WPC VeENo2ˡ+gJZX_ SVHWwg)-ݘzYԧ[oӬjÙARTTVv9"{vc^CmY*Qq' !uQxܣ]Yӎy Cft*j1'&\y+Qo\X 0@sdV #q@"7IE)=u'Ig:X;:fzGxHٿEpvfVd {N57l m~K(PCM[VΒmVY%.8>ޔ;pE0VXIfp(ZNSyO{8!|ů"3DjH1gV1ٌ&wKtBB,˖:eiea: J!C$4Դh!#Z"]-qLW#!UN %1 0G7^ ~w@4 mX 0 ^ 0 D! e 5 T ;cB" BRICOH Aficio 2045e PCL 60(9 Z6Times New Roman RegularX($XXc6 U[[UDUDU+V6IN8.EX3|x U N  $XX @ @ `   1    _ԀTheCPR,firstadoptedin1969andamendedonvariousoccasions  upuntil1980,isthepredecessortotheModelRulesofProfessionalConduct.(s(2$ !XX     `   0  (#$  0   neglect[ingfail[ingToobyLytleWutchumnaKallenDelugSacherLedesma +  $XX @ @ `   2    _ԀAllfurtherrulereferencesaretotheCaliforniaRulesof  ProfessionalConductunlessotherwiseindicated.  $XX @ @ `   5    _ԀAcopyofthisopinionisincludedasAppendixA.   $XX @ @ `   3    _ԀThematerialsX XԀ#XX #inthisportionofthediscussionarebasedin  significantpartonmaterialsoriginallypreparedbySDAPAssistantDirectorDallasSacher. Y  $XX @ @ `   4    _ԀTheABAStandardsforCriminalJusticeadoptorcloselyfollow  theRPCandCPR,butareintendedtoprovideguidanceandarenotconsideredenforceable.  $XX @ @ `   6    _ԀAsamplemotionisattachedasAppendixB.  $XX @ @ `   7    _ԀAsamplemotionisattachedasAppendixC.  $XX @ @ `   8    _ԀAsampleletterisattachedasAppendixD. d !XX  __8 Xdd8_  ETHICALDUTIESOFTRIALCOUNSELTO  FORMERCLIENTSANDAPPELLATE_COUNSEL##_ ` &?%  ___ `  __%&?  byVickiFirstman___ H  p `     h ___   Introduction _____ H  ______   ` Inevitably,asappellateadvocates,wewillbefacedwithsituationswheretrialcounselscompetencycomesintoquestion.Often,theanswerstoourquestionscannotbefoundintheappellaterecord.Thus,inadditiontoconferringwithourclient,wewillneedtoraiseourconcernsdirectlywithtrialcounselinordertodeterminewhetheraclaimofineffectiveassistanceofcounsel( IAC)shouldberaisedinaconcurrenthabeaspetition.Whenthissituationarises,itishelpfultoknowtheparametersoftrialcounselsethicalobligations_____to_Ԁ_boththeclientandsuccessor_Ԁappellate_counsel.___ԀThisarticleprovidessomegeneralguidelinesconcerningthetrialattorneyscontinuingethicalduties.Awarenessofthosedutiescanbeapowerfultool_in_Ԁ_obtaining__critical_ԀanswerstoanIACinquiry.__  _ The_ԀDutyofCompetency  H'""   ` Thebedrockprinciplewhichshouldguideourreview,ofcourse,iswhethertrialcounselperformedcompetently.Weallareawareofthefactthat H+&& afailuretoprovideeffectiverepresentationdeprivesourclientsoftheirSixthAmendmentRighttoeffectivecounsel.However,abreachofthedutytoperformcompetentlycanalsoconstituteanethicalviolation.Infact,competencyisthesubjectofseveralspecificethicsrules.Rule1.1oftheABAModelRulesofProfessionalConduct(hereaftertheModelRulesor   RPC)provides:Alawyershallprovidecompetentrepresentationtoa   client.Competentrepresentationrequiresthelegalknowledge,skill,thoroughnessandpreparationreasonablynecessaryfortherepresentation.Similarly,DisciplinaryRule6101(A)(1)oftheABA_ModelCodeofProfessionalResponsibility   #  1      ׀(hereaftertheCPR____)_Ԁstatesthatalawyershall  nothandlealegalmatterwhichheknowsorshouldknowthatheisnot  competenttohandleandfurtherprohibitsalawyerfromhandlingalegal  matterwithoutpreparationadequateinthecircumstancesandfrom  neglect[ing]alegalmatterentrustedtohim.Rule3110oftheCalifornia  RulesofProfessional_Conduct  #  2      __also_Ԁprohibitsanattorneyfromintentionally,   recklessly,orrepeatedlyfail[ing]toperformlegalserviceswithcompetence.Thesameruledefinescompetenceasapplyingthediligence,learningand $  skill,andthe_ mental,_Ԁemotionalandphysicalabilityreasonablynecessaryfortheperformanceofthelegalserviceatissue._ __  ` Insum,atrialattorneywhohasnotperformedcompetently,either  b__ecauseoflackofnecessarypreparation,lackofnecessaryskill,lackofphysicalormentalfitness,orjustplainneglect,hasviolatedhisethicalobligationtohisclient,thoughpracticallyspeaking,thisseldomresultsindisciplinaryaction.(SeeBrady,Tooby&Mehr,CaliforniaCriminalLawandImmigration(2004),8.30,p.857,fn.209.)     TheContinuingDutyofLoyaltytotheClientandthe  CorrespondingDutytoCooperatewithAppellateCounsel    #  3           ` Obviously,theprimarymethodofinvestigatingaclaimofineffective  assistanceofcounselwillbetocontactthetrialattorneytoobtainadditionalinformation.Often,documentaryevidenceoutsideoftherecordcanresolvetheinquiry.Thesewouldincludesuchdocumentsaspolicereports,investigationreportsgeneratedbythetrialattorney,notesregardingwitnessinterviews,discoveryprovidedbytheprosecution,forensicreports,andattorneynotesreflectingresearchandtrialstrategy.Policereports,inandof &"" themselves,canoftenprovideessentialanswerswhicheitherputtoresttheIACconcernsorpromptfurtherquestions.Ifreviewofthisdocumentaryevidencedoesnotsettletheissue,thenitwillbenecessarytoasktrialcounselforanexplanation. ` Unfortunately,manytrialattorneysareextremelyreluctanttoparticipateinaninvestigationoftheirownprofessionalconduct.Inthisrespect,trialcounselwillgenerallyfallintotwocategories:thosewhoplacetheinterestoftheclientfirstandthosewhoplacetheirownselfinterestandreputationaheadofanydutytotheirclient.(Brady,Tooby&Mehr,CaliforniaCriminalLawandImmigration(2004),8.30,p.857.)   ` Whenconfrontedwiththissecondgroup,knowledgeoftheethicalmandatesoftrialcounselcanbeapowerfulally.First,asappellatecounsel,weshouldbeawarethatwe,assuccessorcounsel,owenodutytothetrialattorney.(Pollackv.Lytle(1981)120Cal.App.3d931,942.)Ontheother  hand,trialcounselisunderacontinuingdutyofloyaltytohisformerclient.(Galbraithv.StateBarofCalifornia(1933)218Cal.329,333;Wutchumna " v.WaterCo.v.Bailey(1932)216Cal.564,573574)andisboundtoplace $   hisclientsinterestsoverhisown.(ABAStandardsforCriminalJustice(2nd &"" ed.1986Supplement)Standard41.6.)  #  4      ׀Eventhoughtheemployment   relationshipbetweentrialcounselandtheclienthasended, anattorneysobligationto[the]clientdoesnotceasewiththeterminationoftheemploymentrelationship,butextendsbeyondandencompassesacontinuingobligation toavoidprejudicetotherightsoftheclient.(StateBarofCaliforniaStandingCommitteeonProfessionalResponsibility,FormalOpinionNo.1992127,pp.12;rule3700.)  #  5          ` Infact,inthecriminalcontextinparticular,trialcounselisethicallyobligatedtofullyandcandidlydiscussmattersrelatingtotherepresentation  oftheclientwithappellatecounselandtorespondtothequestionsofappellatecounsel,eveniftodosowouldbetodisclosethattrialcounselfailed  toprovideeffectiveassistanceofcounsel.Thisdecisionisinaccordwiththe  generalrulethattheattorneyowesadutyofcompletefidelitytotheclientandtotheinterestsoftheclient.[Citations.]And,inasmuchastheattorneysdutytotheclientsurvivestheterminationoftheattorneyclientrelationship,thefiduciarydutytotheformerclientrequirestheattorneytoprotecttheinterestsoftheclientandmakeappropriatedisclosure.(StateBarofCalifornia $  StandingCommitteeonProfessionalResponsibility,FormalOpinionNo.1992127,p.4;italicsadded;.)Inaccordancewiththedutyofcompletefidelitytotheclient,itisalsoprohibitedforatrialattorneyto assumeapositionadverseorantagonisticto[theclient]...(Peoplev.Davis(1957)   48Cal.2d241,256.) ` Thedisclosurerequirementreferredtoaboveincludesadutytoreleaseanypapersandpropertyintheclientsfiletoeithertheclientorsuccessorcounsel.Thisruleencompasses notjustthepleadings,depositionsandexhibitsinthefile,[butalso]workproductreasonablynecessarytotheclientsrepresentation...[and][_t]he_Ԁattorneysimpressions,conclusions,opinions,legalresearch,andlegaltheoriespreparedintheclientsunderlyingcase....(StateBarofCaliforniaStandingCommitteeonProfessionalResponsibility,FormalOpinionNo.1992127,p.2,relyingonrule3700(a)and(d);Kallenv.Delug(1984)157Cal.App.3d940,950.)   ` Insum,trialcounselhastheobligationtobeopenandhonestwhencontactedbyappellatecounselandmust(1)providealloranyportionoftheclientfileifaskedtodoso;and(2)respondtoallreasonableinquiriesmadebyappellatecounsel. ` Sometimesatrialattorney,reluctanttoproducethefile,mayclaimthatithasbeenlost.(Brady,Tooby&Mehr,CaliforniaCriminalLawand *&& Immigration,supra,8.30,p.858.)However,counselisethicallyrequired  toretainthefile.(Ibid.) Clientfilesincriminalmattersshouldnotbe  destroyedwithouttheformerclientsexpressconsentwhiletheformerclientisalive.(StateBarofCaliforniaStandingCommitteeonProfessionalResponsibility,FormalOpinionNo.2001157,pp.34.)Thus,absentexpressconsent,trialcounselhasanethicalobligationtoretaintheclientsfilethroughouttheclientslifetimeandanyclaimthatafilehasbeenlostconstitutesanethicalbreach. ` Indeed,iftrialcounselrefusestoproducethefileafterreasonablerequestshavefailed,appellatecounselmayfileamotionintheCourtofAppealrequestingacourtorderforitsproduction.(SeeAcademyof  CaliforniaOptometristsv.SuperiorCourt(1975)51Cal.App.3d999,1005  1006.)Inarecentcase,SDAPAssistantDirectorDallasSacherfiledjustsuchamotionandtheCourtofAppealissuedanorderdirectingthetrialattorneytoturnoverthefilewithin15days.  #  6      ׀Ifsuchanorderwasmadeandtrial   counselstillrefusedtoproducethefile,amotionrequestingtheappellatecourttoholdtheattorneyincontemptwouldbeappropriate.  #  7      ׀Infact,when $  thetrialattorneyinMr.Sacherscasefailedtoproducetherequesteditems &"" withinthe15dayperiod,Mr.Sacherfiledamotionrequestingacontemptcitation.Nodoubtforobviousreasons,therequestedportionsofthefilewereproducedshortlyafterthecontemptmotionwasfiledandthemotionwaswithdrawnasaresult.Thisisagreatexample,however,ofhowknowledgeoftrialcounselsethicalobligationscanbeusedtotheclientsbenefitbyappellatecounsel. ` Whileamotiontocompelproductionofthefileshouldonlybeused   asalastresort,itisusefultoknowthatsuchanoptionisavailableifrepeated  attemptstoobtainthefilehavebeenunsuccessful. ` AcomplaintwiththeStateBarcanalsobemadewhereatrialattorneyhasrefusedtocooperatewithsuccessorcounsel.  #  8      ׀Ourexperiencehasbeen  thattheBarinvestigatesthesecomplaintsand,intheprocess,contactsthetrialattorneyforanexplanation.Whilerule5100(a)prohibitsamemberfromthreateningtopresentcriminal,administrative,ordisciplinarychargesto  obtainanadvantageinacivildispute,awarningthattheattorneysrefusaltocooperatewillbereportedtotheStateBardoesnotfallwithinthisprohibition.Suchawarningisnotmadeinordertogainanadvantageinacivildispute,butismerelyameansofremindingtrialcounselofhisorherethicalobligationsandofthefactthatabreachoftheseobligationsiscause ($$ fordiscipline.Aswiththemotiontocompelproductionoftheclientsfile,suchawarningshouldonlybeusedifotherreasonableeffortstoachievecooperationhavefailed. ` Asidefromtheirreluctancetowillinglyparticipateinafactualinvestigation,sometrialattorneyswillassumetheroleofblackmailer.Forexample,atrialattorneywillsometimesmentionhisfirmbeliefthathisclientwasguiltyandwilladviseappellatecounselthatheintendstosotestifyifcalledatanevidentiaryhearing.Whilethisthreatconstitutesablatantethicalviolationofthedutytorefrainfromactingantagonisticallytowardtheclient(Peoplev.Davis(1957)48Cal.2d241,256),itisalsoanemptyone.   ` Likealllegalproceedings,habeascorpushearingsaregovernedbytherulesofevidence.(InreFields(1990)51Cal.3d1063,1070.)Thus,when  heiscalledtotestify,trialcounselisboundtoasserttheattorneyclientprivilegeexceptastothosemattersputinissuebythehabeaspetition.(Inre  Gray(1981)123Cal.App.3d614,617.)Thus,undertherulesofevidence,   trialcounselmustmaintainhisclientssecretsunlesstheyarerelevanttotheissuesbeforethecourt.(Ibid.) $   ` Finally,whenanordertoshowcausehasissued,therewillbesituationswhereitmaybenecessaryforappellatecounseltobecomeawitnessinthehabeasproceeding.Thiscanoccurwhereatrialattorneyhasinitially *&& admittedthatheerredinhisrepresentationandthenhaslaterrecantedthatadmission.Underthesecircumstances,appellatecounselshouldtestifytoestablishthefactsoriginallyadmittedbytrialcounsel.Importantly,sincehabeasproceedingsareconductedbeforeajudgeandnotajury,thereisnoethicalproscriptionprecludingalawyerfromactingasbothadvocateandwitness.(DiscussiontoRule5210[attorneymaybebothadvocateandwitnessinanonjuryadversarialproceeding.) ` Inshort,thoughtrialattorneysmaybelessthanprofessionalwhenappellatecounselisinvestigatingtheirhandlingofacase,trialcounselisunderanethicaldutytobebothforthcomingwiththetruthandloyaltotheclient.Wecanonlyhopethateventhemostreluctanttrialattorneywillobeyhisethicalresponsibilitiesonceappellatecounselmakesthosedutiescrystalclear.(See,e.g.,Peoplev.Ledesma(1987)43Cal.3d171,196[after  stonewallingappellatecounsel,destroyinghisfileandattemptingtojustifyhisconductinsworntestimony,trialcounselmanifestedachangeofheartand   admittedineffectthathehadviolatednotonlyhisdutytoactwithreasonable " competencebutalsohisdutyofloyalty].) *&&  `