COMMONWEALTH of Pennsylvania v. James WESTBROOK, Appellant
Superior Court of Pennsylvania
Decided Nov. 22, 1976
369 A.2d 350 | 245 Pa. Super. 174
Submitted March 17, 1975.
Steven H. Goldblatt, Assistant District Attorney, and F. Emmett Fitzpatrick, District Attorney, Philadelphia, for appellee.
Before WATKINS, President Judge, and JACOBS, HOFFMAN, CERCONE, PRICE, VAN der VOORT and SPAETH, JJ.
This is an appeal nunc pro tunc from judgment of sentence. Appellant, James Westbrook, was arrested on May 30, 1972, and charged, inter alia, with aggravated robbery. An Assistant Defender from the Defender Association of Philadelphia represented appellant at the preliminary hearing on these charges. On November 15 and 16, 1972, appellant, having waived his right to a jury trial, was tried before a judge and found guilty of aggravated robbery. At this trial appellant was represented by a different Assistant Defender. On November 22, 1972, trial counsel filed post-trial motions for a new trial and in arrest of judgment. These motions contained only pro forma claims that the verdict was against the evidence, the verdict was against the weight of the evidence and the verdict was contrary to law. On June 26, 1973, post-trial motions were argued by a third Assistant Defender and denied.1 Appellant was then
[1] On April 16, 1974, appellant filed a pro se petition for relief under the
Appellant raises three arguments in support of his prayer for a new trial: (1) that a mistrial should have been granted when the district attorney indirectly informed the trial judge that appellant had previously been convicted of a criminal offense; (2) that appellant
In this case, because the PCHA hearing court granted leave to appeal to this court nunc pro tunc rather than leave to file proper post-trial motions nunc pro tunc, two of the claims in this appeal are not preserved and cannot be given consideration. Reid, supra; Commonwealth v. Agie, 449 Pa. 187, 296 A.2d 741 (1971). However, since appellant raised the issue of ineffective assistance in his PCHA petition and at the subsequent PCHA hearing, and as appellant is represented by different (than trial) counsel on this appeal, this contention is properly before us. Commonwealth v. Twiggs, 460 Pa. 105, 331 A.2d 440 (1975); Commonwealth v. Dancer, 460 Pa. 95, 331 A.2d 435 (1975).
A short review of the factual history of this case is necessary to an analysis of appellant‘s ineffective assistance claim. Appellant was charged with the robbery and beating of one Robert Really, which took place on May 23, 1972, in South Philadelphia. On May 30, 1972, Mr. Really was in the same area and observed appellant
At trial, appellant‘s defense rested on a theory of misidentification. It was asserted that appellant‘s brother, Alphonso Westbrook, rather than appellant, had robbed and beaten Mr. Really. Two witnesses, appellant‘s mother, Barbara Lou Westbrook, and a prison social worker, Scott T. Wilson, gave testimony for the defense. Mrs. Westbrook asserted that Alphonso had acknowledged his guilt to her. Wilson, on the other hand, recounted a meeting between the two brothers and himself where appellant had maintained his own innocence and his brother‘s guilt, while Alphonso had not protested. Detective Bonsera, who had been present at appellant‘s preliminary hearing, testified that at some point in that proceeding appellant‘s counsel suggested that Alphonso was going to admit that he had committed the crime with which appellant was charged.5 Detective Bonsera indicated further that before Alphonso could be approached regarding a statement, a second, unidentified (in the record before us) Assistant Defender advised Alphonso not to make any statement relating to the robbery of Mr. Really.6 During the period encompassing the pre-trial and trial stages of appellant‘s case, Alphonso was represented by another Assistant Defender (not one of those who represented appellant) in regard to a different criminal charge. Alphonso, at all times prior to and subsequent to the recounted incident, has declined to make a statement regarding this robbery and has consistently denied any involvement therein.
Appellant first contends that his trial counsel was ineffective in that he was subject to a conflict of interest in presenting appellant‘s defense. Our courts have typi
There was no such “dual representation” in the instant case. Appellant and his brother Alphonso were not co-defendants, nor were they tried either jointly or separately on the same offense. James and Alphonso were each represented by different members of the same defender office in regard to separate and distinct criminal charges based on factually discrete events.
Given that appellant and Alphonso were not co-defendants and Alphonso was never charged with or tried for the crime in question, the instant situation could not constitute a conflict of interest under traditional analysis. Further, no prejudice to appellant could have resulted at trial since appellant‘s counsel was not aware, until near the end of the trial, that his office represented both James and Alphonso on different charges.8 Even following this discovery, trial counsel had neither legal responsibility toward nor other interest in Alphonso such as could have prejudiced his representation of appellant. Appellant‘s counsel testified that he attempted to secure
The only substantive harm appellant claims as a product of the purported conflict of interest in this case is the advice of an unspecified public defender, given to Alphonso at the scene of appellant‘s preliminary hearing, not to make a statement regarding his involvement in the crime with which appellant was charged. It is extremely doubtful, in view of Alphonso‘s subsequent refusal in several instances, including the PCHA proceedings upon which this appeal is based, to admit guilt or involvement, that the advice given by the unidentified public defender reversed or otherwise altered Alphonso‘s disposition to make a statement or testify. Alphonso did not come forward prior to the preliminary hearing, and appellant and his mother were the only parties who claimed that he had ever admitted being involved in the robbery of Mr. Really. Any supposed detriment which appellant may have suffered as a result of the public defender‘s advice to Alphonso was not a compromise of one defendant‘s interests in favor of those of another defendant. It was objective legal advice given to a person never charged with the crime involved.
The second ground of ineffectiveness urged by appellant is his trial counsel‘s failure to secure Alphonso‘s presence at trial. Although trial counsel‘s testimony at the PCHA hearing indicated that he requested a continuance for this purpose, no such request is evident in the record.
Assuming that trial counsel failed to seek the disputed continuance, we must determine whether this conduct constituted ineffective assistance. When asked to make a statement or questioned by the police about the robbery of Mr. Really, Alphonso had uniformly declined to cooperate and had denied any connection with the crime. If Alphonso had been called as a witness and had once again declared his innocence, appellant‘s misidentification defense might have been seriously impaired, if not totally discredited. In Commonwealth ex rel. Washington v. Maroney, 427 Pa. 599, 235 A.2d 349 (1967), the
The judgment of sentence of the lower court is affirmed.
SPAETH, J., files a dissenting opinion in which WATKINS, President Judge, and HOFFMAN, J., join.
SPAETH, Judge, dissenting:
My difference with the majority‘s view of the law of dual representation and conflict of interest is based in large part on the facts of this case. Therefore a fuller recitation of those facts may be helpful.
The theory of the defense was that appellant‘s brother Alphonso, who closely resembled appellant, had initially attacked Mr. Really and had led the robbery, rather than appellant. At trial, a detective who had been present at appellant‘s preliminary hearing, the mother of Alphonso and appellant, and a social worker from the Detention Center all offered testimony that tended to prove Alphonso‘s involvement in the crime. Alphonso himself did not testify.1
Q. Did you—who did you receive this information from, sir?
A. It was made known in the courtroom that he [Alphonso] participated in the robbery. We all knew
MR. DEUTSCH [appellant‘s trial counsel]: The brother was served a subpoena, Your Honor.
MR. KOGAN: He was here.
MR. DEUTSCH: And I understand from the family he did come in, that he did come in, and then disappeared. And I further understood that he refused to testify on the behest of his family, that thought it would be proper, and that is why I say to Your Honor that he wasn‘t man enough to take the witness stand.
THE COURT: Well, he didn‘t even remain long enough to be viewed. At least it wasn‘t pointed out to the Court or to the witness whose identification was critical.
MR. DEUTSCH: I think he remained around for approximately 10 or 15 minutes. I didn‘t see him thereafter, Your Honor. (N.T.Trial 92-93.)
Immediately following this exchange, the trial judge found appellant guilty. The record is devoid of any request for a continuance so that Alphonso could be found and his testimony obtained. Nevertheless, at the PCHA hearing, trial counsel gave the following testimony:
Q. Was Mr. Alphonso Westbrook subpoenaed?
A. Yes, he was.
Q. And in your own mind, sir, was he a critical witness?
A. The critical witness.
Q. And when Mr. Alphonso Westbrook disappeared, did you ask for a continuance to bring him in here?
A. Oh yes, definitely.
Q. And in fact was he ever brought in?
A. No, he was not. (N.T. PCH 8.)
Despite this testimony, the Assistant Defender who argued post-trial motions said that Alphonso “should have been subpoenaed and/or arrested.” N.T. Post-Trial Motions 4-5, implying that no subpoena had been served. Because of my view of this case, I would not try to decide from such a record whether trial counsel was ineffective for failing to request a continuance and possibly for not even issuing a subpoena for Alphonso.
there was more than one man. There were four involved in the robbery. There was only one identified.
Q. Sir, who made this known to you?
A. This was made known to the Court. The Public Defender said he had something to offer the Court that James [appellant] was held for the charges. The Public Defender said he wanted to make it known to the Court. This was after the proceedings.2
Q. So the Public Defender gave you the information that Alphonso had implicated himself; is that correct?
A. That‘s correct.
Q. Were you present during the time that the Public Defender had a conversation with Alphonso?
A. No, I was not.
Q. Do you know the name of this Public Defender, sir?
A. No, it would be on the record. I don‘t know his name. (N.T. Trial 49.)
However, the detective said, when he attempted to secure a statement from Alphonso, “the Public Defender‘s office . . . decided that they did not want Alphonso to make a statement to the admission of the robbery.”
Notes
THE COURT: I thought somebody testified today that the brother was here this morning.
MR. SCHAMBELAN: If Your Honor pleases, I would like to have a word with the District Attorney in this case before we proceed.
MR. BERMAN: What is it?
MR. SCHAMBELAN: I would like to have it in private.
MR. BERMAN: If the Court doesn‘t mind?
MR. SCHAMBELAN: As an officer of the Court, I have a legal request.
THE COURT: Come up here and we will discuss it.
(Off-the-record discussion)
MR BERMAN: Your Honor, we rest our case in this matter. (N.T. Prelim. H. 9.)
At the particular time of the hearing, it was suggested that Alphonso Westbrook was going to admit to this robbery. OK. And the Public Defender at that time, I can‘t recall his name, he said that he didn‘t want Alphonso Westbrook to admit to the robbery, or he wouldn‘t let Alphonso make a statement . . .
Mrs. Westbrook had spoken to the complainant also outside in the hearing room after both of those hearings had taken place. Prior to Mrs. Westbrook talking to Alphonso, I asked Alphonso if he would make a statement to me, and he said no. And I came back to the hearing room and explained to Mrs. Westbrook that he would not make a formal statement. And she asked for the opportunity to talk with him . . .
She asked me if she could have a few minutes in private with both her sons. And I stepped back out of earshot. She proceeded to talk with them. And when I came back, she said that Alphonso would admit to his part in the robbery. (N.T. Trial 43-44.)
Nevertheless, Alphonso never made a statement to the police, and he was never arrested or tried for the robbery of Mr. Really.3
Q. —Who was it who robbed you that day?
A. James.
Q. Did you tell the detective that?
A. Yes.
Q. Did you tell him that after you saw Alphonso?
A. Yes. (N.T. Trial 57.)
Scott Wilson, the social worker, testified that he had interviewed appellant in the presence of Alphonso and that appellant had told him that “I have my brother here now. I brought him down because of what I told you about him doing what I am accused of.” (N.T. Trial 79.) Mr. Wilson testified that he then telephoned the Defender, because “I thought there was enough substance to what James had told me to contact somebody that would be representing James Westbrook when he went to court.” (N.T. Trial 80.) On cross-examination, however, he admitted that he had acted as he had only because he was impressed with appellant‘s sincerity, not
No testimony was offered to prove that Alphonso had admitted his role in the robbery to anyone other than his mother and appellant. Detective Bonsera, in his direct testimony, said that “[p]rior to his mother speaking to him, I asked if he did participate in the robbery, and he said no. I asked if he was going to admit to it, and he said no.” (N.T. Trial 48.)4
From this record it is evident that a written statement from Alphonso, taken by the police, or his testimony at appellant‘s trial, or at least his appearance at the trial, so that the trial judge and Mr. Really could have assessed his similarity to appellant, might have been of decisive importance to appellant‘s defense that it was Alphonso, not he, who had robbed Mr. Really.
As the majority notes, the cases in which a conflict of interest due to dual representation has been found have dealt with situations where either co-defendants or defendants charged with the same offense but tried separately have, despite the existence of antagonistic defenses, been represented by the same attorney or by members of the same law firm. Commonwealth v. Wilson, 429 Pa. 458, 240 A.2d 498 (1968); Commonwealth ex rel. Whitling v. Russell, 406 Pa. 45, 176 A.2d 641 (1962). Here, Alphonso has never been arrested or charged with the offense that was the subject of the trial of appellant, his brother. Nevertheless, I believe that a conflict of interest did exist at appellant‘s trial, and that therefore his conviction should be reversed and a new trial awarded.
First, “[i]f, in the representation of more than one defendant, a conflict of interest arises, the mere existence of such a conflict vitiates the proceedings, even though no actual harm results. The potentiality that such harm may result, rather than that such harm did result, furnishes the appropriate criterion [citation omitted].” Second, a defendant must demonstrate that a conflict of interest actually existed at the trial because “dual representation alone does not amount to a conflict of interest [citations omitted].” Third, “[t]o make the dual representation arise to a true conflict, appellant need not show that actual harm resulted, . . . but must at least show the possibility of harm . . . [citation omitted].” Fourth, appellant will satisfy the requirement of demonstrating possible harm, if he can show, inter alia, “that he had a defense inconsistent with that advanced by the other client, or that counsel neglected his case in order to give the other client a more spirited defense [citations and footnote omitted].”
Id. at 344, 318 A.2d at 356.5
When the criteria of Commonwealth v. Breaker, supra, are applied, the first question becomes whether appellant has shown the existence of the first element of “dual representation,” or, to define the question as required by the facts of this case: Must Assistant Defenders from the same Defender Association be considered “lawyers who are associated in practice,” ABA Standards § 3.5, supra n. 5? If so, must they adhere to the same standards governing conflicts of interest in private practice? The issues raised by these questions do not appear to have been addressed in a case involving a conflict of interest. Nevertheless, we are not without guidance.
. . . The weaker defense may often detract from the stronger, and a lawyer may find that to assert a point vigorously for one client operates to disparage the other or to put him in a bad light. Such situations underscore the need for separate representation . . .”
See also ABA Code of Professional Responsibility DR 5-105.
However, here, during the first PCHA proceeding, appellant was assigned counsel who was a member of the same firm that represented him at trial. We will not view the failure to raise a claim of incompetency as a waiver where an individual in the subsequent proceeding is represented by the same counsel or one of his associates. The law will not assume that counsel has advised his client of his inadequacies or those of his associates.
Id. at 377, 316 A.2d at 898.
Accord, Commonwealth v. Bliss, 239 Pa.Super. 347, 361 n. 8, 362 A.2d 365, 373 n. 8 (1976).
If Assistant Defenders are to be considered members of the “same firm” in cases involving a claim of ineffectiveness, there is no reason to establish a different rule for cases involving a claim of conflict of interest.
Nor is there any reason to distinguish between a public firm, such as the Defender Association, and a firm engaged in private practice. Indeed, important constitutional considerations argue against such a distinction. Since Gideon v. Wainwright, 372 U.S. 335, 83 S.Ct. 792, 9 L.Ed.2d 799 (1963), “the scope of judicially mandated representation of the poor [has] increased dramatically.” Defender Association of Philadelphia Amendment of the Articles of Incorporation, 453 Pa. 353, 356, 307 A.2d 906, 908 (1973). See, inter alia, Argersinger v. Hamlin, 407 U.S. 25, 92 S.Ct. 2006, 32 L.Ed.2d 530 (1972);
Indeed, because indigent defendants have more limited alternatives available to them, a conflict of interest may be even more destructive when it involves the Defender rather than private practice. “[E]ven after full disclosure of the possible conflict of interest, the indigent defendant has no alternative but to accept the representation of the Defender Association. Such a conflict, which surely would not be tolerated by a non-indigent defendant, will be unavoidable and undoubtedly acquiesced in by the indigent, having no other recourse.” Defender Association, supra 453 Pa. at 375, 307 A.2d at 917 (dis
Part of the case that has upset me the most was that a Public Defender at the police station was appointed for Alphonso Westbrook. When I went to trial I did not know of this conflict of interest . . . At the time we had the trial, I did not know, because it was not in the file, it should have been, that there was a conflict that we represented not only a brother but a person who had come forth and stated that he and
three other people . . . were involved in this case . . .
I‘ve always looked at the Defender‘s Association as a law firm, perhaps a special law firm. Every member of that office represents that law firm when they represent a client. I feel that Mr. Westbrook was not properly represented.
If I had known at the time of trial that my office represented Alphonso Westbrook, a letter would have immediately gone out to the Court Administrator withdrawing our representation of the defendant.
A memo from the assistant who represented Alphonso Westbrook should have been in the defendant‘s file. I should have been notified of this before trial. I was not.
(N.T. PCH 14-15, 24-26.)7
I recognize that the constantly increasing caseload of the Defender Association imposes a heavy burden upon every Assistant Defender. From July, 1973, through June, 1974, the Defender Association disposed of over 57,000 cases in the state courts; the comparable figure for 1972-73 was 54,000 cases. Defender Association of Philadelphia, 39th and 40th Annual Reports of the Directors (1972-1973 and 1973-1974). However, the volume
Once it is established that the first element of dual representation existed, the remaining question is whether the representation of two clients imported a possibility of harm sufficient to amount to a conflict of interest. Under the facts of the present case I think such a possibility of harm has been shown. This may best be illustrated by a comparison of the possible harm here with the possible harm found in other dual representation cases.
In Commonwealth ex rel. Whitling v. Russell, supra, two brothers were charged with sodomy. At their joint trial, the judge requested that counsel for appellant also represent appellant‘s brother. Counsel acceded to the request. However, the defense appellant offered was to claim innocence and to say that his brother was guilty. The Supreme Court held that given these facts, a true conflict existed in the dual representation of the two defendants. In Commonwealth v. Meehan, 409 Pa. 616, 187 A.2d 579 (1963), appellant was convicted of robbery. He and his co-defendant were tried two times; at the second trial both were represented by the same Assistant Defender. Although the complainant had first identified the co-defendant as the robber, at the second trial he
In the instant case appellant has shown a conflict of interest. As soon as the police officer testified that one defendant tried to blame the theft on the other defendant, it became obvious that the defendants had antagonistic defenses. It became impossible for counsel to represent both defendants fully and faithfully. Id. at 94, 280 A.2d at 562.
Here, although appellant and his brother Alphonso were not co-defendants at trial, their “defenses“—in the sense of their interests and the legal advice each was entitled to receive from his attorney—were antagonistic. This became apparent as soon as Detective Bonsera testified. The detective‘s testimony has been stated in some detail above. To recall it briefly: Appellant was represented by one Assistant Defender at his preliminary hearing. At the preliminary hearing, that Defendant, or possibly another Defender, brought to the detective‘s attention the possibility that Alphonso rather than appellant might have committed the robbery; also, that Defender, or possibly another Defender, then advised Alphonso not to make a formal statement to the police.
True, we cannot be certain what Alphonso‘s statement or testimony would have been, or how his appearance might have affected the trial. However, it is the “potentiality that such harm [i. e., harm arising from a conflict] may result, rather than that such harm did result, [that] furnishes the appropriate criterion.” Commonwealth v. Breaker, supra, citing Commonwealth ex rel. Whitling v. Russell, supra 406 Pa. at 48, 176 A.2d at 643. We need not determine the exact quantum of harm. Commonwealth v. Wilson, supra. The right to effective assistance of counsel “is too fundamental and absolute to allow courts to indulge in nice calculations as to the amount of prejudice arising from its denial.” Glasser v. United States, 315 U.S. 60, 76, 62 S.Ct. 457, 467, 86 L.Ed. 680 (1942). As in Commonwealth v. Booker, supra, “[a]s soon as the police officer testified . . . it became
I would reverse the order of the lower court, vacate the judgment of sentence, and order a new trial.
WATKINS, President Judge, and HOFFMAN, J., join in this opinion.
