by Bierman's appearance at the preliminary hearing. [9] [¶ 34] It should be obvious that conflict of interest issues should not come before this Court in the manner that this case came here. Both the attorneys and the judge have a duty to recognize potential conflicts and to deal with them in open court, with the participation of the defendants, before representation has been compromised. In the instant case, however, the single incident underlying the claim of a conflict of interest occurred before there was any reasonable opportunity for the potential conflict to be recognized. Further, there simply is nothing in the record from which we can find that an actual conflict of interest existed. We conclude that Asch did not receive ineffective assistance of counsel at his preliminary hearing.