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A Three-Part Examination of Indigent Defense in America. Part 2 Redefining Indigence: Financial Eligibility Guidelines for Assigned Counsel - PDF
A Three-Part Examination of Indigent Defense in America. Part 2 Redefining Indigence: Financial Eligibility Guidelines for Assigned Counsel
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1 Gideon at 50: A Three-Part Examination of Indigent Defense in America Part 2 Redefining Indigence: Financial Eligibility Guidelines for Assigned Counsel SIXTH AMENDMENT: IN ALL CRIMINAL PROSECUTIONS, THE ACCUSED SHALL ENJOY THE RIGHT TO A SPEEDY AND PUBLIC TRIAL, BY AN IMPARTIAL JURY OF THE STATE AND DISTRICT WHEREIN THE CRIME SHALL HAVE BEEN COMMITTED, WHICH DISTRICT SHALL HAVE BEEN PREVIOUSLY ASCERTAINED BY LAW, AND TO BE INFORMED OF THE NATURE AND CAUSE OF THE ACCUSATION; TO BE CONFRONTED WITH THE WITNESSES AGAINST HIM; TO HAVE COMPULSORY PROCESS FOR OBTAINING WITNESSES IN HIS FAVOR, AND TO HAVE THE ASSISTANCE OF COUNSEL FOR HIS DEFENCE. NATIONAL ASSOCIATION OF CRIMINAL DEFENSE LAWYERS March 2014
2 Supported by a grant from the Foundation for Criminal Justice. COPYRIGHT 2014 NATIONAL ASSOCIATION OF CRIMINAL DEFENSE LAWYERS This report is subject to a Creative Commons Attribution-Noncommercial-Nonderivative Work license (see It may be reproduced, provided that no charge is imposed, and the National Association of Criminal Defense Lawyers is acknowledged as the original publisher and the copyright holder. For any other form of reproduction, please contact NACDL for permission. NATIONAL ASSOCIATION OF CRIMINAL DEFENSE LAWYERS 1660 L Street NW, 12th Floor Washington, DC Phone:
3 Gideon at 50: A Three-Part Examination of Indigent Defense in America PART 2 Redefining Indigence: Financial Eligibility Guidelines for Assigned Counsel A 50-State Survey of Financial Eligibility Guidelines for Assigned Counsel BY JOHN P. GROSS Indigent Defense Counsel National Association of Criminal Defense Lawyers JERRY J. COX President, NACDL Mount Vernon, KY GERALD B. LEFCOURT President, FCJ New York, NY NORMAN L. REIMER Executive Director, NACDL Washington, DC KYLE O DOWD Associate Executive Director For Policy, NACDL Washington, DC
4 TABLE OF CONTENTS ABOUT THE NATIONAL ASSOCIATION OF CRIMINAL DEFENSE LAWYERS...3 ABOUT THE FOUNDATION FOR CRIMINAL JUSTICE ACKNOWLEDGEMENTS FOREWORD REDEFINING INDIGENCE: FINANCIAL ELIGIBILITY GUIDELINES FOR ASSIGNED COUNSEL INTRODUCTION WHO IS TOO POOR TO HIRE A LAWYER? ELIGILIBILITY FOR ASSIGNED COUNSEL Substantial Hardship Federal Poverty Guidelines The Ability to Post Bond Public Benefits as Income The Marginally Indigent Application Fees, Contributions and Reimbursement CONCLUSION ENDNOTES MAP OF INCOME ELIGIBILITY GUIDELINES FOR ASSIGNED COUNSEL IN THE 50 STATES NATIONAL ASSOCIATION OF CRIMINAL DEFENSE LAWYERS 50-STATE SURVEY OF FINANCIAL ELIGIBILITY GUIDELINES FOR ASSIGNED COUNSEL Gideon at 50: A Three-Part Examination of Indigent Defense in America
5 ABOUT THE NATIONAL ASSOCIATION OF CRIMINAL DEFENSE LAWYERS The National Association of Criminal Defense Lawyers (NACDL) is the preeminent organization in the United States advancing the goal of the criminal defense bar to ensure justice and due process for persons charged with a crime or wrongdoing. NACDL s core mission is to: Ensure justice and due process for persons accused of crime Foster the integrity, independence and expertise of the criminal defense profession Promote the proper and fair administration of criminal justice. 3 Founded in 1958, NACDL has a rich history of promoting education and reform through steadfast support of America s criminal defense bar, amicus curiae advocacy, and myriad projects designed to safeguard due process rights and promote a rational and humane criminal justice system. NACDL s approximately 9,500 direct members and more than 90 state, local and international affiliates with an additional 40,000 members include private criminal defense lawyers, public defenders, active U.S. military defense counsel, and law professors committed to preserving fairness in America s criminal justice system. Representing thousands of criminal defense attorneys who know firsthand the inadequacies of the current system, NACDL is recognized domestically and internationally for its expertise on criminal justice policies and best practices. The research and publication of this report were made possible through the support of the Foundation for Criminal Justice and its contributors, including individuals, the Open Society Foundation and the Ford Foundation. For more information contact: NATIONAL ASSOCIATION OF CRIMINAL DEFENSE LAWYERS 1660 L Street NW, 12th Floor Washington, DC This publication is available online at Part 2 Redefining Indigence: Financial Eligibility Guidelines for Assigned Counsel
6 ABOUT THE FOUNDATION FOR CRIMINAL JUSTICE 4 The Foundation for Criminal Justice (FCJ) is organized to preserve and promote the core values of America s criminal justice system guaranteed by the Constitution among them due process, freedom from unreasonable search and seizure, fair sentencing, and access to effective counsel. The FCJ pursues this goal by seeking grants and supporting programs to educate the public and the legal profession on the role of these rights and values in a free society and assist in their preservation throughout the United States and abroad. The Foundation is incorporated in the District of Columbia as a non-profit, 501(c)(3) corporation. All contributions to the Foundation are tax-deductible. The affairs of the Foundation are managed by a Board of Trustees that possesses and exercises all powers granted to the Foundation under the DC Non-Profit Foundation Act, the Foundation s own Articles of Incorporation and its Bylaws. For more information contact: FOUNDATION FOR CRIMINAL JUSTICE 1660 L Street NW, 12th Floor Washington, DC Gideon at 50: A Three-Part Examination of Indigent Defense in America
7 ACKNOWLEDGEMENTS This report was prepared by John P. Gross, Indigent Defense Counsel for the National Association of Criminal Defense Lawyers. Portions of this report were previously published in the Washington and Lee Law Review. 1 The author would like to thank the following NACDL staff for their careful editing and helpful suggestions: Norman Reimer, Executive Director; Kyle O Dowd, Associate Executive Director for Policy; and Isaac Kramer, Public Affairs and Communications Assistant. The author would also like to thank NACDL law clerk Michelle Lim for her legal research on income eligibility guidelines for assigned counsel. The author wishes to acknowledge Cathy Zlomek, NACDL Art Director, for the design of the report. 5 5 The author also wishes to thank the members of NACDL s Indigent Defense Committee for their support of this project. Part 2 Redefining Indigence: Financial Eligibility Guidelines for Assigned Counsel
8 FOREWORD 6 The denial of counsel to those too poor to hire a lawyer based on arbitrary income eligibility guidelines undermines the central tenet of our criminal justice system: that every defendant should stand equal before the law. The idea that the poor and the wealthy should have equal access to justice is deeply imbedded in our notion of due process and fundamental fairness. Nearly 50 years ago, Justice Black referenced the following passage from Leviticus when ruling that an indigent defendant must be provided with a trial transcript on appeal: You shall not render an unjust judgment; you shall not be partial to the poor or defer to the great: with justice you shall judge your neighbor. Leviticus, c. 19, v. 15. Today, we take it for granted that defendants who are too poor to hire an attorney will be provided with counsel free of charge. Sadly, as this 50-State Survey of Financial Eligibility Guidelines for Assigned Counsel demonstrates, that is not the case. Not only do states restrict access to counsel through the use of unrealistic income eligibility guidelines, but they impose various fees for providing representation. In an effort to avoid the constitutional mandate to provide counsel to those too poor to hire an attorney, states have redefined poverty. Instead of a realistic assessment of a defendant s financial resources and the actual costs associated with mounting an adequate defense, most states decide who is too poor to hire a lawyer by referencing the Federal Poverty Guidelines. The result is that defendants who receive needs-based public assistance, unemployment, disability and veteran s benefits are often deemed ineligible for assigned counsel. Even when defendants are deemed eligible for assigned counsel, states impose various fees for representation. These fees can apply even in cases where a defendant is acquitted. Most states also attempt to recoup at least some of the costs of representation from a defendant. Defendants are not simply indigent or able to afford an attorney but are now classified as marginally indigent. These defendants are expected to pay what little they have toward the cost of their defense both during the pendency of their case and potentially for years after the case has ended. NACDL s 50-State Survey of Financial Eligibility Guidelines for Assigned Counsel exposes a serious threat to the noble ideal of Gideon. This report documents how states use unrealistic and arbitrary guidelines to make decisions about who is eligible for assigned counsel. The report also calls into question the continued reliance on the Federal Poverty Guidelines when making eligibility determinations. It is a resource for the defense bar, assigned counsel plan administrators, judges and legislators. The information contained in this survey shows that states need to re-evaluate how they make eligibility determinations for assigned counsel in order to ensure that those who are too poor to hire a lawyer stand equal before the law. Jerry J. Cox President, NACDL Gideon at 50: A Three-Part Examination of Indigent Defense in America
9 REDEFINING INDIGENCE: FINANCIAL ELIGIBILITY GUIDELINES FOR ASSIGNED COUNSEL 7 Reason and reflection require us to recognize that in our adversary system of criminal justice, any person haled into court, who is too poor to hire a lawyer, cannot be assured a fair trial unless counsel is provided for him. This seems to us to be an obvious truth. Gideon v. Wainwright, 372 U.S. 335, 344 (1963) A defendant in a criminal case who is just above the poverty line separating the indigent from the nonindigent must borrow money, sell off his meager assets, or call upon his family or friends in order to hire a lawyer. Fuller v. Oregon, 417 U.S. 40, (1974) Introduction Fifty years ago the Supreme Court announced in Gideon v. Wainwright that any person who is too poor to hire a lawyer must be provided with counsel. The Court pointed out that our state and national constitutions and laws have laid great emphasis on procedural and substantive safeguards designed to assure fair trials before impartial tribunals in which every defendant stands equal before the law. The Court reasoned that this noble ideal cannot be realized if the poor man charged with a crime has to face his accusers without a lawyer to assist him. Part 2 Redefining Indigence: Financial Eligibility Guidelines for Assigned Counsel
10 8 States have struggled to create indigent defense delivery systems that live up to the noble ideal that every defendant should stand equal before the law. Chronic underfunding has led to excessive caseloads which has in turn raised questions about the effectiveness of the legal representation provided to those too poor to hire a lawyer. While the effectiveness of the various indigent defense delivery systems across the country has repeatedly been called into question, what is seldom questioned is how states determine who is indigent. 2 For presumptively While states have various definitions of indigency, the majority of states rely on the Federal Poverty Guidelines to determine eligibility for assigned counsel. innocent defendants facing the powerful legal machinery of the state, the importance of this determination cannot be overstated. counsel, and explains the origin of the Federal Poverty Guidelines and how they cannot accurately predict who is too poor to hire a lawyer. The survey then looks at the fees and costs imposed on supposedly indigent defendants who are assigned counsel. These include application fees, payable at the time a request for counsel is made, and reimbursement fees, payable at the conclusion of the case or over time. While states have various definitions of indigency, the majority of states rely on the Federal Poverty Guidelines to determine eligibility for assigned counsel. Many states also consider forms of public assistance as income that defendants can presumably use to hire an attorney, and a few states consider a defendant s ability to post bond when making eligibility determinations. This results in restrictive eligibility criteria that deny representation to defendants who are too poor to hire a lawyer. Defendants who are deemed ineligible for assigned counsel but who lack financial resources to hire an attorney are forced to waive their right to counsel. Those defendants fortunate enough to qualify for assigned counsel are often forced to reimburse the state for the cost of representation. These marginally indigent defendants have to This 50-State Survey of Financial Eligibility Guidelines for Assigned Counsel 3 documents how states decide who is too poor to hire a lawyer. The survey looks at how states define indigency and whether or not that definition is consistent with ABA standards for providing defense services. It identifies which states rely on the Federal Poverty Guidelines when determining eligibility for assigned The term indigent is itself a misnomer.... Courts have never required that a defendant be wholly without means before they are eligible for assigned counsel. Gideon at 50: A Three-Part Examination of Indigent Defense in America
11 contribute whatever financial resources they have to their defense, with the end result being that they become truly indigent by the time their case is resolved. The requirement that marginally indigent defendants reimburse the state for the cost of their defense also discourages them from exercising their right to counsel. Who Is Too Poor to Hire a Lawyer? The Supreme Court has devoted scant attention to the issue of who is indigent, although it should be noted that the term indigent is itself a misnomer. While those defendants who are too poor to hire a lawyer are typically referred to as indigent, courts have never required that defendants be wholly without means before they are eligible for assigned counsel. 4 In his letter of transmittal to President John F. Kennedy, accompanying the proposed legislation that would become the Federal Criminal Justice Act of 1964, Attorney General Robert F. Kennedy explained that the term indigency is avoided because of its implication that only an accused who is destitute may need appointed counsel or services. 5 In Gideon, the Court simply stated that those defendants who were too poor to hire a lawyer were entitled to counsel. No guidelines were proposed as to how a trial court would make the determination that a defendant was unable to afford counsel. The year after Gideon was decided, the Court ruled in Hardy v. United States 6 that an indigent defendant was entitled to a free copy of a complete trial transcript on appeal. 7 In Justice Goldberg s concurring opinion in Hardy, he included a footnote wherein he attempts to define indigence : Justice cannot be equal where, simply as a result of his poverty, a defendant is denied the opportunity to participate meaningfully in a judicial proceeding in which his liberty is at stake. Indigence must be conceived as a relative concept. An impoverished accused is not necessarily one totally devoid of means. An accused must be deemed indigent when at any stage of the proceedings [his] lack of means substantially inhibits or prevents the proper assertion of a [particular] right or claim of right. Indigence must be defined with reference to the particular right asserted. Thus, the fact that a defendant may be able to muster enough resources, of his own or of a friend or relative, to obtain bail does not in itself establish his nonindigence for the purpose of purchasing a complete trial transcript or retaining a lawyer. 8 The conception of indigency as a relative concept linked to the assertion of a particular right is consistent with the noble ideal that every defendant stands equal before the law. Defendants need not be totally devoid of means, nor must they be incapable of asserting a right; it is sufficient that their lack of financial resources substantially inhibits their defense. 9 Part 2 Redefining Indigence: Financial Eligibility Guidelines for Assigned Counsel
12 10 This line of reasoning is reflected in the Court s decision in Ake v. Oklahoma 9 two decades later. In Ake, the Court ruled that an indigent defendant is entitled to a psychiatrist when he has made a preliminary showing that his sanity at the time of the offense is likely to be a significant factor at trial. 10 The Court pointed out that it has long recognized that when a State brings its judicial power to bear on an indigent defendant in a criminal proceeding, it must take steps to assure that the defendant has a fair opportunity to present his defense. 11 While Gideon references an obvious truth, 12 Ake references the elementary principle grounded in fundamental fairness and derived from the belief that justice cannot be equal where, simply as a result of his poverty, a defendant is denied the opportunity to participate meaningfully in a judicial proceeding in which his liberty is at stake. 13 practical matter, they must be unable to retain qualified counsel without suffering substantial hardship. The standard recognizes that there will often be situations where a defendant has some financial resources but not adequate resources to ensure effective representation. Despite this fact, less than a third of the states consider whether defendants will suffer substantial hardship if they are denied assigned counsel when making eligibility determinations. 15 Eligibility for Assigned Counsel Following the Supreme Court s decision in Gideon, states began to devise systems for providing counsel to indigent defendants charged with crimes. Determining who was too poor to hire a lawyer was something left to the individual states and, within the states, typically left to the discretion of the trial court. At first, it appears that many states spent little time making eligibility determinations. A defendant was too poor to hire a lawyer if he simply said that he was. 16 States have attempted to contain costs by reducing the number of defendants who are financially eligible for assigned counsel. The ABA Standards for Providing Defense Services reflect this reasoning and state that counsel should be provided to those who are financially unable to obtain adequate representation without substantial hardship. 14 Defendants need not be totally without means in order to be assigned counsel, instead, as a The assumption was that anyone charged with a crime would hire the best attorney she could afford. The Supreme Court actually made this same assumption in Gideon when it noted that there are few defendants charged with crime, few indeed, who fail to hire the best lawyers they can get to prepare and present their defenses. 17 But as the cost of providing indigent defense services has risen, states have attempted to contain costs by reducing the number of defendants who are financially eligible for assigned counsel. 18 Substantial Hardship Some states have incorporated language from the American Bar Association s Standards for Providing Defense Services, which recommend providing counsel to persons who are financially Gideon at 50: A Three-Part Examination of Indigent Defense in America
13 unable to obtain adequate representation without substantial hardship. 19 These states define indigency as not simply the inability to hire an attorney, but rather the inability to hire an attorney without substantial hardship. Alabama, Florida, Hawaii, Indiana, Louisiana, Maryland, Michigan, Montana, Nevada, New Mexico and Oregon all use substantial hardship as a factor in eligibility determinations. Several other states explicitly mention economic necessities or expenses which they categorize as necessities. In Alaska, an indigent person is one who cannot afford an attorney without depriving the party or the party s dependents of food, clothing, or shelter. In Delaware, a defendant is considered indigent when he is unable to retain legal counsel without impairing his financial ability to provide the economic necessities of life for himself and his family. In Nebraska, defendants are indigent if they are unable to retain counsel without prejudicing one s financial ability to provide economic necessities for one s self or one s family. Rhode Island defines an indigent defendant as someone who after payment of necessary expenses for food, shelter and medical care cannot afford to hire counsel. And in Utah, a defendant is indigent if she lacks the means to pay for legal counsel without depriving the person or the family of that person of food, shelter, clothing and other necessities. Federal Poverty Guidelines The majority of states currently use some multiple of the Federal Poverty Guidelines to determine if a defendant is indigent and therefore eligible for assigned counsel. While it is unclear how the Federal Poverty Guidelines became intertwined with eligibility determinations for assigned counsel, there are a number of factors which may have contributed to their adoption by the majority of states over the last 50 years. The first is that their development coincides with the Supreme Court s decision in Gideon as well as the War on Poverty announced by the Johnson administration in January Second, the Legal Services Corporation (LSC) was created by the Economic Opportunity Act of 1964 and was charged with providing civil legal services to the nation s poor. 21 In determining eligibility guidelines for their services, the LSC decided to use 125 percent of the Federal Poverty Guidelines. 22 Over time, the Federal Poverty Guidelines were adopted by a variety of federal agencies as a method of determining eligibility for benefits. As costs associated with providing indigent defense rose, states turned to eligibility guidelines to control those costs. In searching for some objective criteria to use when making eligibility determinations, states began to adopt the Federal Poverty Guidelines. As costs associated with providing indigent defense rose, states turned to eligibility guidelines to control those costs. The Federal Poverty Guidelines were developed by Mollie Orshansky, an economist working for the Social Security Administration in the early 1960s. 23 The Guidelines were never meant to be 11 Part 2 Redefining Indigence: Financial Eligibility Guidelines for Assigned Counsel
14 12 The Guidelines are of limited value because they are based solely on the cost of food. a general measure of poverty; 24 they were only to be used to assess the relative risks of low economic status. 25 The U.S. Census Bureau has stated that the official poverty measure should be interpreted as a statistical yardstick rather than a complete description of what people and families need to live. 26 The Guidelines are of limited value because they are based solely on the cost of food. 27 Orshansky used the data from the Department of Agriculture s Household Food Consumption Survey, which indicated that Americans spent about one-third of their household income on food. 28 She then used the dollar amounts from the Department of Agriculture s Economy Food Plan, which estimated the minimum amount of money that could be spent on food in order to ensure an adequate level of nutrition, and multiplied those by three to arrive at the poverty thresholds. 29 Over the years, the Federal Poverty Guidelines have been updated annually based solely on the Consumer Price Index. The Guidelines do not take into account the cost of housing, child care, health care, transportation or other necessary expenses. Tied to the assumption that one-third of household income will be spent on food and updated based solely on the Consumer Price Index, the Guidelines do not take into account relative changes in household budgets over the last 50 years. The Guidelines also don t account for specific family composition or geographic location; households are simply made up of a certain number of people anywhere within the continental United States. Despite their limitations, the Federal Poverty Guidelines, or percentage multiples of them, are used as eligibility criteria for a wide range of federal programs. To be eligible for the Department of Agriculture s Women, Infants and Children Program (WIC), which provides food, nutrition education and health screening to pregnant women and children, household income must be below 185 percent of the Federal Poverty Guidelines. 30 To be eligible for the Supplemental Nutritional Assistance Persons in Family / Household 2014 Federal Poverty Guidelines 150 Percent of Guidelines 1 $11,670 $17,505 2 $15,730 $23,595 3 $19,790 $29,685 4 $23,850 $35,775 5 $27,910 $41,865 6 $31,970 $47,955 Gideon at 50: A Three-Part Examination of Indigent Defense in America
15 Program (SNAP), formerly the Food Stamp Program, household income must be below 130 percent of the Federal Poverty Guidelines. 31 The Department of Agriculture s National School Lunch Program provides free lunches to children from families with incomes at or below 130 percent of the Federal Poverty Guidelines; children from families with household incomes between 130 percent and 185 percent of the federal poverty guidelines are also eligible for reduced-price meals and cannot be charged more than 40 cents. 32 To be eligible for the Department of Health and Human Services Low Income Home Energy Assistance Program (LIHEAP), which provides assistance in managing costs associated with energy bills and weatherization, household income must be below 150 percent of the Federal Poverty Guidelines. 33 The Department of Health and Human Services Children s Health Insurance Program (CHIPS) serves uninsured children up to age 19 in families with incomes too high to qualify them for Medicaid. While states have broad discretion in setting income eligibility for CHIPS, 46 states and the District of Columbia cover children in families with income up to or above 200 percent of the Federal Poverty Guidelines and 24 of these states offer coverage to children in families with income at 250 percent of the Federal Poverty Guidelines or higher. 34 Georgia defines an indigent person as a person charged with a misdemeanor who earns less than 100 percent of the Federal Poverty Guidelines. In Maine, defendants are eligible for assigned counsel if their income is below 110 percent of the Federal Poverty Guidelines. In Missouri, a defendant may be considered indigent if his or her gross pay and other sources of income do not exceed the Federal Poverty Guidelines. In Virginia, counsel is appointed if a defendant s available funds are equal to or below 125 percent of the Federal Poverty Guidelines. The result is that in Georgia, Maine, Missouri and Virginia, defendants earning less than $15,000 a A defendant making just above 125 percent of the Federal Poverty Guidelines receives federal assistance to pay for food, heat and medical care for his children but is somehow not regarded by some states as too poor to hire a lawyer. 13 Many states have chosen to define eligibility for assigned counsel in criminal proceedings based on a multiple of the Federal Poverty Guidelines. Viewed in isolation, that decision might appear reasonable. However, when compared to eligibility guidelines for federal assistance programs like WIC, SNAP, School Lunches, LIHEAP and CHIPS, their use to determine eligibility for assigned counsel is patently unreasonable. This is particularly true in light of the unrealistically low multiples utilized by many states. year may be ineligible to receive state-funded representation because they have an income slightly above 125 percent of the Federal Poverty Guidelines but are eligible for federal assistance through WIC, SNAP, the School Lunch Program, LIHEAPS and CHIPS. Part 2 Redefining Indigence: Financial Eligibility Guidelines for Assigned Counsel
16 lawyers typically demand a retainer from a client before they undertake representation. It is unreasonable to expect defendants who make slightly more than the Federal Poverty Guidelines over the course of a year to be able to pay a lump sum retainer in order to retain counsel A defendant should not be compelled to choose between posting bond and retaining counsel. A defendant making just above 125 percent of the Federal Poverty Guidelines receives federal assistance to pay for food, heat and medical care for his children but is somehow not regarded by some states as too poor to hire a lawyer. Another problem with comparing a defendant s yearly income with the Federal Poverty Guidelines is the underlying assumption that, at the time the defendant is arrested, he or she would have the difference between his or her yearly income and the Federal Poverty Guidelines available to hire counsel. Whatever discretionary income a defendant who is earning slightly more than the Federal Poverty Guidelines might have at some point during the year, it is significantly less than the amount he will have over the course of an entire year. 35 In addition, for practical reasons, criminal defense The Ability to Post Bond The ABA Standards for Providing Defense Services state that assigned counsel should not be denied because bond has been or can be posted. 37 A defendant should not be compelled to choose between posting bond and retaining counsel. The right to bail and the right to counsel are independent of one another, and the standard recognizes defendants should not be denied assigned counsel because they have spent their limited financial resources to obtain pretrial release. While just over one-third of the states have adopted standards which make it clear that the posting of bond is not a justification for denying a defendant assigned counsel, one-fifth of the states have standards that explicitly identify the posting of bond as a consideration when determining eligibility for assigned counsel. Florida considers whether a defendant made bail in excess of $5,000 or posted bond in any amount when making a determination regarding indigency. Missouri requires the trial court to consider all the circumstances of the case, which includes the ability to make bond. New State Potentially Eligible Presumed Ineligible Georgia 100% to 150% Above 150% Maine Below 100% Above 110% Missouri Below 100% Above 100% Virginia Below 125% Above 125% Gideon at 50: A Three-Part Examination of Indigent Defense in America
17 Jersey considers the ability of the defendant to make bail and the source of the bail posted, and West Virginia considers whether a defendant has posted a cash bond for bail or has obtained release on bond and the amount and source of the money provided for such bond. Using the fact that a defendant has made bail to deny him appointed counsel has the potential to force the defendant to choose between his liberty and his right to an attorney. Public Benefits as Income While some states find defendants who are already receiving certain needs-based federal benefits automatically eligible for assigned counsel, other states actually consider these benefits as income when making eligibility determinations. Courts in Arizona, Arkansas, Delaware, Louisiana, Nebraska, South Dakota and Utah have held that forms of public assistance should be considered income when determining financial eligibility. Other states like Florida, Maine, Massachusetts, Missouri, New Hampshire, New Jersey, Ohio, Oregon, Virginia and Washington have statutory definitions of indigency that categorize needs-based benefits as income The result is that a defendant can be receiving federally funded public assistance and be ineligible for assigned counsel. Even worse, those federal benefits, which are designed to meet basic needs, are viewed as income which can be used to retain counsel. This level of income is insufficient to retain private counsel but even if it were, it is unlikely that a defendant would choose to spend her limited financial resources on counsel rather than the necessities of life such as food and shelter. The categorization of public benefits as income artificially inflates the amount of money a defendant has to retain counsel. The Marginally Indigent The clearest evidence that states have unjustly restrictive eligibility guidelines for assigned counsel is the designation of marginally indigent defendants or defendants who are indigent but able to contribute. States have created a category of defendants who they don t regard as indigent and therefore entitled to assigned counsel, but who they acknowledge are still too poor to hire a lawyer. These defendants are required to sell off their meager assets to help offset the cost of assigned counsel. Florida defines a partially indigent defendant as a person unable to pay more than a portion of the fee charged by an attorney, including costs of investigation, without substantial hardship to the person or the person s family. Ohio defines marginally indigent defendants as those with a total monthly gross income that is less than percent of the current federally established poverty levels, pursuant to the Federal Poverty Guidelines. In Kansas, a defendant is partially indigent if the defendant s combined household income and liquid assets are greater than the defendant s reasonable and necessary living expenses but less than the sum of the defendant s reasonable and necessary living expenses plus the anticipated cost of private legal representation. Maine does a similar calcu- The result is that a defendant can be receiving federally funded public assistance and be ineligible for assigned counsel. 15 Part 2 Redefining Indigence: Financial Eligibility Guidelines for Assigned Counsel
18 16 lation and then requires a defendant to make periodic payments based on the amount by which income exceeds necessary expenses to reimburse the state for the cost of assigned counsel. Massachusetts categorizes defendants who have an income greater than 125 percent but less than 250 percent of the Federal Poverty Guidelines as indigent but able to contribute. Trial courts in Minnesota determine whether or not a defendant is able to make partial payment, while courts in Missouri can require a limited cash contribution. Courts in North Carolina have found that partially indigent defendants should contribute whatever they can to the cost of their representation. The result is that many defendants who are marginally indigent are required to become indigent before counsel will be appointed. States refuse to acknowledge that these defendants are too poor to hire a lawyer and instead have created a new category of criminal defendants: indigent but able to contribute. These defendants are required to sell off whatever assets they own and to empty their savings accounts to offset the cost of assigned counsel. The end result is that the states make sure that those defendants who are marginally indigent at the time they are arrested will be completely destitute by the time the case ends, States make sure that those defendants who are marginally indigent at the time they are arrested will be completely destitute by the time the case ends, even if it ends in a dismissal. even if it ends in a dismissal. It makes little financial sense for the state to require a marginally indigent defendant to exhaust his financial resources when the end result will be that the state will have to provide some form of public assistance to that same defendant. Application Fees, Contributions And Reimbursement Almost a decade after Gideon, the Supreme Court found a law that required a defendant to reimburse the state for the costs of representation to be unconstitutional. In James v. Strange, 38 a Kansas statute that required a defendant to pay the costs of representation within 60 days of receiving notice of the amount owed, or else the amount would become a civil judgment, was held to violate due process because a defendant was barred from asserting the ordinary civil protections afforded other debtors. While the Court recognized a state s asserted interests in recovering the costs associated with providing a defense, the Court stated that such laws need not blight in such discriminatory fashion the hopes of indigents for self-sufficiency and self-respect. 39 The Court went on to find that the statute at issue embodies elements of punitiveness and discrimination which violate the rights of citizens to equal treatment under the law. 40 Two years later, the Court validated a statute that required a defendant to reimburse the state for the cost of representation in Fuller v. Oregon. 41 Unlike the statute at issue in James, the statute in Fuller afforded the defendant all the protections of civil judgment debtors. In upholding the statute, the Court observed that the dividing line between those able to afford representation and those deemed to be indigent created a system where a defendant who was barely able to afford counsel would be at a disadvantage. Gideon at 50: A Three-Part Examination of Indigent Defense in America
19 We live in a society where the distribution of legal assistance, like the distribution of all goods and services, is generally regulated by the dynamics of private enterprise. A defendant in a criminal case who is just above the poverty line separating the indigent from the nonindigent must borrow money, sell off his meager assets, or call upon his family or friends in order to hire a lawyer. 42 The working poor are expected to borrow money and sell off their meager assets when they need legal representation. The result is a disproportionate financial burden on those defendants who have limited financial resources. Those classified as indigent receive state-funded representation, the wealthy are able to use disposable income to retain counsel, but the working poor are expected to borrow money and sell off their meager assets when they need legal representation. While the Supreme Court has said that indigent defendants may be required to make contributions toward the costs of representation, the ABA Standards for Providing Defense Services limit the obligation to reimburse the state for the costs of providing counsel to instances of fraud in obtaining the determination of eligibility and require that there be procedural safeguards in 17 State Statute Assigned Counsel Fees Arizona AZ ST $25 Administration Assessment Fee (maximum) California CA Penal 987.5(a) $50 Registration Fee (maximum) Colorado CO ST $25 Processing Fee Delaware DE ST TI $100 Administrative Fee Florida FL ST 27.52(b) $50 Application Fee Georgia GA ST 15-21A-6(c) $50 Application Fee Indiana IN ST $100 Fee for Felony / $50 for Misdemeanor Kansas KS ST $100 Application Fee Massachusetts MA ST 211D 2A(f) $150 Counsel Fee (or 15 hours of community service) Minnesota MN ST (c) $75 Co-Payment New Mexico NM ST (c) $10 Application Fee North Carolina NC ST 7A $60 Appointment Fee (if defendant convicted) Ohio OH ST $25 Application Fee Oklahoma OK ST T A $40 Application Fee South Carolina SC ST (B) $40 Application Fee Tennessee TN ST $50 Administrative Fee Part 2 Redefining Indigence: Financial Eligibility Guidelines for Assigned Counsel
20 18 Virtually every state has some requirement that indignant defendants either make a contribution or reimburse the state for the costs of representation and one-third have application fees for assigned counsel place before a defendant can be asked to contribute to the costs of representation. 43 Virtually every state has some requirement that indigent defendants either make a contribution or reimburse the state for the costs of representation and one-third have application fees for assigned counsel, although these fees can be waived. The requirement to make a contribution or to reimburse the state typically applies even if a defendant is not convicted, and there are seldom procedural safeguards to ensure that only defendants who are financially able to do so are required to make payments. Even if states are permitted to require reimbursement from a defendant for the costs of representation, requiring a marginally indigent defendant to do so may not be in the state s longterm financial interest. It makes little sense to require reimbursement from a defendant for the cost of legal services if that added financial burden will make the defendant dependent upon other forms of state aid for the necessities of life. In addition, states like Missouri and Wisconsin require that defendants be informed of their repayment obligations at the time they apply for assigned counsel. 44 While this procedure is consistent with current ABA standards, it may discourage marginally indigent defendants from exercising their right to counsel. Conclusion The 50-State Survey on page 24 details the way indigency is defined in all 50 states and the District of Columbia. The table includes each state s definition of indigency, how it uses the Federal Poverty Guidelines, and whether it takes into consideration the ability to make bail and the receipt of public benefits when making an indigency determination. It also lists the criteria used by states when determining if defendants must contribute to the costs of their defense or reimburse the state for the entire costs of their defense. As the Supreme Court observed in Gideon: Governments, both state and federal, quite properly spend vast sums of money to establish machinery to try defendants accused of crime. 45 While states continue to spend vast sums of money on prosecuting and incarcerating defendants, they have been reluctant to spend the money necessary to ensure that those too poor to hire a lawyer have access to counsel. In an effort to reduce the costs associated with providing counsel to those too poor to hire a lawyer, states have enacted statutes that dictate financial eligibility criteria for assigned counsel. They have increasingly incorporated the Federal Poverty Guidelines into their calculations regarding eligibility and have created new categories of defendants who are marginally indigent or indigent but able to contribute. They have imposed application fees and contribution schedules on defendants who apply for assigned counsel and require defendants to reimburse the state for the costs of their defense at the conclusion of their case. Gideon at 50: A Three-Part Examination of Indigent Defense in America
Gideon at 50: A Three-Part Examination of Indigent Defense in America Part I Rationing Justice: The Underfunding of Assigned Counsel Systems SIXTH AMENDMENT: IN ALL CRIMINAL PROSECUTIONS, THE ACCUSED SHALL