United States v. Harper ( 2020 )


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  •   This order is subject to administrative correction before final disposition.
    UNITED STATES                                 NMCCA No. 201900128
    Appellee
    Special Panel 3
    v.
    Cody A. HARPER                                    PUBLISHED
    Private (E-1)                                       ORDER
    United States Marine Corps
    Appellant                       To Represent Appellant
    PUBLISHED ORDER OF THE COURT
    I. FINDINGS OF FACT
    Upon consideration of the record of trial and filings by the parties, this
    Court finds as follows:
    1.   On 30 January 2019, before a military judge sitting as a special
    court-martial, Appellant pleaded and was found guilty to a single
    specification of using cocaine, in violation of Article 112a, Uniform
    Code of Military Justice [UCMJ], 10 U.S.C. § 912a (2012). Pursuant
    to a pretrial agreement, all other referred charges and specifications
    were withdrawn and dismissed without prejudice, to ripen into prej-
    udice once appellate review is complete. Appellant was sentenced to
    40 days’ confinement and a bad-conduct discharge. The sentence was
    approved as adjudged on 30 April 2019, at which time, in accordance
    with the pretrial agreement, the bad-conduct discharge was sus-
    pended for six months and was thereafter remitted.
    2.   After the adjournment of his court-martial, while his case was still
    pending appellate review, Appellant was administratively separated
    from the military. He is therefore no longer attached to a military
    unit or subject to military orders.
    3.   The parties do not contest that Appellant’s case is correctly before
    this Court, the Navy-Marine Corps Court of Criminal Appeals
    [NMCCA] pursuant to Article 66, UCMJ, 
    10 U.S.C. § 866
     (2016),
    which requires automatic appellate review of courts-martial with an
    approved sentence of, among other things, a bad-conduct discharge.
    Thus, based on his approved sentence, Appellant, by law, has a
    United States v. Harper, NMCCA No. 201900128
    Published Order of the Court
    mandatory appeal to this Court unless he affirmatively waives or
    withdraws his case from such appellate review. 1
    4.       As part of the Appellate Rights statement provided to Appellant in
    writing and discussed with him by the military judge at his court-
    martial, Appellant was advised of the automatic appellate review by
    this Court of cases involving the type of sentence he received. 2 He
    was advised of his right to “waive appellate review” or to “withdraw
    [his] case from appellate review at a later time.” 3 He was further ad-
    vised, “If your case is reviewed by NMCCA, military counsel will be
    appointed to represent you at no cost to you . . . .” 4
    5.       Appellant indicated to the military judge at his court-martial that he
    had read and understood his rights and had discussed them with his
    trial defense counsel, and both he and defense counsel signed the
    Appellate Rights statement advising him of these rights. 5
    6.       Appellant has taken no action to affirmatively waive or withdraw
    his case from automatic appellate review by this Court, or to affirm-
    atively waive representation by military counsel.
    7.       Appellate defense counsel was properly detailed as military counsel
    to represent Appellant before this Court. By statute, such appellate
    defense counsel “shall represent the accused before th[is] Court of
    Criminal Appeals . . . when requested by the accused; [or] when the
    United States is represented by counsel.”6 At the time of detailing,
    the only applicable clause was “when requested by the accused,” and
    we determine that the above-described Appellate Rights advice to
    Appellant that he would be represented by military counsel in the
    event of an automatic appeal, coupled with the absence of any af-
    firmative waiver of such appeal or such representation, is tanta-
    mount to Appellant’s uninterrupted and unaltered request for such
    1 Arts. 61, 66, UCMJ, 
    10 U.S.C. §§ 861
    , 866 (2016); Rule for Courts-Martial
    [R.C.M.] 1110.
    2   Appellate Exhibit [App. Ex.] IV; Record at 85-86.
    3   App. Ex. IV.
    4   App. Ex. IV (emphasis added).
    5   
    Id. at 3-4
    .
    6 Art. 70(c)(1)-(2), UCMJ, 
    10 U.S.C. § 870
    (c)(2) (2016) (emphasis added). See also
    R.C.M. 1202; Manual of the Judge Advocate General, Judge Advocate General
    Instruction 5800.7F CH 1 § 0148 (Jan. 1, 2019).
    2
    United States v. Harper, NMCCA No. 201900128
    Published Order of the Court
    counsel. Additionally, the United States is now represented by coun-
    sel in this case, such that the latter clause also applies.
    8.    Appellate defense counsel, after being properly detailed to represent
    Appellant, submitted a notice of appearance before this Court on 13
    June 2019.
    9.    On 5 August 2019, appellate defense counsel submitted a motion for
    first enlargement of time for 10 days on behalf of Appellant. 7 Appel-
    late defense counsel stated in her filing that she had reviewed the
    entire record of trial (174 pages total, including the 91-page tran-
    script), but further stated she had been unable to locate or com-
    municate with Appellant and anticipated this enlargement would al-
    low her to do so. The request was granted by the Court the same
    day.
    10.   On 13 August 2019, appellate defense counsel filed a novel pleading
    entitled, “No Authority to Represent Appellant,” citing her failure to
    locate or communicate with Appellant to establish an attorney-client
    relationship. Appellate defense counsel informed the Court she did
    not intend to file any substantive pleadings on behalf of Appellant;
    however, she did not file a motion to withdraw. Subsequent to that
    filing, appellate defense counsel has filed requests for enlargements
    of time to respond to issues specified for briefing by this Court, a
    substantive brief on the specified issues, a reply brief, and declara-
    tions.
    11.   Since June 2019, appellate defense counsel has exercised due dili-
    gence in trying to locate and communicate with Appellant by send-
    ing letters to his last-known address, calling telephone numbers as-
    sociated with Appellant, and trying to contact him by other similar
    means. The Government has provided appellate defense counsel all
    the contact information it has for reaching Appellant, who, due to
    his administrative discharge, is no longer subject to military orders
    or under any obligation to maintain updated contact information.
    7  For military counsel, the entry in the electronic database as the counsel of
    record before this Court is considered the notice of appearance; any pleading with
    counsel’s signature is also considered a notice of appearance. N-M Ct. Crim. App. R.
    12.
    3
    United States v. Harper, NMCCA No. 201900128
    Published Order of the Court
    II. DISCUSSION
    Based on the approved sentence, Appellant’s case is by statute subject to
    mandatory appellate review by this Court, which is empowered to “affirm
    only such findings of guilty and the sentence or such part or amount of the
    sentence, as it finds correct in law and fact and determines, on the basis of
    the entire record, should be approved.” 8 As Appellant has not affirmatively
    waived or withdrawn his case from such appeal, we continue to have
    jurisdiction to conduct the required review of this case.
    As part of the appellate review process, Appellant is afforded representa-
    tion by military appellate counsel. To that end, appellate defense counsel has
    been properly detailed to represent Appellant before this Court and by
    statute “shall” represent him where, as here, Appellant stated his under-
    standing that he would be assigned such counsel in the event of such an
    automatic appeal; was informed of his right to affirmatively waive such
    appeal and has not done so; and the United States is represented by counsel.
    Given these circumstances, particularly the lack of any affirmative action by
    Appellant either to waive his right to representation or to withdraw his case
    from appellate review, we conclude that appellate defense counsel not only
    has the authority, but is statutorily required to represent Appellant, to the
    best of her ability, notwithstanding her inability to locate or communicate
    with him. Such representation is an inherent aspect of the appellate review
    process Congress has mandated in Appellant’s case, which contemplates that
    Appellant’s best opportunity for a thorough, searching review is to have legal
    counsel championing his case.
    While we understand appellate defense counsel’s hesitancy to represent
    Appellant without communicating with him, we agree with our two sister
    service courts who addressed this issue in United States v. Jennings 9 and
    United States v. Sink 10 and concluded that such communication, while
    certainly preferable, is not legally required. We find support for such a
    conclusion from our own decision in United States v. Thomas, 11 as well as
    from our superior court in United States v. Miller, 12 United States v. Moss, 13
    and United States v. Roach. 14
    8   Art. 66(c), UCMJ.
    9   
    49 M.J. 549
     (C.G. Ct. Crim. App. 1998).
    10   
    27 M.J. 920
     (A.C.M.R 1989).
    11   
    33 M.J. 768
     (N-M. Ct. Crim. App. 1991).
    12   
    63 M.J. 452
     (C.A.A.F. 2006).
    4
    United States v. Harper, NMCCA No. 201900128
    Published Order of the Court
    In United States v. Roach, our superior court provided a helpful overview
    of the history of appellate representation by military counsel, which guides
    our analysis of this issue:
    Although the military justice system incorporates civilian
    criminal law practices in important respects, Congress in the
    UCMJ has preserved many of the historic aspects of military
    law. Appellate review in the Courts of Criminal Appeals, for
    example, embodies the traditional affirmative responsibility of
    military reviewing authorities to conduct mandatory, de novo
    review of court-martial proceedings.
    In the Article III courts, the responsibility in a criminal
    case for initiating a timely appeal, paying costs and fees, ob-
    taining a transcript, and retaining counsel rests with the party
    seeking review. Provision of counsel on appeal at government
    expense and waiver of costs and fees occur only in the case of
    an indigent party. The courts of appeals on direct review focus
    on issues of law, with the burden generally on the appellant to
    demonstrate prejudicial error.
    Proceedings in the Courts of Criminal Appeals differ from
    civilian appeals in three significant respects. First, review is
    mandatory. The Judge Advocate General must submit each
    case of the type at issue in the present appeal [i.e., meeting a
    certain sentence threshold] to the court unless the accused af-
    firmatively waives the appeal.
    Second, the Judge Advocate General must provide govern-
    ment-furnished appellate counsel to the accused, regardless of
    indigence, on request of the accused, or when the government
    is represented on appeal by counsel. The report accompanying
    enactment of Article 70, UCMJ, observed that such representa-
    tion would assure that the accused’s case will be thoroughly
    considered.
    Third, the scope of review by the Courts of Criminal Ap-
    peals differs in significant respect from direct review in the ci-
    vilian federal appellate courts. In addition to reviewing the
    case for legal error in a manner similar to other appellate
    courts, Congress has provided the Courts of Criminal Appeals
    13   
    73 M.J. 64
     (C.A.A.F. 2014).
    14   
    66 M.J. 410
     (C.A.A.F 2008).
    5
    United States v. Harper, NMCCA No. 201900128
    Published Order of the Court
    with “plenary, de novo power of review” and the ability to
    “ ‘determine[ ], on the basis of the [entire] record’ which find-
    ings and sentence should be approved.” In that regard, the
    court conducts a de novo review under Article 66(c) of the facts
    as part of its responsibility to make an affirmative determina-
    tion as to whether the evidence provides proof of the appel-
    lant’s guilt of each offense beyond a reasonable doubt. The
    court also conducts a de novo review of the sentence under
    Article 66(c) as part of its responsibility to make an affirmative
    determination as to sentence appropriateness. The reports
    accompanying the enactment of the UCMJ identified the
    unique powers established under Article 66 as responding to
    significant deficiencies in the operation of the military justice
    system during World War II, particularly with respect to sen-
    tence disparities. 15
    Relying on the structure of the military appellate system and its own
    prior case precedents, our superior court concluded that the Courts of
    Criminal Appeals [CCAs] “have broad powers to issue orders to counsel to
    ensure the timely progress of cases reviewed under Article 66.” 16 It further
    found that “[i]rrespective of the reason for not filing a brief . . . when an
    appellant has requested representation that does not appear to be forthcom-
    ing, the court must ensure that military counsel are performing their primary
    obligation to comply with court orders and protect the interests of [the]
    client.” 17
    As our sister service courts have held, this obligation to protect the inter-
    ests of the client applies even when an appellant has not formed an attorney-
    client relationship with his appellate counsel. In United States v. Jennings,
    the Coast Guard Court of Criminal Appeals declined to view an appellant’s
    refusal to communicate with his appellate defense counsel as an effective
    waiver of counsel, and instead allowed the assigned counsel to represent and
    advocate for the appellant absent “an explicit statement from Appellant that
    he does not desire such action on his behalf.” 18 As the court explained,
    “although Appellant has not actively participated in his defense, we have
    15   
    Id. at 412-13
     (alterations in original) (citations omitted).
    16   
    Id. at 418
    .
    17   
    Id.
    18   49 M.J. at 553.
    6
    United States v. Harper, NMCCA No. 201900128
    Published Order of the Court
    completed our statutory review of the record with the assistance of a qualified
    counsel who has been required to advocate issues in Appellant’s behalf.” 19
    The Army Court of Military Review reached a similar conclusion in Unit-
    ed States v. Sink, 20 where the appellant was found guilty after a contested
    trial, went absent before sentencing without ever affirmatively requesting
    appellate counsel or even being informed of his Appellate Rights, and
    remained absent for the appeal. There, as here, the assigned appellate
    defense counsel asserted he was precluded from representing the appellant
    before the CCA because he could not form an attorney-client relationship
    with the absent appellant and the appellate defense counsel requested the
    appeal be held in abeyance. 21 The court disagreed, relying on the mandates
    contained in Article 70, UCMJ, and Rule for Courts-Martial 1202, determined
    that even when not requested, the appellate defense counsel shall represent
    the appellant before the court. 22 As the court found, “[t]his duty of represen-
    tation can be met in most cases without appellant’s knowledge or active
    participation.” 23 Thus, although the case was contested at trial, the court
    concluded there was no need to hold the appeal in abeyance until the
    appellant was found and that appellate defense counsel could proceed with
    representing the appellant’s best interests and advocating on his behalf even
    where no attorney-client relationship had been formed. 24
    These precedents are consistent with our own determination in United
    States v. Thomas 25 that “appointment of appellate counsel is statutorily
    mandated unless the appellant waives that right in writing after having been
    19   Id.
    20   
    27 M.J. 920
     (A.C.M.R. 1989).
    21   
    Id. at 921
    .
    22 
    Id.
     at 921 n.1 (stating “[w]e read these rules to require appointment of appel-
    late counsel, regardless of failure of the appellant to request counsel”); but see United
    States v. Matthews, 
    19 M.J. 707
     (A.F.C.M.R. 1984), pet. denied, 
    20 M.J. 146
     (C.M.A.
    1985) (holding an appellant, who was tried in absentia and not provided Appellate
    Rights to request counsel, by being in absentia, waived the right to counsel on
    appeal).
    23 Sink, 27 M.J. at 921 (citing United States v. Palenius, 
    2 M.J. 86
    , 92 (C.M.A.
    1977)); see also United State v. Tilley, 
    26 M.J. 846
    , 847-848 n.1 (A.C.M.R. 1988)
    (stating that because appellate review is limited to a review of a record of trial,
    communication with the client is “of less consequence than at trial”).
    24   Sink, 27 M.J. at 921.
    25   
    33 M.J. 768
     (N-M. Ct. Crim. App. 1991).
    7
    United States v. Harper, NMCCA No. 201900128
    Published Order of the Court
    fully advised of the ramifications of such waiver by qualified counsel.” 26 As
    there was no waiver of the right to appellate counsel here, we conclude that
    appellate defense counsel’s statutory obligation to represent Appellant and
    advocate on his behalf remains, despite the lack of communication between
    attorney and client.
    We also reach this conclusion in reliance on additional precedent from our
    superior court. First, in United States v. Miller, 27 the appellate defense
    counsel sent a letter soliciting input from the appellant and requested a
    response within 20 days. 28 The appellate defense counsel did not provide the
    appellant 20 days and instead submitted an appellate brief with no assign-
    ment of error. The Appellant never responded to the letter from his counsel.
    While the court found that counsel should have waited the full 20 days before
    submitting any brief on behalf of the appellant, the court neither addressed
    nor found error due to any asserted lack of an attorney-client relationship or
    the lack of effective communication between attorney and client. The court
    simply reviewed for prejudice and found none.
    More importantly, in United States v. Moss, 29 our superior court found no
    issue with appellate defense counsel representing an appellant before the
    CCA, even though there had been no communication between attorney and
    client. In Moss, the appellant was convicted and sentenced in absentia after a
    contested trial but had elected representation by appellate defense counsel
    prior to going absent. After the Army Court of Criminal Appeals [ACCA]
    affirmed, it sent notice to Moss of his right to appeal to the Court of Appeals
    for the Armed Forces [CAAF] to his last known address, as Moss was in a
    fugitive status during the pendency of the appeal. The notice was ultimately
    returned as undeliverable. 30 After arguing the case before the CCA, Moss’s
    detailed appellate defense counsel appealed to CAAF but had no specific
    authorization from Moss to do so, and it appears, as in this case, that the
    appellate defense counsel had never spoken to Moss in connection with the
    appeal to the CCA or the appeal to CAAF.
    CAAF determined that the request for representation by Moss contained
    in the Appellate Rights statement gave rise to a “continuing duty” of
    appellate defense counsel to represent him before the CCA even though Moss
    26   
    Id. at 773
    .
    27   
    63 M.J. 452
     (C.A.A.F. 2006).
    28   
    Id. at 455
    .
    29   
    73 M.J. 64
     (C.A.A.F. 2014).
    30   
    Id. at 66, 70
    .
    8
    United States v. Harper, NMCCA No. 201900128
    Published Order of the Court
    was absent, tried in absentia, and had not communicated with the appellate
    defense counsel for purpose of the appeal to the CCA. 31 While distinguishing
    the counsel’s ability to affirmatively petition CAAF based on a difference in
    the statutory language, CAAF specifically found that “appellate defense
    counsel’s duty to represent Moss was predicated on her previously provided
    limited authority [contained in the Appellate Rights statement] to appeal
    only to the ACCA.” 32 Even with respect to petitioning CAAF, the court found
    that
    [i]f the accused is not available and cannot be located within
    the time provided to file a petition for review before this court,
    “the attorney can and should proceed in accordance with the
    authority previously given by the accused and file such pro-
    ceedings as may be necessary to protect the interests of his cli-
    ent.” 33
    Since Moss indicated a desire to be represented by appellate defense counsel
    in the Appellate Rights statement if the sentence fell within the jurisdiction
    for an automatic appeal, the court found that an attorney-client relationship
    existed (limited in scope to representation before the CCA) despite the
    inability of counsel to communicate with the fugitive appellant. 34
    We conclude likewise in this case, that notwithstanding her inability to
    locate Appellant, appellate defense counsel is not only able to adequately
    represent Appellant’s interests before this Court, but that she is legally
    required to do so under the appellate review system enacted by Congress.
    Without question, the best situation is for Appellant to have communications
    31   
    Id. at 68
    .
    32   
    Id. at 69
     (quoting United States v. Larneard, 
    3 M.J. 76
    , 82 (C.M.A. 1977)).
    33   
    Id.
    34The decision echoed the court’s earlier decision in United States v. Larneard,
    wherein the court stated:
    While it is the appellant’s decision whether to take an appeal to this
    Court, once he instructs his counsel to pursue the appeal, that attor-
    ney can and should do all that he may ethically do in furtherance of
    his client’s cause. Implicit in what we now decide is that the attorney
    may sign the petition and any ancillary papers as attorney for the ac-
    cused. In that regard, the attorney is acting as the agent for the ap-
    pellant pursuant to his client’s instruction and authorization to pur-
    sue the appeal. Execution of the pleadings only manifests the client’s
    decision to go forward with his case.
    
    3 M.J. 76
    , 82 (C.M.A. 1977).
    9
    United States v. Harper, NMCCA No. 201900128
    Published Order of the Court
    with his detailed appellate defense counsel. 35 However, that is not always
    possible when appellants become unavailable—whether inadvertently or
    intentionally—during the pendency of their appeal. Here, Appellant was
    specifically advised and understood that unless he waived his appeal, his case
    would receive automatic appellate review, during which he would be
    represented by military counsel. Hence, absent evidence of any affirmative
    election on his part to waive the appeal, the case shall continue with
    mandatory appellate review, and appellate defense counsel must act in the
    best interest of Appellant in effectuating his understanding both that
    appellate review would take place and that he would be represented by
    military counsel during such an appeal.
    Accordingly, we join in the view expressed by our sister service courts
    that an appellate defense counsel’s obligation to protect the interests of his or
    her client applies even when the appellant cannot be located for effective
    communication with appellate counsel. It is nonsensical and against all
    tenets of fundamental fairness within the military justice system for an
    appellate defense counsel, during a mandatory appeal for which Appellant
    has an acknowledged right to military counsel, to effectively forfeit that right
    to counsel without Appellant’s knowledge or consent. Like the court in Sink,
    we decline to hold the appeal in abeyance under such circumstances, when
    Article 70, UCMJ, clearly requires that, even when not requested, the
    detailed appellate defense counsel shall represent the appellant before the
    CCA where, as here, the United States is represented by counsel. We further
    agree that, although certainly not preferred, the duty of representation can
    be met without Appellant’s active participation, and we conclude that
    appellate defense counsel can proceed with representing Appellant’s best
    interests and advocating on his behalf even when Appellant has not been
    located for effective communication with his appellate counsel. While this
    Court has the duty to conduct its own review of the case under Article 66,
    UCMJ, we will not permit an appellate defense counsel, who has properly
    been detailed to represent an appellant entitled to a mandatory appeal (and
    who has made an appearance before this Court), to simply sit on the
    sidelines.
    This view is consistent with the ethical rules outlined in the Navy Judge
    Advocate General’s [JAG] Corps Rules of Professional Conduct. 36 As Rule
    35   See Miller, 63 M.J. at 456.
    36 Professional Conduct of Attorneys Practicing Under the Cognizance and
    Supervision of the Judge Advocate General, Judge Advocate General Instruction
    5803.1E, Principle II (Jan. 20, 2015) [JAG Rules of Professional Conduct].
    10
    United States v. Harper, NMCCA No. 201900128
    Published Order of the Court
    1.2b explains, “the subject-matter scope of a covered attorney’s representa-
    tion will be consistent with the terms of the assignment to perform specific
    representational or advisory duties.” 37 Here, absent indication of any further
    limitation, that scope embraces the same military appellate representation
    Appellant was advised he would receive in the Appellate Rights statement
    and indicated he understood before the military judge. Consistent with the
    scope of such appellate representation, the ethical rules and commentary
    thereto further provide:
    [A] covered attorney should pursue a matter on behalf of a cli-
    ent . . . and may take whatever lawful and ethical measures are
    required to vindicate a client’s cause or endeavor. 38
    ....
    Unless the relationship is terminated . . . and to the extent
    permitted by law and regulations, a covered attorney should
    carry through to conclusion all matters undertaken for a client.
    If a covered attorney’s representation is limited to a specific
    matter, the relationship terminates when the matter has been
    either concluded or resolved. 39
    Together, these rules provide a general mandate that appellate defense
    counsel must pursue his or her client’s best interests to the greatest extent
    possible until the specific matter—in this case, Appellant’s mandatory appeal
    before this Court—has been concluded or otherwise resolved. 40 Our research
    into guidance from state bar association and judicial ethics opinions does not
    37   JAG Rules of Professional Conduct, r. 1.2b.
    38   JAG Rules of Professional Conduct, r. 1.3 cmt. 1.
    39   JAG Rules of Professional Conduct, r. 1.3 cmt. 3 (emphasis added).
    40 We note the agreement of legal commentators with this principle, that absent
    indication an appellant wishes to withdraw an appeal, the appellate counsel detailed
    to the case is ethically required to go forward with the representation. See, e.g., Major
    Jay L. Thorman, Conquering Competency and Other Professional Responsibility
    Pointers for Appellate Practitioners, 2011 Army Lawyer *4, *8-10 (November, 2011)
    (discussing that for the common occurrence of missing clients during military
    appeals, the rules of professional conduct generally require continued representation
    by appellate counsel) (citations omitted); Restatement (Third) of the Law Governing
    Lawyers § 14, cmt. g (Am. Law Inst. 2000) (“A lawyer may be required to represent a
    client when appointed by a court or other tribunal with power to do so” and when a
    “court appoints a lawyer to represent a person, that person’s consent may ordinarily
    be assumed absent the person’s rejection of the lawyer’s services.”).
    11
    United States v. Harper, NMCCA No. 201900128
    Published Order of the Court
    indicate to the contrary. 41 Thus, particularly in light of the military case
    precedents outlined above, we see no conflict between the rules of profession-
    al conduct and appellate defense counsel’s duty to represent Appellant in his
    mandatory appeal before this Court. 42
    III. CONCLUSION
    Thus, consistent with the military appellate system enacted by Congress,
    the opinions of our superior and sister courts, and other pertinent legal and
    ethical guidance, we hold that Appellant is entitled to continued appellate
    representation by appellate defense counsel before this Court, notwithstand-
    ing appellate defense counsel’s inability—after exercising due diligence—to
    locate or communicate with him. As our superior court explained in Roach,
    Appellant is simply in a better position with a sage advocate representing his
    41  See e.g., Burke v. Lewis, 
    122 P. 3d 533
    , 541-42 (Utah 2005) (holding if ordered
    by competent authority, counsel can represent client); Alaska Bar Ass’n Ethics
    Comm., Op. 2011-4 (2011) (concluding that even if the client cannot be contacted, an
    attorney who has been directed by the client to file a criminal appeal must file the
    notice of appeal and points on appeal and make reasonable inquiry as to the client’s
    whereabouts and reasonable efforts to contact the client in order to inform the client
    as to the status of the appeal); Or. State Bar Ass’n Formal Op. No. 2005-33 (Aug.
    2005) (in a civil matter, lawyer was not permitted to withdraw from an appeal
    without first requesting leave to do so even when defendant client had fled the
    country); R.I. Ethics Advisory Panel Gen. Info. Op. p No. 6 (Jun. 30, 1993) (lawyer
    must exercise diligent efforts both to locate the missing client and to protect the
    missing client’s interests); Colo. Bar Formal Ethics Op. 128, 2015 CO Legal Ethics
    Ops. LEXIS 4 (Oct. 17, 2015) (stating while representation and communication are in
    tension when there is no contact with client, “this tension should be resolved in favor
    of protecting the absent client’s interests”; “[a]n attorney may not decline to advocate
    on behalf of the client simply because the client does not attend court hearings or
    provide direction to the attorney”; “an attorney must still exercise professional
    judgment as to how to advocate for the client’s best interests”; “[i]n determining the
    extent of actions a lawyer may take on behalf of an absent client, the primary
    consideration should be avoiding prejudice to the client to the extent feasible”; and
    “[i]f a lawyer reasonably believes the client has authorized the lawyer to take some
    action and is relying on the lawyer to do so, the lawyer may act on behalf of the
    client.”); see also N.C. State Bar 2003 Formal Ethics Op. 16 (adopted July 16 2004)
    (discussing the representation of an absent respondent in a dependency proceeding).
    42Even if there were, we note that the underlying ethical principles on which the
    professional conduct rules are based expound the view that the law, as we have
    described above, generally prevails if there is a conflict between the law and the
    ethical rules. See JAG Rules of Professional Conduct, Principle II (“Ethical rules
    should be consistent with law. If law and ethics conflict, the law prevails unless an
    ethical rule is constitutionally based.”).
    12
    United States v. Harper, NMCCA No. 201900128
    Published Order of the Court
    interests before this Court, as opposed to the Court performing its Article 66
    review without the benefit of such advocacy.
    Therefore, it is on this 26th day of June, 2020,
    ORDERED:
    That appellate defense counsel shall continue with her representation of
    Appellant and file a Brief on his behalf no later than the 20 July 2020.
    FOR THE COURT:
    RODGER A. DREW, JR.
    Clerk of Court
    13
    

Document Info

Docket Number: 201900128

Filed Date: 6/26/2020

Precedential Status: Precedential

Modified Date: 7/13/2020