Paul O. Clay, Jr.
Fayetteville, West Virginia
Attorney for the Appellant
L. Eugene Dickinson
Senior Assistant Attorney General
Charleston, West Virginia
Attorney for the Appellee
The Opinion of the Court was delivered PER CURIAM.
RETIRED JUSTICE MILLER sitting by temporary assignment.
JUSTICE ALBRIGHT did not participate.
1. "In the West Virginia courts, claims of ineffective assistance of counsel are to be
governed by the two-pronged test established in Strickland v. Washington, 446 U.S. 668, 104
S. Ct. 2052, 80 L.Ed.2d 674 (1984): (1) Counsel's performance was deficient under an
objective standard of reasonableness; and (2) there is a reasonable probability that, but for
counsel's unprofessional errors, the result of the proceedings would have been different."
Syl. Pt. 5, State v. Miller, 194 W. Va. 3, 459 S.E.2d 114 (1995).
2. "In reviewing counsel's performance, courts must apply an objective standard and
determine whether, in light of all the circumstances, the identified acts or omissions were
outside the broad range of professionally competent assistance while at the same time
refraining from engaging in hindsight or second-guessing of trial counsel's strategic
decisions. Thus, a reviewing court asks whether a reasonable lawyer would have acted,
under the circumstances, as defense counsel acted in the case at issue." Syl. Pt. 6, State v.
Miller, 194 W. Va. 3, 459 S.E.2d 114 (1995).
3. "One who charges on appeal that his trial counsel was ineffective and that such
resulted in his conviction, must prove the allegation by a preponderance of the evidence."
Syl. Pt. 22, State v. Thomas, 157 W. Va. 640, 203 S.E.2d 445 (1974).
4. "The fulcrum for any ineffective assistance of counsel claim is the adequacy of
counsel's investigation. Although there is a strong presumption that counsel's conduct falls
within the wide range of reasonable professional assistance, and judicial scrutiny of counsel's
performance must be highly deferential, counsel must at a minimum conduct a reasonable
investigation enabling him or her to make informed decisions about how best to represent
criminal clients. Thus, the presumption is simply inappropriate if counsel's strategic
decisions are made after an inadequate investigation." Syl. Pt. 3, State ex rel. Daniel v.
Legursky, ___ W.Va. ___, ___ S.E.2d ___ (1995) (No. 22917, filed 11/17/95).
5. "A defendant can only obtain reversal on ineffective assistance of counsel grounds
if the error complained of occurred at a critical stage in the adversary proceedings. This is
true because Section 14 of Article III of the West Virginia Constitution and the Sixth
Amendment to the United States Constitution guarantee the right to counsel only at critical
stages." Syl. Pt. 6, State ex rel. Daniel v. Legursky, ___ W. Va. ___, ___ S.E.2d ___ (1995)
(No. 22917, filed 11/17/95).
6. "In deciding ineffective of assistance claims, a court need not address both prongs of the conjunctive standard of Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984), and State v. Miller, 194 W. Va. 3, 459 S.E.2d 114 (1995), but may dispose of such a claim based solely on a petitioner's failure to meet either prong of the test." Syl. Pt. 5, State ex rel. Daniel v. Legursky, ___ W. Va. ___, ___ S.E.2d ___ (1995) (No. 22917, filed 11/17/95).
This is an appeal by Donald E. Bess, Jr. (hereinafter "the Appellant"), from a July 6,
1994, denial of a writ of habeas corpus by the Circuit Court of Fayette County. The
Appellant contends that he was denied effective assistance of counsel, that his confessions
were not voluntary, and that evidence was insufficient to sustain the jury verdict of guilty of
first degree murder without mercy. We agree that trial counsel was ineffective and grant the
Appellant a new trial.
I.
On October 30, 1989, attorney Steve Vickers was appointed to represent the
Appellant. Prior to listening to the taped confession, the Appellant told Mr. Vickers that he
had burglarized the home but had not killed Mrs. Riley. Upon listening to the tape in the presence of Mr. Vickers and police officers, counsel questioned the Appellant in the presence
of the police regarding the truth of the confession.
On November 2, 1989, Mr. Vickers and the Appellant accompanied two deputies to
the murder scene in an attempt to locate the murder weapon. Mr. Vickers encouraged his
client to participate in the police investigation despite the fact that no formal plea
arrangement had yet been made. During that trip, a second taped confession was obtained
through questioning by both the deputies and Mr. Vickers. The Appellant informed the
police and his counsel of the location of his car and indicated that he thought he had thrown
the murder weapon while running up a hill. However, no weapon was recovered.
On January 12, 1990, the Appellant first informed Mr. Vickers that the original taped
confession had been coerced by Corporal Canterbury.See footnote 3 Prior to a March 5, 1990, trial, the
lower court conducted an in camera hearing and determined that the two tape-recorded
confessions were admissible at trial. The jury thereafter found the Appellant guilty of
daytime burglary and murder in the first degree.See footnote 4
The Appellant appealed that conviction to this Court, and we affirmed the murder
conviction in State v. Bess, 185 W. Va. 290, 406 S.E.2d 721 (1991).See footnote 5 We reserved ruling
on the ineffective assistance of counsel claim due to the inadequacy of the record. A post-
conviction habeas corpus hearing was held on September 3, 1993, and September 7, 1993,
and the lower court denied the relief on July 6, 1994. The Appellant now returns to this
Court advancing his argument that trial counsel was ineffective, that his confession was
coerced, and that the evidence was insufficient to sustain the conviction.
194 W. Va. at ___, 459 S.E.2d at 117. In syllabus point six of Miller, we continued:
In reviewing counsel's performance, courts must apply an
objective standard and determine whether, in light of all the
circumstances, the identified acts or omissions were outside the
broad range of professionally competent assistance while at the
same time refraining from engaging in hindsight or second-
guessing of trial counsel's strategic decisions. Thus, a reviewing
court asks whether a reasonable lawyer would have acted, under
the circumstances, as defense counsel acted in the case at issue.
Id. at ___, 459 S.E.2d at 117-18. We also stated in syllabus point twenty-two of State v.
Thomas, 157 W. Va. 640, 203 S.E.2d 445 (1974), that "[o]ne who charges on appeal that his
trial counsel was ineffective and that such resulted in his conviction, must prove the
allegation by a preponderance of the evidence." Id. at 643, 203 S.E.2d at 449.
Thus, under the standard enunciated in Strickland and Miller, to show constitutionally
ineffective assistance of counsel, as the Appellant alleges, he must identify specific
erroneous acts or omissions that in the context of the entire trial or other critical stages of the
criminal proceedings, amounted to ineffective assistance, and he must show that such
deprivation prejudiced his defense. In the present case, we are compelled to agree with the
contention of the Appellant that trial counsel was ineffective and that, but for counsel's unprofessional errors, there is a reasonable probability that the result of the trial would have
been different. Counsel committed various errors throughout his representation which
rendered his assistance ineffective and justify the granting of a new trial to the Appellant.
First, the Appellant complains that his counsel was ineffective in investigating the
facts and circumstances leading up to his arrest generally and in his failure to investigate the
circumstances leading up to his initial confession specifically. In syllabus point three of
State ex rel. Daniel v. Legursky, ___ W.Va. ___, ___ S.E.2d ___ (1995) (No. 22917, filed
11/17/95), we stated as follows:
The fulcrum for any ineffective assistance of counsel
claim is the adequacy of counsel's investigation. Although
there is a strong presumption that counsel's conduct falls within
the wide range of reasonable professional assistance, and
judicial scrutiny of counsel's performance must be highly
deferential, counsel must at a minimum conduct a reasonable
investigation enabling him or her to make informed decisions
about how best to represent criminal clients. Thus, the
presumption is simply inappropriate if counsel's strategic
decisions are made after an inadequate investigation.
___ W. Va. at ___, ___ S.E.2d at ___.
In considering a request to reverse a conviction based on an alleged violation of the
right to effective assistance of counsel at certain pretrial proceedings, we need address an
additional issue, i.e., the alleged violation must have occurred at a critical stage of the proceedings at which the right to counsel had attached. In syllabus point six of Daniel, we
stated as follows:
A defendant can only obtain reversal on ineffective
assistance of counsel grounds if the error complained of
occurred at a critical stage in the adversary proceedings. This
is true because Section 14 of Article III of the West Virginia
Constitution and the Sixth Amendment to the United States
Constitution guarantee the right to counsel only at critical
stages.
___ W. Va. at ___, ___ S.E.2d at ___. It is settled that a criminal defendant acquires "the
right to counsel to assert the protections of the West Virginia Constitution in all critical
stages of the criminal proceedings against him." Id. at ___, ___ S.E.2d at ___ (Slip op. at
11). The test for determining whether a particular event is a critical stage is "whether the
presence of his counsel is necessary to preserve the defendant's basic right to a fair trial . .
. ." United States v. Wade, 388 U.S. 218, 227 (1967). In undertaking this inquiry, a
reviewing court "must analyze whether potential substantial prejudice to defendant's rights
inheres in the particular confrontation and the ability of counsel to help avoid that prejudice."
Id; accord Coleman v. Alabama, 399 U.S. 1, 7 (1970). Utilizing this standard, we have no
difficulty declaring that pretrial proceedings such as custodial interrogation that takes place
after arrest and the appointment of counsel is a critical stage of the criminal proceedings
giving rise to the right of effective assistance of counsel because precious rights of the
accused may be lost or sacrificed at such time. Indeed, we can think of no more important
event in the criminal proceedings than when the accused is custodially interrogated.
After thoroughly reviewing the record, we are of the opinion that had counsel
competently investigated the circumstances surrounding the Appellant's arrest, presentment,
and initial confession to Corporal Canterbury in the bathroom, he could potentially have
provided the Appellant with a more substantial basis for challenging the admissibility of the
first taped confession. Mr. Vickers' investigation, according to the facts we have before us,
was insufficient to prepare him to challenge the admissibility of that first confession. As the
Supreme Court of California noted in In re Neely, 864 P.2d 474 (Cal. 1993), ineffective
assistance of counsel can be established by showing that counsel failed to investigate a
factual basis for suppression of a tape recording. Id. at 484. In that case, adequate
investigation would have presented counsel with the opportunity to challenge the
admissibility of the recording. Id. at 485. Counsel in the present case did move to suppress
the first tape-recorded confession, but later admitted at the habeas hearing that he was
unaware of all the facts and circumstances surrounding the taking of that first tape-recorded
confession.See footnote 6 A command of all facts and circumstances surrounding a confession is essential to adequate representation. As the United States Supreme Court stated in Malloy v. Hogan,
378 U.S. 1 (1964), the ultimate test of voluntariness of a confession is whether it is the
product of an essentially free and unconstrained choice by its maker. Id. at 7. A
determination of voluntariness must be premised upon the totality of the circumstances, both
the characteristics of the accused and the details of the interrogation. See Schneckloth v.
Bustamonte, 412 U.S. 218 (1973).
The Appellant next complains that counsel placed him in a self-incriminatory situation
by interrogating him and eliciting inculpatory statements in the presence of deputies. The
Appellant and Mr. Vickers listened to the tape-recorded confession in the presence of the
deputies, and thereafter Mr. Vickers questioned the Appellant, still in the presence of the
deputies, with regard to the truth of that statement. Mr. Vickers subsequently encouraged
the Appellant to cooperate in the police investigation even though Mr. Vickers had not
secured any definite plea arrangement.See footnote 7 Perhaps even more egregious was Mr. Vickers'
encouragement of his client to travel to the purported crime scene on November 2, 1989,
with police officers, and Mr. Vickers' own participation in the questioning of his client during that trip. Counsel actually asked questions such as "Are we going to where your car
is?" and "Why don't you show us where the car was." Specific testimony about the murder
weapon was elicited during that trip. The Appellant stated that he could not remember
exactly what weapon he used to kill Mrs. Riley and explained that it could have been a
butcher knife or a letter opener. In response to his own counsel's questioning, he stated that
it was something sharp and metallic, shiny all over, and not heavy.
The Appellant also asserts that Mr. Vickers made statements at trial constituting
unsworn testimony in contradiction of his client by explaining to the lower court that it was
unlikely that Corporal Canterbury threatened the Appellant with a gun because guns were
customarily not permitted in interrogation areas. The Appellant also maintains that counsel
was ineffective at trial by failing to adequately present available exculpatory evidence.
Examples of such include counsel's failure to utilize a police pathological report which
conflicted with the Appellant's first confession as it pertained to the time of death.See footnote 8 The
Appellant also contends that counsel failed to utilize forensic reports showing that none of
the many shoe prints and fingerprints at the scene matched the Appellant.See footnote 9 Moreover, counsel testified at the habeas proceeding that he was unaware, until one day prior to that
habeas hearing, of any irregularity in the presentment of the Appellant after his arrest.
Similarly, but for counsel's own error in encouraging his client to accompany police
to the scene and in actively participating in the interrogation, the second taped confession
would never have been taken. Counsel's error in actively participating in the interrogation
of the accused during the second taped confession is accentuated by examining the proper
role of counsel present during an interrogation and comparing that to the role played by
counsel in the present case. The United States Supreme Court, in Miranda v. Arizona, 384
U.S. 436 (1966), emphasized the advantages of having counsel present during questioning
of a defendant. The Court explained as follows:
That counsel is present when statements are taken from an
individual during interrogation obviously enhances the integrity
of the fact-finding processes in court. The presence of an
attorney, and the warnings delivered to the individual, enable
the defendant under otherwise compelling circumstances to tell
his story without fear, effectively, and in a way that eliminated
the evils in the interrogation process.
384 U.S. at 466. The activities of counsel in the present case had quite the opposite effect,
and his questioning actually enhanced the prosecution's case against the Appellant. The
Appellant's own statements, in both taped confessions, were the evidence upon which the
conviction rests. See Harris ex rel. Ramseyer v. Wood, 64 F.3d 1432, 1436-37 (9th Cir.
1995) (finding counsel deficient where counsel permitted accused to make damaging
statements to the prosecutor in absence of a plea or immunity agreement). Absent those
confessions, or either of them individually, the prosecution's case would have been much
weaker, and there is a reasonable probability that the result of the proceedings would have
been different, and the Appellant could have prevailed.
Counsel's performance was also deficient to the extent that he essentially presented
his own statement to the lower court in contradiction of the Appellant's statement that
Corporal Canterbury had a gun during their encounter in the bathroom. While, as the State
argues, that particular transgression may not have prejudiced the Appellant, it is another
indication of counsel's gross misunderstanding of his role in the defense of the accused. His
failure to adequately utilize exculpatory information such as the absence of the Appellant's
fingerprints at the scene and the potentially unreliable chain of custody of the items allegedly
stolen by the Appellant is also indicative of his ineffectiveness.
This case is similar to Alston v. Garrison, 720 F.2d 812 (4th Cir. 1983), cert. denied,
468 U.S. 1219 (1984). In a slightly different context, the court in Alston observed that "[f]ew mistakes by criminal defense counsel are so grave as the failure to protest evidence
that the defendant has exercised his right to remain silent." 720 F.2d at 816. "Failure to
oppose the admission of such evidence plainly falls beneath the 'range of competence
demanded of attorneys in criminal cases.'" Id. at 817 (quoting Marzullo v. Maryland, 561
F.2d 540, 543 (4th Cir. 1977), cert. denied, 435 U.S. 1011 (1978)). Additionally, the court
noted that the failure to object to prejudicial statements made by the defense counsel at a
pretrial line-up also constituted ineffective assistance of counsel. 720 F.2d at 817, n. 3. In
addressing counsel's statement congratulating the police for conducting a quality lineup, the
court in Alston stated as follows:
While Alston's counsel had no business making such a statement in the
first place, the real damage resulted from his failure to object when the
statement was presented at trial. By this evidence, counsel appeared to
vouch for the accuracy of the line-up which inculpated his client. The
very essence of the adversarial system is violated by a performance
such as this one by counsel.
Id.
In the case sub judice, Appellant's counsel acted not as an advocate for his client but
rather as an agent for the police. Truly, it can be said that the Appellant would have been
better off without counsel. The constitutional guarantee of effective assistance of counsel
requires much more than was provided here. The right to effective assistance of counsel is
one of the most fundamental and cherished rights guaranteed by our Constitution. See
generally Johnson v. Zerbst, 304 U.S. 458, 462 (1938).
The prejudice prong of ineffective assistance of counsel is clearly met in this case.
While a defendant must ordinarily prove deficient performance by counsel coupled with a
showing of prejudice in order to prevail on an ineffective assistance of counsel claim, there
is a narrow class of cases where the particular circumstances "are so likely to prejudice the
accused that the cost of litigating their effect in a particular case is unjustified." United
States v. Cronic, 466 U.S. 648, 658 (1984) (footnote omitted). If the Appellant can prove
such circumstances actually existed, prejudice will be presumed. We stated as follows in
syllabus point five of Daniel:
In deciding ineffective assistance claims, a court need not
address both prongs of the conjunctive standard of Strickland v.
Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674
(1984), and State v. Miller, 194 W. Va. 3, 459 S.E.2d 114
(1995), but may dispose of such a claim based solely on a
petitioner's failure to meet either prong of the test.
___ W. Va. at ___, ___ S.E.2d at ___.
There is no question that the sort of conduct shown here, i.e., counsel conducting an
interrogation of client for benefit of police, represents a paradigmatic example of the sort of
breakdown in the adversarial process that triggers a presumption of prejudice. The focus
must be on whether, in light of the entire record, the attorney remained a legal advocate who
acted with "[u]ndivided allegiance and faithful, devoted service" to the Appellant. Von Moltke v. Gillies, 332 U.S. 708, 725 (1948). We hold that counsel failed to meet that
standard.See footnote 10
Based upon the foregoing, we reverse the decision of the lower court and grant the
Appellant a new trial.
Reversed and remanded.