OPINION
The appellant was convicted of murder in the second degree and was sentenced to serve twenty-five years in the state penitentiary. On appeal he has presented two issues for our consideration.
In the first issue the appellant contends that he was denied due process of law and effective assistance of counsel, because his former defense counsel actively participated in the prosecution of the case on behalf of the state. In the second issue he challenges the sufficiency of the convicting evidence, specifically the sufficiency of the evidence that he was sane at the time of the crime.
In a motion to dismiss, the appellant asserted that the case should be dismissed because his former defense counsel, Edward R. Sempkowski, is now an Assistant District Attorney General, and that, after having served as his counsel, Mr. Semp-kowski worked on the appellant’s case for the prosecution.
The appellant killed his wife on August 30, 1981, and was arrested immediately thereafter at the scene. His family retained Mr. Sempkowski to represent the appellant.
On October 7, 1981, the motion came on for hearing and the trial judge ordered the evaluation of the appellant. Mr. Sempkow-ski represented the appellant at the hearing and approved the order for entry.
On the same date the grand jury returned an indictment against the appellant charging him with murder in the first degree.
A week later Mr. Sempkowski filed a motion for discovery, a motion for a continuance, a motion for the release of all medical evaluations, reports and notes in the possession of the Cherokee Mental Health Center, and a notice that the appellant intended to rely on the defense of insanity.
On October 26, 1981, Mr. Sempkowski filed a motion for further mental health evaluation, and this matter was heard two days later, at which time the trial judge ordered the appellant transferred to the Middle Tennessee Mental Health Institute for further evaluation. According to the record, Mr. Sempkowski participated in this hearing and approved the order for entry. Subsequently, on December 19,1981, Mr. Sempkowski filed a petition for the appellant’s judicial hospitalization. Then, on December 29, 1981, he filed a motion seeking a transfer of the appellant to the Lake-shore Mental Health Institute pending a hearing. In support of this motion, he filed another affidavit, wherein he related that the appellant had told him that “his medication is becoming less effective”, and further that “since the defendant returned to the Hamblen County Jail, I have observed that Mr. Phillips has developed increasing anxiety and nervousness”.
On December 30, 1981, another notice was filed by Mr. Sempkowski that the appellant would rely on an insanity defense. That same day he also filed a waiver of trial by jury on the issue of whether the appellant should be judicially hospitalized.
A hearing was held the next day on the issue of judicial hospitalization of the appellant, and the trial judge committed him to the Forensic Services Division of the Middle Tennessee Mental Health Institute pending his recovery. Mr. Sempkowski participated in this hearing and approved the order for entry.
From that point on all pleadings are signed by other counsel. First, Beverly C. Sullivan represented the appellant until she discovered an ethical problem which required her to move for and be granted the right to withdraw. Douglas R. Beier was then appointed to represent the appellant. Yet, as late as June 21, 1982, the Middle Tennessee Mental Health Institute sent a copy of correspondence with the trial judge to Mr. Sempkowski as defense counsel. No order relieving Mr. Sempkowski as counsel appears in the record, and apparently he was never relieved.
When the motion to dismiss was heard, it was admitted that Mr. Sempkowski was then employed by the District Attorney General and that he had worked on the appellant’s case for his new employer. His work was termed “clerical” by the trial judge who denied the motion and allowed
Although counsel were not sworn to testify at the hearing on the motion, the District Attorney General, Berkley Bell, announced that Mr. Sempkowski had participated in the obtaining of a medical expert to testify on behalf of the state. Mr. Sempkowski admitted that he did this and also that he let the expert look through the state’s file. Mr. Bell further announced that Mr. Sempkowski had told him that the state had found the appellant insane while he represented him. Mr. Sempkowski admitted that he filed a motion asking the Court to direct that the appellant be examined by the state’s expert and that he signed Mr. Bell’s name to the motion.
Copies of the Federal Bureau of Investigation Ballistic Report and the autopsy report revealed that Mr. Sempkowski had worked on the case for the prosecution by penciling notes on both reports.
Mr. Sempkowski told Ms. Sullivan as she was reviewing the appellant’s employment records from the Tennessee Valley Authority that the employment records would be used to show that the appellant handled dynamite. Mr. Sempkowski admitted that he had looked at the appellant’s employment records one time. On behalf of the state, Mr. Sempkowski complied with discovery by giving various items to Ms. Sullivan. He also talked to an employee of the Cherokee Mental Health Center regarding a subpoena duces tecum which, according to Mr. Sempkowski, a secretary had had issued. He further admitted that he may have told the secretary to subpoena the hospital records from Nashville.
After the motion to dismiss was overruled, an application for an interlocutory appeal was filed under Rule 9, T.R.A.P. The record does not reveal that the motion was ever presented to the trial judge as required by Rule 9(a), T.R.A.P.
Subsequently, the case proceeded to trial and the appellant was convicted. A timely motion for a new trial was filed. Attached to the motion for a new trial was an affidavit from the appellant’s brother concerning a fee dispute which arose with Mr. Semp-kowski after he discontinued his representation of the appellant. In addition, a letter from the Chief Disciplinary Counsel of the Board of Professional Responsibility and a copy of Mr. Sempkowski’s response to the complaint filed against him was attached to the affidavit. The motion for a new trial made a general reference to the affidavit and letter, but they were not introduced as evidence at the hearing on the motion. A brief reference was made to the documents at the hearing. The trial judge did not specifically state that he considered the affidavit, but stated that he was sure that Mr. Sempkowski spent a lot of time and did a lot of work on the case when he was defense counsel.
In denying the motion for a new trial, the trial judge reiterated his earlier finding that Mr. Sempkowski only performed “clerical” tasks. However, he reversed his previous finding that Mr. Sempkowski deserved a “rebuke and a reprimand” and found that Mr. Sempkowski “remained aloof from the case and ... his presence has been one of an honorable position in the case”. He further found that “every precaution was taken that could be taken, and that the defendant wasn’t prejudiced thereby”.
Both the appellant and the state rely on
Autry v. State,
1 Tenn.Cr.App. 95,
It has long been firmly established, both in the Canons of Professional Ethics and by judicial opinions, that attorneys cannot represent conflicting interests or undertake to discharge inconsistent duties. When an attorney has once been engaged and received the confidences of his client, he cannot enter the services of those whose interests are adverse to that of his client or former client. The rule is a rigid one, and it is well that it is so. An attorney cannot be permitted to participate in the prosecution of a criminal case if, by reason of his professional relation with the accused, he has acquired knowledge of facts upon whichthe prosecution is predicated, or which are closely interwoven therewith.
In Autry, the question was whether the special prosecutor was disqualified because the relation of attorney and client had existed between him and the defendant, and whether he had received confidential communications from the defendant. In that case, defense counsel suggested that the defendant and his co-defendant son employ another attorney to assist in their defense. They went to the attorney’s office and discussed employment. The fee was discussed and the attorney offered to represent them for a stated figure. The defendant made a counteroffer and they were unable to agree upon the fee. According to the defendant and his son, they talked for about an hour and disclosed all the facts and witnesses and discussed how the case would be tried.
Three days before the trial, this same attorney was employed by private interests to assist in the prosecution. At that time the lawyer did not recall that Mr. Autry had been to see him and did not recall anything about the case. When the issue was raised at trial, he remembered that the defendant had been in his office, but did not recall whether or not the son was with him. He did remember talking briefly with the defendant about a fee, but said that he did not discuss the details of the case.
Under this conflicting testimony, the trial judge found that the attorney had not discussed the details or facts of the case with Mr. Autry, that no confidential communication had taken place, and that the relation of attorney and client did not exist. He allowed the trial to proceed with the special prosecutor participating. Id.
Speaking through Judge Walker, its presiding judge, this Court held that there was no abuse of discretion in permitting the special prosecutor to participate in the trial. As the writer of that opinion noted, “(t)he point presented a delicate question”, but noted that the trial judge found that no confidential communications had occurred between Mr. Autry and the challenged counsel.
Id.,
Later, in
Mattress v. State,
After going to work for the prosecutor, this attorney interviewed the state’s witnesses and prepared a motion for a continuance.
The trial judge held that the challenged Assistant District Attorney General would not be allowed to participate in the trial, but that another assistant could prosecute the eases. The appellants argued that the judge’s action was insufficient to remove any appearance of impropriety.
This Court, relying upon Autry v. State, supra, held that there had been no breach of the attorney-client relationship, the privilege against disclosure had been preserved, professional ethics had been painstakingly observed and the constitutional right to a fair and impartial trial was not infringed. Hence, this Court held that there was no error, and that the trial court’s action was adequate to dispel any appearance of impropriety. Mattress v. State, supra.
In neither of those cases did the defense counsel/prosecutor’s actions approach the extensive pre-trial representation by the challenged attorney on behalf of his former
Turning to cases from other jurisdictions, we find cases wherein the facts have a far greater similarity to this case than either of our previous cases. In
People v. Gerold,
The rule has long been firmly established that an attorney cannot represent conflicting interests or undertake to discharge inconsistent duties. When he has once been retained and received the confidence of a client, he cannot enter the service of those whose interests are adverse to that of his client or take employment in matters so closely related to those of his client or former client as in effect to be a part thereof. (Citing texts) This rule is a rigid one, designed not alone to prevent the dishonest practitioner from fraudulent conduct, but as well to preclude the honest practitioner from putting himself in a position where he may be required to choose between conflicting duties. He should undertake no adverse employment, no matter how honest may be his motives and intentions. (Citing a case) He owes to his client fidelity, secrecy, diligence, and skill, and cannot take a reward from the other side. He is not, as a general rule, allowed to divulge information and secrets imparted to him by his client or acquired during their professional relation unless authorized to do so by the client himself. (Citing a case) It is the glory of the legal profession that its fidelity to its clients can be depended upon; that a man may safely go to a lawyer and converse with him upon his rights in litigation with absolute assurance that that lawyer’s tongue is tied from ever discussing it. (Citing a case) This rule has been so strictly enforced that it has been held that an attorney, on terminating his employment, cannot thereafter act as counsel against his client in the same general matter, even though while acting for his former client he acquired no knowledge which could operate to the client’s disadvantage in the subsequent adverse employment. (Citing a civil case) If this is the rule in civil cases, the law will not be less strict in criminal proceedings, especially as to the duty in this regard resting upon counsel for the state. Such an officer is acting in a quasi judicial capacity, and he and those associated with him should represent public justice and stand indifferent as between the accused and any private interest. It is as much the duty of prosecuting attorneys to see that a person on trial is not deprived of any of his statutory or legal rights as it is to prosecute him for the crime with which he may be charged. (Citing a case) ... An attorney cannot be permitted to assist in the prosecution of a criminal case if by reason of his professional relations with the accused he has acquired a knowledge of the facts upon which the prosecution is predicated or which are closely interwoven therewith. (Citing cases) ... It is unnecessary that the prosecuting attorney be guilty of an attempt to betray confidence; it is enough if it places him in a position which leaves him open to such charge; _107 N.E. at 177 .
In
Steeley v. State,
In
State v. Burns,
In
Burns,
the state argued that no prejudice had been demonstrated, that the prosecutor “took only a minor part” and that no objection to his conduct was made at the times in question.
The Missouri Supreme Court reversed and remanded, noting that this was “something more than a question of technical error”. According to that Court, “this matter directly affects the conduct of the bar and the administration of criminal justice, as well as the basic rights of the defendant. In matters directly affecting the public interest, the courts sometime raise certain questions ‘ex mero motu’ ” (voluntarily and without prompting or request). Id.
On the question of prejudice, the Supreme Court noted that “it is impossible to tell precisely how active (the former defense attorney) may have been in the prosecution, or whether the information he procured from the defendant played any part therein, directly or indirectly. But the very fact that he had acquired that information as counsel for the defendant, and that he might use it, renders his subsequent position wholly untenable”.
Id.
The Court further held that it would not “attempt to weigh or measure the actual prejudice in a case of this kind”, a more specific showing of prejudice being unnecessary. “The acts were such as to infringe upon the generally recognized concepts of proper conduct of prosecuting officials.” Prosecuting officials, like Caesar’s wife, “ought to be above suspicion”.
In
State v. Detroit Motors,
In the words of the Oklahoma court, “(c)ourts have a duty to themselves, to the public, and to the legal profession. The due and orderly administration of justice, the honor of the legal profession, and the dignity of the court forbid such practice”.
In Detroit Motors, the court noted that these rules “appear to be inviolate regardless of intent or motive. This is apparently so, because in any given case, except a very unusual one, it would not be possible for the defendant to prove any such breach of confidence or resulting prejudice”. Id.
In
Young v. State,
In
People v. Rhymer,
In
Sharplin v. State,
In
State v. Britton,
The state relies upon several cases for the principle that a per se rule is inappropriate and that courts must look to determine if the defendant was prejudiced. All of those cases are distinguishable from this case.
In
Hannon v. State,
The state relies upon
Pisa v. Commonwealth,
The judgment was affirmed, but the court indicated that “(w)e in no way condone the conduct of the prosecution” in
Yet, in
Pisa,
the court noted that “(w)hen the impropriety is a conflict of interest on the part of a defendant’s trial counsel, it may be impossible to identify from the record the resulting prejudice”. “In such a ease, inquiry by an appellate court into prejudice would require ‘unguided speculation’ ”.
In
Pisa v. Streeter,
In
Upton v. State,
In
State v. Bell,
An excellent annotation on this delicate subject may be found at
Hence, the conclusion that we must reach in this case is inescapable. The rights of this defendant to a fair and impartial trial and due process of law, the orderly administration of justice, the dignity of the courts, the honor and trustworthiness of the legal profession and the interests of the public at large demand the reversal of this conviction. The courts simply cannot countenance the desertion of the accused by his defense counsel, acceptance of employment with the prosecutor and any subsequent participation in any manner in the trial, including pre-trial preparation. It seems inconceivable that the challenged attorney and his new employer did not know that.
However, even though the conviction cannot stand, dismissal is not in order. In no case that we have examined has an appellate court reversed and dismissed a conviction because defense counsel switched sides. Rather, in each case, the cause was reversed and remanded for a new trial. People v. Gerold, supra, Steeley v. State, supra, State v. Burns, supra, State v. Detroit Motors, supra, Young v. State, supra, People v. Rhymer, supra, State v. Leigh, supra, Sharplin v. State, supra, State v. Britton, supra.
Therefore, this cause is reversed and remanded for a new trial. The District Attorney General is disqualified from further prosecution of this case. The trial judge is directed to appoint a District Attorney pro tempore to represent the state on retrial. Article VI, § 5, Constitution of Tennessee, TCA § 8-7-106. The record of the first trial will be available to both sides on retrial. The trial judge will insure that the contents of the District Attorney General’s file from the time defense counsel was employed is not available to the District Attorney General pro tempore.
In the second issue the appellant challenges the sufficiency of the convicting evidence.
The proof revealed that shortly after 1:00 P.M. on August 30, 1981, at her place of employment, the appellant shot his wife in the back. The victim stumbled to a nearby laundromat where she asked the owner and the patrons therein to summon help for her. The appellant followed her into the laundromat, where, in full view of all those present, he again shot her behind the ear. The appellant positioned himself between the owner of the laundromat and the telephone, and told the owner to call his (the appellant’s) ex-wife in Knoxville. The owner complied and both he and the appellant talked to her. The appellant told her that he had just shot his wife. Twice during the conversation with the owner, the appellant said that he was going to kill himself. The owner was able to call the police and when an officer arrived, he found the appellant standing by the Coca-Cola machine holding a cocked .22 caliber revolver. He asked the appellant to put the gun down, but the appellant told the officer that he would have to come and get it. The officer did so.
The only issue in the case was the appellant’s sanity at the time of the offense. The appellant presented a psychiatrist, a psychologist and a registered nurse from the Middle Tennessee Mental Health Institute, and a psychologist from the Cherokee Mental Health Center to support his contention that he lacked the requisite mental capacity to conform his conduct to the requirements of the law.
Graham v. State,
The issue of whether the defendant was insane at the time of the crime is a jury question. When it has had the advantage of competent testimony, both lay and professional, correct conclusions will be reached.
Id.,
Our review of this case is conducted in the light of clearly recognized principles of appellate review.
A jury verdict of guilty, approved by the trial judge, accredits the testimony of the state’s witnesses and resolves all conflicts in favor of the theory of the state.
State v. Hatchett,
There was ample evidence from which any rational trier of fact could reject the insanity defense and conclude that the appellant was guilty of murder beyond a reasonable doubt. Rule 13(e), T.R.A.P.,
Jackson v. Virginia,
Finding merit to the first issue, the judgment is reversed and this cause is remanded for a new trial.
