Lead Opinion
Defendant appeals from a conviction for possession of a controlled substance with intent to distribute, a second degree felony. Pursuant to rule 43 of the Utah Rules of Appellate Procedure, the court of appeals certified the case to this court.
I. FACTS
On appeal from a jury verdict, we view the evidence and all reasonable inferences in a light most favorable to that verdict and recite the facts accordingly. Cornia v. Wilcox,
A few hours later, Frigon found a plastic bag containing the drug lysergic acid diethyl-amide (LSD). She called the Brigham City Police Department and reported that Gordon was at her apartment and that he had some drugs. She met two officers outside her apartment and told them that there was LSD inside. Frigon explained that she knew it was LSD because Gordon had told her so and because she had seen him with LSD before. She stated that the LSD had fallen out of his coat pocket onto the floor and that she was afraid her young child might find and possibly eat it. Frigon gave the officers permission to enter her apartment to get the drugs.
Once inside the apartment, Frigon opened a closet and showed them the plastic bag protruding from a coat pocket. The bag contained a piece of graph paper with a unicorn design on it. Each square on the graph paper contained one dose or “hit” of LSD, and there were approximately sixty-five to seventy “hits” remaining on the paper.
The officers awoke Gordon and asked him to accompany them to the police station. He agreed and, while dressing, was advised of his Miranda rights. He asked the officers why they wanted to talk to him. They told him about the LSD in his coat pocket. Gor
At the police station, an officer read Gordon a written consent form explaining his Miranda rights which Gordon signed. Gordon admitted that the LSD was his. He explained that he had obtained it from someone in Salt Lake City, but he refused to identify the person. He said he did not intend to sell it.
An officer then called the county attorney to ask what charges should be filed. Due to the large number of doses of LSD, the county attorney told the officer to charge Gordon with possession with intent to distribute, a second degree felony. The officer told Gordon about the charges and possible penalties were he to be convicted. The officers then asked him if he would give them a written or taped statement. He refused and said he would no longer talk with them until he had spoken to an attorney.
II. PROCEDURAL HISTORY
The procedural history of this case is rather complex, but it is relevant in analyzing the merits of Gordon’s appeal. At Gordon’s first appearance at the circuit court in Brigham City, Box Elder County, the judge found him to be indigent and appointed attorney Clinton S. Judkins to represent him. Unbeknownst to Gordon, at that time Judkins was a part-time prosecutor for the city of Tre-monton, also located in Box Elder County. Following a jury trial on April 26, 1983, Gordon was convicted of the charged offense and later sentenced to a term of one to fifteen years in the Utah State Prison.
Judkins, on Gordon’s behalf, filed a timely notice of appeal. Later, Judkins filed a motion for a new trial based on newly discovered evidence, but the trial court denied the motion as untimely. In October 1983, the appeal was dismissed for failure to prosecute.
In July 1992, nearly nine years later, Gordon filed a motion in the trial court to be resentenced nunc pro tune
In January 1993, Gordon petitioned for a writ of postconviction relief. After an evi-dentiary hearing, the court denied the petition. In doing so, the court examined the retroactivity of State v. Brown,
Without conducting plenary review of Gordon’s claims, we issued a September 24,1993 order stating in its entirety:
Having decided that Gordon was denied his constitutional right to appeal, this court remands the case to the trial court for resentencing, so that Gordon may raise the issues here presented in a first appeal as of right. State v. Hallett, [856 P.2d 1060 , 1062 n. 2 (Utah 1993) ], noting proper re-sentencing procedure outlined in State v. Johnson,635 P.2d 36 , 38 (Utah 1981)[,] is under coram vobis through rule 65B(b), formerly rule 65B(i), of the Utah Rules of Civil Procedure.
The trial court is directed to have counsel on appeal appointed for defendant.
With new counsel, Gordon filed a motion for a new trial based upon (1) ineffective assistance of trial counsel because of his appointed defense counsel’s concurrent position as a city prosecutor, and (2) newly discovered evidence in the form of a new witness, Danny Burke, one of Gordon’s fellow inmates, who allegedly stated in 1983 that he was the owner of the drugs, that he had left them at Frigon’s apartment, and that Gordon had no knowledge of the drugs for which he was charged.
Gordon appealed to the court of appeals from his 1983 conviction and resentencing and from the denial of his motion for a new trial. Pursuant to rule 43 of the Utah Rules of Appellate Procedure, the court of appeals certified the case to this court to resolve the issue of whether the prohibition in Brown should be applied retroactively.
III. ANALYSIS
A Retroactivity of State v. Brown
In Brown, the defendant was represented by appointed counsel who was also a part-time city prosecutor. Brown,
Although we do not decide whether it is constitutionally impermissible to appoint a city attorney with prosecutorial responsibilities to represent an indigent defendant, we conclude that vital interests of the criminal justice system are jeopardized when [it occurs]. Consequently, we hold that as a matter of public policy and pursuant to our inherent supervisory power over the courts, as well as our express power to govern the practice of law, counsel with concurrent prosecutorial obligations may not be appointed to defend indigent persons. ...
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... [W]e announce a per se rule of reversal wherever such dual representation is undertaken so as to prevent its recurrence.
Id. at 856-57, 859 (emphasis in original).
Initially Gordon contends that by ordering his resentencing, this court “explicitly recognized that the prohibition against a part-time city prosecutor serving as an appointed defense attorney is applicable to Defendant’s case.” Gordon reads far too much into our order, which merely stated, “Having decided that Gordon was denied his constitutional right to appeal, this court remands the case to the trial court for resentencing, so that Gordon may raise the issues here presented in a first appeal as of right.” The order clearly did not address the merits of Gordon’s conflict-of-interest argument. It did not mention Brown or discuss its retroac-tivity. Rather, it merely required Gordon to be resentenced so that he could raise the argument on appeal.
Next, Gordon asserts that our decision in Brown entitles him to a new trial. Brown was expressly decided as a matter of public policy under our inherent supervisory power over the courts and our power to govern the practice of law, which powers are well settled. Brown,
Furthermore, our decision in Brown announced for the first time that counsel with concurrent prosecutorial duties could not represent indigent defendants, a clear change from past procedures. We have previously held that when a new rule governing criminal procedure constitutes a clear break with the past, it is not generally applied retroactively. State v. Hoff,
In Brown, we expressly declined to decide whether the appointment of attorneys with concurrent prosecutorial duties was constitutionally impermissible. Brown,
Other reasons favor only prospective application of Brown. The primary purpose of the prohibition in Brrnm was clearly prophylactic, that is, to forbid “such dual representation ... so as to prevent its recurrence.”
Having concluded that the prohibition in Brown should be applied only prospectively, we must determine whether on this direct appeal, Gordon is nevertheless entitled to benefit from its holding. In Menzies, one year after the defendant was convicted, we disapproved of a “reasonable doubt” jury instruction in another case.
We note that in two cases involving constitutional issues, we applied prior hold-
Justice Stewart’s dissent, joined by Justice Durham, states that Brown “implicated a defendant’s Sixth Amendment right to counsel” and that “the issues underlying Brown are of a constitutional nature.” Yet the Brown opinion, authored just three years ago by Justice Durham and joined by Justice Stewart (writing a concurring opinion on another issue), examined the conflict of interest question at length and concluded:
[W]e do not decide whether it is constitutionally impermissible to appoint a city attorney with prosecutorial responsibilities to represent an indigent defendant.... [W]e hold that as a matter of public policy and pursuant to our inherent supervisory power over the courts, as well as our express power to govern the practice of law, counsel with concurrent prosecutorial obligations may not be appointed to defend indigent persons....
Brown,
The dissent relies upon cases in which the conflict of interest arose out of joint representation of multiple defendants, where, for example, one codefendant elected to plead guilty and testify against the other. See State v. Smith,
B. Ineffective Assistance of Counsel
Although Gordon is not entitled to a per se reversal because of his trial counsel’s concurrent prosecutorial duties, he is free to contend, and does contend, that he was denied due process of law and the effective assistance of counsel as a result of his counsel’s representation. To demonstrate that his defense counsel’s assistance was so inadequate as to constitute lack of counsel under the Sixth Amendment, Gordon must show that (1) his counsel’s performance fell below an objective standard of reasonable professional judgment, and (2) he was prejudiced by the deficient performance. State v. Lopez,
Gordon contends that his trial counsel failed to adequately investigate the possibility that the LSD underlying his conviction belonged to another person. At the trial, Frigon asserted that a “Mexican” woman named “Cathy” from West Valley City and three other people whom she had never met came to her apartment at approximately one o’clock the morning Gordon was arrested. Cathy allegedly described some LSD that featured a unicorn design like that on the LSD stamps police recovered from Gordon’s coat pocket. The visitors stayed an hour to an hour and a half. According to Frigon, when she found the bag containing the LSD later that morning, she assumed Cathy had mistakenly left it. Frigon testified that because she was angry with Gordon, she put the LSD in his coat pocket and called the police to have him arrested. Just after Gordon was arrested, Cathy allegedly came back
We have held that “a decision not to investigate cannot be considered a tactical decision. It is only after an adequate inquiry has been made that counsel can make a reasonable decision to call or not to call particular witnesses for tactical reasons.” State v. Templin,
This case is easily distinguishable from Templin because Frigon was unable to identify the persons who were allegedly in her apartment the morning of Gordon’s arrest. She testified that she did not know Cathy’s last name or the names of the other persons. Gordon’s trial counsel cannot be faulted for failing to contact these unidentified witnesses.
Approximately two months after his trial, Gordon filed a motion for a new trial in which he submitted the affidavit of a fellow inmate at the Utah State Prison named Danny Burke. Burke asserted therein that he had been at Frigon’s Brigham City apartment at approximately eleven o’clock the night before Gordon was arrested. He left when Gordon did not return as Frigon expected. According to Burke, it was not until he had returned to Salt Lake City that he realized he had left his bag of LSD at Fri-gon’s apartment. Gordon admitted in his 1994 motion for a new trial that Burke’s testimony “was unavailable at the time of Defendant’s trial.” That being the case, Gordon’s trial counsel again cannot be faulted for failing to contact this witness to testify at trial.
Gordon has failed to demonstrate that his counsel’s performance fell below an objective standard of reasonable professional judgment. Therefore, we do not reach the second prong of the Strickland test, whether Gordon was prejudiced by his counsel’s performance.
C. Motion for a New Trial
Following this court’s September 24, 1993 order remanding for resentencing, Gordon filed a motion for a new trial based upon (1) ineffective assistance of trial counsel because of his appointed defense counsel’s concurrent position as a city prosecutor, and (2) newly discovered evidence, i.e., the testimony of Danny Burke. After a hearing, the trial court denied the motion on the grounds that the case was remanded for the sole purpose of resentencing Gordon and that consideration of the motion was beyond the authority granted to the court. Alternatively, the court also denied the motion on the merits.
Gordon contends that the posteon-vietion motion was properly before the trial court. We disagree. The order expressly “remand[ed] the case to the trial court for resentencing, so that Gordon may raise the issues here presented in a first appeal as of right.” The only effect of the order was to provide Gordon with another opportunity to pursue the direct appeal that he was previously denied. In other words, Gordon’s resentencing merely returned him to the position he was in before his appeal was dismissed. It did not allow him another opportunity to present postconviction motions.
In Hallett, cited in our order remanding for resentencing, the trial court on postcon-viction review determined that the defendant had been denied his right to appeal. Hallett,
Once a trial court on habeas review determines that a defendant has been denied the constitutional right to appeal, a direct appeal should be provided immediately, without adjudication of any other claims, such as ineffective assistance of counsel.
Id. (emphasis added). Although in this case it was an appellate court on habeas review which determined that Gordon had been denied his right to appeal, our holding in Hailed, applies here. The trial court correctly determined that it was inappropriate to adjudicate Gordon’s claims of ineffective assistance of counsel and newly discovered evidence.
We affirm Gordon’s conviction.
Notes
. Nunc pro tunc "applie[s] to acts allowed to be done after the time when they should be done ... with the same effect as if regularly done." Black’s Law Dictionary 964 (5th ed. 1979); see also State v. Johnson,
. No affidavit of Mr. Burke was attached to the motion, and there is no copy of it in the record.
. In State v. Rawlings,
Dissenting Opinion
Justice, dissenting:
I dissent.
The majority holds that appointed defense counsel’s conflict of interest arising out of his position as a part-time city prosecutor is not reversible error although we held such a conflict to be per se reversible error in State v. Brown,
I. VIOLATION OF THE SIXTH AMENDMENT RIGHT TO COUNSEL
Whether our decision in Broum should apply retroactively is irrelevant to the central issue in this case. At the time of Gordon’s and Brown’s trials, this Court and the United States Supreme Court had already treated the issue of the impact of serious conflicts of interest upon a defendant’s Sixth Amendment right to counsel and due process. Those decisions thus constituted established precedent before Gordon ever came to trial. In State v. Brown,
In doing so, the majority opinion notes, ‘We had the clear opportunity to enunciate such a [constitutional] holding in Brown but expressly refused to do so.” This is true. In Brown we merely followed the principle that constitutional issues ought to be avoided when another basis for decision is available.
Before either Brown or Gordon came to trial, it was well established that “the assistance of counsel is among those ‘constitutional rights so basic to a fair trial that their infraction can never be treated as harmless error.’ ” Holloway v. Arkansas,
Because Glosser and much of its progeny were cases in which the conflict of interest arose out of joint representation of multiple defendants and because such joint representation may actually be appropriate in certain cases, Holloway,
II. APPLICABILITY OF RETROACTIVITY ANALYSIS
The majority also fails to recognize that Brown is applicable to this ease even under retroactivity analysis. Because Brown could have been decided on federal constitutional grounds, this Court is bound by the United States Supreme Court’s decision in Griffith v. Kentucky,
The majority attempts to circumvent this mandate by noting that Brown was expressly based on our “supervisory power” and holding that when we invoke that power, “it is a clear indication that the decision will apply only to future cases.”
Likewise, the majority’s holding that Brown falls within one of the exceptions to the general rule of retroactivity that a “new rule governing criminal procedure [which] constitutes a clear break with the past” is also explicitly barred by Griffith.
In sum, I submit that defendant is entitled to a reversal of his conviction and a new trial.
. Prior to Cuyler, this Court held in Smith, “ 'The law will not assume that counsel has advised his client of his inadequacies or those of his associates.' ”
. The majority asserts that Brown was prophylactic in nature. A reading of that case, however, admits no such interpretation. The language proscribing the dual role of prosecutor and defender in Brown unequivocally asserts that the "vital interests of the criminal justice system are jeopardized when a city prosecutor is appointed to assist in the defense of an accused.” Brown,
.It should be noted that this particular point essentially served as a factual basis for this Court’s legal conclusion setting forth the consequences of the self-evident conflict. Even assuming that the legal consequences of Brown (i.e., a per se reversal based on supervisory authority) are not "retroactively” applicable to Gordon's case, we are certainly entitled to rely on Brown as evidence establishing the factual predicate for a per se reversal pursuant to the constitutional grounds set forth in Glasser and its progeny.
. ■ It must be conceded that there is contra authority in other jurisdictions. Mitchell v. Maggio,
. The majority claims that "even where we have adopted a new rule that is of constitutional dimension, we have been reluctant to give it retroactive effect.” This assertion is incorrect. "In the vast majority of cases, the stated law of a decision is effective both prospectively and retrospectively, even a decision which overrules prior law. Therefore, unless a substantial injustice would occur from retrospective application, we will apply a decision both prospectively and retrospectively.” Heslop v. Bank of Utah,
.The majority here misconstrues our prior precedent. For support, the majority relies upon dicta contained in a footnote in State v. Menzies,
. The majority argues that applying the rule in Brown to this case will harm the "efficient administration of justice." I disagree. Giving Gordon the benefit of this Court's ruling in Brown will cause no disruption of any significance in the criminal justice system. If there be other defendants who are incarcerated as a result of trials in which they were represented by part-time city prosecutors, their cases would have to come before the cotuts on writs of habeas corpus, and the rules of law that would apply under those circumstances are entirely different from the rule that should prevail here.
