State v. AlbertState v. Albert
OPINION
In
Gideon v. Wainwright,
Alaska’s system is set forth in
Under Criminal Rule 39, when an indigent person who has been represented by court-
If a recoupment judgment is entered, it has the same force and effect as a judgment in a civil action,
A defendant does not have the right to be represented by court-appointed counsel in connection with proceedings related to the notice of intent to enter the recoupment judgment, or to the collection of the judgment.
Alaska residents are entitled to an annual permanent fund dividend.
4
Appellate Rule 209 is similar to Criminal
I. PROCEEDINGS BELOW
On May 3, 1993, in
State v. George,
No. 4FA-S93-230 Cr. (Alaska Dist.Ct., May 3, 1993), a ease in which court-appointed counsel was defending an indigent, Judge Charles Pengilly of the District Court for the Fourth Judicial District,
sua sponte
declared Criminal
On June 1, 1993, in
State v. Albert,
No. 4FA-S89-3009 Cr. (Alaska Super., June 1, 1993), another case in which an indigent was defended by court-appointed counsel, Superi- or Court Judge Mary Greene declared Criminal
II. RIGHT TO COUNSEL
The Sixth Amendment to the United States Constitution provides: “In all criminal prosecutions, the accused shall enjoy the right ... to have the assistance of counsel for his defense.” This right applies to the states, requiring them to provide counsel for indigent defendants in criminal cases.
Gideon v. Wainwright,
Judge Pengilly ruled that Criminal
At issue in
James
was the constitutionality of a Kansas recoupment statue under which civil judgments were entered against defendants for the amount expended in their defense. The recoupment judgment debtors were not accorded any of the exemptions provided other judgment debtors, except for a homestead exemption. At the outset the
James
court noted that the Kansas system was one of many state recoupment systems and that such systems differed significantly in their particular characteristics. In view of these differences, the Court observed that “any broadside pronouncement on their general validity would be inappropriate.”
Id.
at 133,
We recognize, of course, that the State’s claim to reimbursement may take precedence, under appropriate circumstances, over the claims of private creditors and that enforcement procedures with respect to judgments need not be identical. This does not mean, however, that a State may impose unduly harsh or discriminatory terms merely because the obligation is to the public treasury rather than to a private creditor.
Id.
at 138,
We thus recognize that state recoupment statutes may betoken legitimate state interests. But these interests are not thwarted by requiring more even treatment of indigent criminal defendants with other classes of debtors to whom the statute itself repeatedly makes reference. State recoupment laws, notwithstanding the state interests they may serve, need not blight in such discriminatory fashion the hopes of indigents for self-sufficiency and self-respect. The statute before us embodies elements of punitiveness and discrimination which violate the rights of citizens to equal treatment under the law.
Id.
at 141-42,
Two years after its decision in
James,
the United States Supreme Court revisited the subject of state recoupment laws in
Fuller,
In concluding that the Oregon statute was constitutional, the Court decided the question which it reserved in
James:
whether imposing an obligation to repay impermissibly deterred the exercise of the right to counsel. The Court answered this question in the negative, disapproving of the deterrence rationale enunciated by the Supreme Court of California in
In re Allen,
[Fuller] asserts that a defendant’s knowledge that he may remain under an obligation to repay the expenses incurred in providing him legal representation might impel him to decline the services of an appointed attorney and thus “chill” his constitutional right to counsel.
This view was articulated by the Supreme Court of California, in a case invalidating California’s recoupment legislation, in the following terms:
“[W]e believe that as knowledge of [the recoupment] practice has grown and continues to grow many indigent defendants will come to realize that the judge’s offer to supply counsel is not the gratuitous offer of assistance that it might appear to be; that, in the event the case results in a grant of probation, one of the conditions might well be the reimbursement of the county for the expense involved. This knowledge is quite likely to deter or discourage many defendants from accepting the offer of counsel despite the gravity of the need for such representation as emphasized by the [Supreme] [C]ourt in Gideon. ...”
We have concluded that this reasoning is wide of the constitutional mark.
Id.
at 51-52,
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 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. We cannot say that the Constitution requires that those only slightly poorer must remain forever immune from any obligation to shoulder the expenses of their legal defenses, even when they are able to pay without hardship.
Id.
at 53-54,
The dissent of Justice Marshall, joined in by Justice Brennan, in
Fuller,
tends to highlight what was decided in that case. Justice Marshall pointed out that in Oregon ordinary civil judgment debtors may not be imprisoned for failing to pay their debts, whereas a recoupment judgment debtor was subject to imprisonment. This difference in treatment rendered Oregon’s recoupment statute unconstitutional in Justice Marshall’s opinion.
Id.
at 61,
In any event, in my view such a claim could more appropriately be considered by this Court in the context of an actual case involving a defendant who, unlike petitioner, had refused appointed counsel and contended that his refusal was not a knowing and voluntary waiver of his Sixth Amendment rights because it was based upon his fear of bearing the burden of a debt for appointed counsel or upon his failure to understand the limitations the State imposes on such a debt.
Id.
Any effort to summarize the principles of law established by
James
and
Fuller
is best accompanied by the admonition made by the Court itself in
James
that given the wide variety of recoupment statutes, “any
Although we conclude that
James
and
Fuller
do not require a prior determination of ability to pay in a recoupment system which treats recoupment judgment debtors like other civil judgment debtors, a number of cases decided by lower federal courts and state courts contain broad language from which such a requirement might be inferred. Judge Pengilly cited one such case,
Simmons v. James,
Additional cases cited by appellees which contain general language that recoupment judgments must be preceded by a determination of the defendant’s ability to pay are also distinguishable on the same basis as
Simmons.
For example, in
Fitch v. Belshaw,
People v. Amor,
Moreover,
Amor
suggests that a prior determination of ability to pay is not required where a recoupment judgment is only civil in character and not part of the “sentencing process.”
Id.
In In re Ricky II., [2 Cal.3d 513 ,86 Cal.Rptr. 76 ]468 P.2d 204 , we distinguished the matter there involved from Allen, saying ...: “The considerations which impelled us to strike down the probation condition in Allen do not require us to invalidate section 903.1. Unlike the petitioner in Allen, petitioner herein [a minor] was advised in advance that his father could be charged with the cost of appointed counsel, and petitioner does not claim that the fee involved was unreasonable or excessive. Moreover, in the instant case no unfair or unnecessary threat was made to withhold probation or other privileges unless counsel fees were reimbursed.” The same factors are here applicable.
Additionally, determination of the conditions of probation constitutes part of the sentencing process. In Allen, therefore, the order directing the petitioner to reimburse the county for the cost of counsel fees was made as part of the sentencing process. As pointed out by this court in Allen, “[T]he introduction of budgeting considerations could well divert or dilute the attention which the judge must give to the specific considerations which the law requires him to have in mind in the sentencing process.” The determination in the present case, however, was made only after conclusion of the criminal proceedings. Hence, any consideration to “budgeting” would not have occurred until the sentencing process had been completed.
Id.
Neither Judge Pengilly nor appellees have referred us to any cases in which a recoupment system which results merely in a civil judgment subject to the normal exemptions applicable generally to civil judgments has been held unconstitutional, based either on the system’s failure to require an advance determination of ability to pay or on any other ground. We are aware of two cases in which such systems have been approved.
In
Wicks v. City of Charlottesville,
It is entirely proper, and a constitutional requisite, that an indigent defendant be represented by court-appointed counsel. However, we can perceive no valid reason why, if the defendant is convicted, the cost of such representation should not be taxed as a part of the cost of the prosecution, treated as any other debt and collected of the convicted defendant at a later date if and when he becomes able to pay. The Code of Virginia abounds with statutes providing debtors, judgment and otherwise, with exemptions from execution, attachment, garnishment and distress. These statutes afford equal treatment and are adequate to protect any debtor from hardship, and from oppression or overreaching by a creditor. They are not discriminatory and do not penalize any judgment debtor of the Commonwealth.
Id.
Alexander v. Johnson,
North Carolina’s program for civil re-coupment of fees, though not directly attacked here, possesses the essential characteristics of the Oregon system upheld in Fuller v. Oregon. The legal obligation to repay the state for the costs of court-appointed counsel does not arise until after the defendant has been found guilty of the charged offense. To enforce this obligation, the amount the defendant owes must be determined in an independent proceeding, reduced to judgment, and collected through the same procedures used by other judgment creditors. Finally, the defendant is allowed to shelter a substantial portion of his assets from attachment if the state executes on its judgment, and to protect his wages from garnishment to the extent they are necessary for his and his family’s support. The combined effect of these various civil collection protections is that the defendant will never be forced to repay the state for court-appointed counsel as long as he remains impoverished.
Id. at 125, n. 10 (citations omitted).
Thus, there are authorities which have approved systems like Alaska’s, which provide nondiscriminatory recoupment judgments without a prior determination of the ability of the defendants to pay. In addition, there are a number of authorities which have held that no prior determination of a defendant’s ability to pay is required in systems where jail is a possible consequence of nonpayment, so long as there is an opportunity to establish inability to pay before the jail sanction is imposed. In such systems recoupment judgments may be paid by defendants motivated by the coercive force of the jail sanction, or they may be collected involuntarily by other means. Thus, these cases necessarily reflect the view that a determination of ability to pay prior to entry of a recoupment judgment is not constitutionally required.
One such case is
State v. Kottenbroch,
The third argument made by Kotten-broch is that the North Dakota recoupment statute is constitutionally infirm because it does not have the safeguards of the Oregon statute which survived constitutional challenge in Fuller. It is true that the statute in question does not provide the many safeguards found in the Oregon statute. However, our reading of Fuller and James brings us to the conclusion that a statute need not provide all the safeguards of the Oregon statute. Instead, it only needs to be fashioned so that it does not invidiously discriminate between an indigent defendant who becomes a judgment debtor by virtue of his retention of a court-appointed attorney and a non-indigent defendant or other judgment debtor. Our recoupment statute, as previously construed herein, allows an indigent defendant the same exemptions any other person is entitled to. Further, as previously indicated herein, no probation can be revoked simply because the probationer is unable to pay the costs of his court-appointed counsel. We therefore conclude that North Dakota’s recoupment statute does not invidiously discriminate between an indigent defendant and a non-indigent defendant or other judgment debtor.
Id.
Similarly, in
State v. Crawford,
Based on James and Fuller and the authorities reviewed above, we are persuaded that Alaska’s recoupment system does not violate the right to counsel guaranteed by the Sixth Amendment to the United States Constitution. Recoupment judgments are nondiscriminatory and there are no correctional consequences if payment is not made. The same protections against hardship available to civil debtors provided in the exemption act are available to recoupment debtors. Moreover, recoupment debtors have the additional right to petition the court for reduction or remission of a judgment based on a showing of manifest hardship to the debtor or members of the debtor’s immediate family. Finally, the debtor is notified at the outset of the criminal proceedings of the possibility of a recoupment judgment and given an opportunity to challenge entry of the judgment before it is entered.
We reach the same conclusion with respect to the right to counsel expressed in article I, section 11 of the Alaska Constitution for the same reasons. Appellees argue that the system “chills” indigents’ exercise of this right. While
Fuller
rejects this argument for Sixth Amendment purposes,
see
The argument that recoupment systems are unconstitutional because they unduly deter indigents from using counsel is, in its most basic form, an argument that recoupment systems are per se unconstitutional. Theoretically, pricing any service will deter at least some potential consumers from using that service. Since all recoupment systems require that at least some indigents pay for legal services, all carry the risk that some will be deterred from accepting counsel.
Nonindigents who must pay for counsel may choose to forego counsel because they believe that the benefits of counsel’s service are outweighed by its costs. The fact that our market system forces nonindigents to
There is no more reason to suppose that an indigent defendant will refuse counsel because he may later be ordered to pay his counsel fees, to the extent it is determined he has the financial ability to do so at the conclusion of the criminal proceedings, than there is to suppose that some defendants who are not indigent will refuse counsel because of an unwillingness to incur a counsel fee. It is quite possible that a defendant who would not qualify as an indigent may have such limited resources, or restrict himself to such an extent with respect to the expenditure of his funds, that the factor of liability for counsel fees might prompt him, in a case where counsel is not required, to enter a guilty plea in order to save counsel fees; but if he elects to enter a guilty plea for that reason, such election, based largely on economic factors, could nevertheless not be said to result in his being deprived of the right to counsel. The option to be represented by counsel would have been his, with the right to give such priority as he wished to the economic or other factors involved.
Appellees argue, however, that under Criminal
A middle class defendant may have to choose between $1000 for a trip to Hawaii and $1000 to have a lawyer handle a DWI case. By contrast, an indigent defendant has to choose between life’s necessities and a lawyer. This is a fundamentally different situation. What is a legitimate and noncoercive choice to require a middle class person to make may be unfairly coercive when imposed on an indigent.
We agree that a recoupment system which resulted in indigents refusing counsel at a significantly higher rate than nonindigents would be constitutionally suspect. This could indicate, to use appellees’ terms, that the system is imposing unfairly coercive choices on indigents. However, no evidence has been presented that this is occurring. 15
III. RIGHT TO TRIAL BY JURY
Judge Pengilly concluded that Criminal
We do not consider this question ripe for review. There is no indication in the record or by the parties that any of the appellees asked for and was denied a trial by jury.
IV. EQUAL PROTECTION
Judge Pengilly ruled that Criminal
A. Alaska Equal Protection Analysis
This court has adopted a sliding-scale approach to equal protection analysis under article I, section 1 of the Alaska Constitution.
State v. Erickson,
Appellees claim that the interest impaired by the classification created by
The bond requirement at issue in
Patrick
imposed an obstacle to initial entry to the court system.
On review at the low end of our sliding scale, the challenged provisions of Criminal
Although the purpose of requiring reimbursement by the procedures of
We hold that both the general purpose of
Finally, the means employed by
For these reasons, Criminal
B. Federal Equal Protection Analysis
The United States Supreme Court has examined equal protection challenges to recoupment statutes under the rational relationship test.
See Fuller,
As discussed above, the purpose of
V. CONCLUSION
Criminal
We decline to address the right to trial by jury under Criminal
Criminal
The decisions of the trial courts in the consolidated cases, finding Criminal
BRYNER, J. Pro Tern, dissents, joined by RABINOWITZ, J., as to parts I, II and III.
APPENDIX A
(c) Upon the person’s conviction, the court may enter a judgment that a person for whom counsel is appointed pay for services of representation and court costs. Enforcement of a judgment under this subsection may be stayed by the trial court or the appellate court during the pendency of an appeal of the person’s conviction. Upon a showing of financial hardship, the court (1) shall allow a person subject to a judgment entered under this subsection to make payments under a payment schedule; (2) shall allow a person subject to a judgment entered under this subsection to petition the court at any time for remission, reduction, or deferral of the unpaid portion of the judgment; and (3) may remit or reduce the balance owing on the judgment or change the method of payment if the payment would impose manifest hardship on the person or the person’s immediate family. Payments made under this subsection shall be paid into the state general fund.
(a) Informing Defendant of Right to Counsel. The court shall advise a defendant who appears without counsel for arraignment, change of plea, or trial of the right to be represented by counsel, and ask if defendant desires the aid of counsel. The court shall not allow a defendant to proceed without an attorney unless defendant understands the benefits of counsel and knowingly waives the right to counsel.
(b) Appointment of Counsel for Persons Financially Unable to Employ Counsel.
(1) If defendant desires the aid of counsel but claims a financial inability to employ counsel, the court or its designee shall determine whether defendant is an “indigent person,” as defined by statute, by placing defendant under oath and askingabout defendant’s financial status, or by requiring defendant to complete a signed sworn financial statement. The court shall order defendant to execute a general waiver authorizing release of income information to the court. The court may require defendant to attempt to arrange private representation before the court makes a final determination on indigency.
(2) Before the court appoints counsel for an indigent defendant at public expense, the court shall advise defendant that defendant will be ordered to repay the prosecuting authority for the cost of appointed counsel, in accordance with paragraph (d) of this rule, if the defendant is convicted of an offense. The court may enter such orders as appear reasonably necessary to prevent defendant from dissipating assets to avoid payment of this cost.
(3) If the court or its designee determines that defendant is an “indigent person,” the court shall appoint counsel pursuant to Administrative Rule 12 and notify counsel of the appointment.
(4) In the absence of a request by a defendant otherwise entitled to appointment of counsel, the court shall appoint counsel unless the court finds that defendant understands the benefits of counsel and knowingly waives the right to counsel.
(5) If the trial court denies defendant’s request for appointed counsel, defendant may request review of this decision by the presiding judge of the judicial district by filing a motion with the trial court within three days after the date of notice, as defined in Criminal Rule 32.3(e), of the denial. The trial court shall forward the motion, relevant materials from the court file, and a cassette tape of any relevant proceedings to the presiding judge. The presiding judge or his or her designee shall issue a decision within three days of receipt of these materials.
(c) Costs of Appointed Counsel.
(1) Entry of Judgment.
(A)Upon conviction of an offense, revocation of probation, denial of a motion to withdraw plea, and denial of a motion brought under Criminal Rule 35.1, the court shall prepare a notice of intent to enter judgment for the cost of appointed counsel in accordance with paragraph (d) of this rule, provide a copy of the notice to defendant, and order defendant to apply for permanent fund dividends every year in which the defendant qualifies for a dividend until the judgment is paid in full.
(B) Defendant may oppose entry of judgment by filing a written opposition within 10 days after the date of notice, as defined in Criminal Rule 32.3(c), of the court’s intent to enter judgment. The opposition shall specifically set out the grounds for opposing entry of judgment. The prosecuting authority may oppose the amount of the judgment by filing a written opposition within the same deadline.
(C) If no opposition is filed within the time specified insection 39(c)(1)(B) , the clerk shall enter judgment against defendant for the amount shown in the notice. If a timely opposition is filed, the court may set the matter for a hearing and shall have authority to enter the judgment.
(D) The judgment must be in writing. A copy of the judgment shall be mailed to defendant’s address of record. The judgment shall bear interest at the rate specified inAS 09.30.070(a) from the date judgment is entered.
(2) Collection.
(A) The judgment has the same force and effect as a judgment in a civil action in favor of the prosecuting authority and is subject to execution.
(B) All proceedings to enforce the judgment shall be in accordance with the statutes and court rules applicable to civil judgments. The judgment is not enforceable by contempt. Payment of the judgment may not be made a condition of a defendant’s probation. Default or failure to pay the judgment may not affect or reduce the rendering of services on appeal or any other phase of defendant’s case in any way. A defendant does not have a right to be represented by appointed counsel in connection with proceedings under subpara-graph 39(c) or any proceedings to collect the judgment.
(C) Upon a showing of financial hardship, the court shall allow a defendant subject to a judgment under this rule to make payments under a repayment schedule. A defendant may petition the court at any time for remission, reduction or deferral of the unpaid portion of the judgment. The court may remit or reduce the balance owing on the judgment or change the method of payment if payment would impose manifest hardship on defendant or defendant’s immediate family.
(D) Notwithstandingsection 39(c) -(2)(B), a defendant may be held in contempt for failing to comply with an order under this rule to apply for a permanent fund dividend.
(3) Appeal.
(A) If defendant appeals the conviction, enforcement of the judgment may be stayed by the trial court or the appellate court upon such terms as the court deems proper.
(B) If defendant’s conviction is reversed, the clerk shall vacate the judgment and order the prosecuting authority to repay all sums paid in satisfaction of the judgment, plus interest at the rate specified inAS 09.30.070(a) .
(d) Schedule of Costs. The following schedules govern the assessment of costs of appointed counsel under paragraph 39(e). If a defendant is convicted of more than one offense in a single dispositive court proceeding, costs shall be based on the most serious offense of which the defendant is convicted. If a defendant is otherwise convicted of more than one offense, costs shall be separately assessed for each conviction. For good cause shown, the court may waive the schedule of costs and assess fees up to the actual cost of appointed counsel, including actual expenses.
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Trial $500.00
Change of plea 200.00
Post-conviction relief or contested probation revocation proceedings in the trial court 250.00
Felonies
Class A and Murder in the Unclassified 1st and 2nd Class B & C (Except Murder) Degrees
Trial $1,500.00 $2,500.00 $5,000.00
Change of plea after substantive motion work and hearing and before trial commences 1,000.00 1,500.00 2,500.00
Change of plea post-indictment but prior to substantive motion work and hearing 500.00 1,000.00 2,000.00
Change of plea prior to indictment 250.00 500.00 750.00
Post-conviction relief or probation revocation proceeding in trial court 250.00 500.00 750.00
(e) Review of Defendant’s Financial Condition.
(1) The court may review defendant’s financial status at any time after appoints ment of counsel to determine (A) whether defendant continues to be an “indigent person,” as defined by statute; or (B) whether defendant was an indigent person at the time counsel was appointed.
(2) If the court determines that defendant is no longer an indigent person, the court may
(A) terminate the appointment; or
(B) continue the appointment and, at the conclusion of the criminal proceedings against defendant in the trial court, enter judgment against defendant for the actual cost of appointed counsel, including actual expenses, from the date of the change in defendant’s financial status through the conclusion of the trial court proceedings.
(3) If the court determines that defendant was not an indigent person at the time counsel was appointed, the court may
(A) terminate the appointment and enter judgment against defendant for the actual costs of appointed counsel, including actual expenses, from the date of appointment through the date of termination; or
(B) continue the appointment and, at the conclusion of the criminal proceedings against defendant in the trial court, enter judgment against defendant for the actual cost of appointed counsel from the date of the appointment through the conclusion of the trial court proceedings.
(4) A defendant may request review of the court’s decision to terminate the appointment according to the procedure set out in subparagraph 39(b)(5).
(5) Judgment may be entered against a defendant under this paragraph regardless of whether the defendant is convicted of an offense.
(1)In criminal matters the trial court shall authorize appeals at public expense on behalf of defendants who are “indigent,” as defined by statute, in accordance with the rules and decisions of the appellate courts of Alaska and where such appeals are required to be provided by state courts by decisions of the Supreme Court of the United States. Where an appeal at public expense is authorized by the trial court, the costs which shall be borne at public expense include those of providing counsel and of preparing a transcript and briefs.
(2) After a trial court has authorized an appeal at public expense, the appellate clerk shall send defendant a written notice and order, to the address provided under Appellate Rule 204(b), that
(A) advises defendant that, if defendant’s conviction is not reversed, defendant will be ordered to repay the prosecuting authority for the cost of appointed appellate counsel, in accordance with the schedule of costs set out in subpara-graph 209(b)(7); and
(B) orders defendant to apply for permanent fund dividends every year in which the defendant qualifies for a dividend until this cost is paid in full.
(3) A defendant authorized to proceed at public expense in the trial court is presumed to be entitled to proceed at public expense on appeal.
(4) The action of the trial court in authorizing or declining to authorize an appeal at public expense is reviewable by a motion in the appellate court, ancillary to the appeal.
(5) Counsel appointed to represent a defendant in the trial court pursuant to CriminalRule 39 shall remain as appointed counsel throughout an appeal at public expense authorized under this paragraph and shall not be permitted to withdraw except upon the grounds authorized in Administrative Rule 12. An attorney appointed by the court under Administrative Rule 12(b)(1)(B) will be permitted to withdraw upon a showing that either the public defender agency or the office of public advocacy is able to represent defendant on appeal. If an appeal is to be taken, trial counsel will not be permitted to withdraw until the notice of appeal and the documents required to be filed with the appeal by Rule 204 have been accepted for filing by the clerk of the appellate courts.
(6) At the conclusion of the appellate proceeding, the appellate clerk shall enter judgment against defendant for the cost of representation on appeal unless defendant’s conviction was reversed by the appellate court. The amount of the judgment shall be determined by reference to the schedule in subparagraph 209(b)(7). Before entering judgment, the clerk shall mail, to the defendant’s address of record, a notice that sets out the amount of the proposed judgment. Defendant may oppose entry of the judgment by filing a ■written opposition within 45 days after the date shown in the clerk’s certificate of distribution on the notice. The opposition shall specifically set out the grounds for opposing entry of judgment. The prosecuting authority may oppose the amount of the judgment by filing a written opposition within the same deadline. Criminal Rule 39(c)(1)(D) and (c)(2) shall apply to judgments entered under this subparagraph.
(7) The following schedule governs the cost of representation on appeal:
Type of Appellate Proceeding Misdemeanor Felony
Sentence Appeal 250 500
Merit Appeal and Appeals from Post-Conviction Relief Proceedings 750 1,500
Combined Merit and Sentence Appeal 1,000 2,000
Other Appellate Actions (Petition for Review, Petition for Hearing, etc.) 500 1,000
BRYNER, Justice Pro Tempore, dissenting, joined by RABINOWITZ, Justice, as to parts I, II and III.
I. INTRODUCTION
I agree with the majority that it is appropriate for the state to recoup costs for services provided to indigent defendants by court-appointed counsel. I further agree that there is nothing impermissible in a re-coupment plan that burdens an indigent defendant with the same economic choice that a nonindigent defendant must make. Finally, I agree that it is legitimate for the court to establish procedures that ensure “administrative efficiency” in recouping costs of providing appointed counsel. And I believe, as does the majority, that the establishment of such procedures can be accomplished without offending Albert’s constitutional rights to counsel and equal protection. My major disagreement with the majority centers narrowly on the majority’s conclusion that
II. ABILITY TO REPAY
After reviewing
James v. Strange,
In ordinary civil matters, of course, it is entirely permissible to enter judgment against a debtor regardless of the debtor’s ability to pay. The majority repeatedly insists that a
The indigent defendant who is found guilty is uniquely disadvantaged.... A criminal conviction usually limits employment opportunities. This is especially true where a prison sentence has been served. It is in the interest of society and the State that such a defendant, upon satisfaction of thecriminal penalties imposed, be afforded a reasonable opportunity of employment, rehabilitation and return to useful citizenship.
James v. Strange,
The unique impact that a civil judgment can have on a convicted offender is plainly a “correctional consequence” in that it directly relates to the sentencing goal of rehabilitation. This sentencing goal finds express recognition in our state constitution. “Under Alaska’s Constitution, the principles of reformation and necessity of protecting the public constitute the touchstones of penal administration.”
State v. Chaney,
Multiple goals are encompassed within these broad constitutional standards. Within the ambit of this constitutional phraseology are found the objectives of rehabilitation of the offender into a noncriminal member of society, isolation of the offender from society to prevent criminal conduct during the period of confinement, deterrence of the offender himself after his release from confinement or other penological treatment, as well as deterrence of other members of the community who might possess tendencies toward criminal conduct similar to that of the offender, and community condemnation of the individual offender, or in other words, reaffirmation of societal norms for the purpose of maintaining respect for the norms themselves.
Chaney,
In some cases, entering a recoupment judgment against a defendant who is unable to repay will actively interfere with the sentencing goal of rehabilitation. This is essentially the point that we made in
Karr v. State,
If restitution is ordered in an amount that is clearly impossible for the offender to pay, the offender’s rehabilitation will be inhibited and not furthered. If the offender is haled into court for nonpayment of restitution ... or if the offender petitions the court ... to avoid this sanction, his reintegration into society will be disrupted. Also, an offender might simply give up and make no payments at all if the restitution ordered is clearly impossible to pay. This could result in the offender’s incarceration ... or in his fleeing the jurisdiction to avoid this sanction, neither of which would further the dual goals behind restitution.
Id. at 1197 (footnote omitted). 4
Although the dangers we adverted to in
Karr
were clearly magnified in the context of that case by the possibility of incarceration as a consequence of nonpayment, the absence of incarceration as a potential consequence in a recoupment situation merely reduces the extent of these dangers; it does not dispel them. In some circumstances, it will be predictable that the pendency of a judgment for a sum that would be impossible to pay might be disruptive of a defendant’s reintegration into society and might encourage the defendant to “simply give up.” When a court foresees this risk and deems rehabilitation to be a prominent sentencing goal in the case before it, the interests of the defendant and
Given the central role of reformation as a touchstone of penal administration under the Alaska Constitution, I would hold that our state constitution forbids a recoupment plan that provides courts no authority to engage in (and indigent defendants no right to request) prejudgment consideration of ability to repay.
III. RIGHT TO COUNSEL AND EQUAL PROTECTION
The Sixth Amendment to the United States Constitution expressly guarantees all persons accused of crime the right to be assisted by counsel.
Gideon v. Wainwright,
Whatever might be said of Congress’ objectives, they cannot be pursued by means that needlessly chill the exercise of basic constitutional rights. The question is not whether the chilling effect is “incidental” rather than intentional; the question is whether that effect is unnecessary and therefore excessive.
United States v. Jackson,
Jackson
unambiguously states the standard for resolving Albert’s right-to-counsel claim: whether the provisions of
Albert’s right to appointed counsel is protected at a second level by the Equal Protection Clause of the Fourteenth Amendment, which prohibits the irrational imposition of “harsh conditions on a class of debtors who were provided counsel as required by the Constitution^]”
James v. Strange,
We recognize, of course, that the State’s claim to reimbursement may take precedence, under appropriate circumstances, over the claims of private creditors and that enforcement procedures with respect to judgments need not be identical. This does not mean, however, that a State may impose unduly harsh or discriminatory terms merely because the obligation is to the public treasury rather than to a private creditor.
Id.
at 138,
The amount of the judgment is as automatic as its entry. Under
A convicted defendant who receives the notice and is capable of filing a written response within ten days of its issuance may object to it; but the rule does not specify any ground for objection, and, given the automatic nature of the judgment, the majority opinion seems to conclude there is essentially none.
9
Along with the notice of judgment, the trial court must send an order requiring the defendant, if eligible, to apply for permanent fund dividends “until the judgment is paid in full.”
Apart from this, the rule requires all defendants who cannot afford to retain counsel to be warned of the consequences of requesting court-appointed counsel — that, upon conviction, they
“will be ordered
to repay ... the cost of appointed counsel, in accordance with paragraph (d) of this rule [the fee schedule].”
A unique set of problems emerges from
James involved a Kansas statute that precluded convicted defendants against whom recoupment judgments were entered from claiming any of the exemptions commonly allowed civil judgment debtors. This denial of exemptions applied only to recoupment judgments for attorney’s fees. The Supreme Court found this provision harsh, discriminatory, and impermissible.
As the majority in the present case points out, Alaska’s recoupment rule, in contrast, expressly allows judgment debtors to claim all commonly allowed exemptions. However, the fact that
In no other area of Alaska law that I am aware of is a private or public debtor virtually stripped of the right to a trial — or even the right to a hearing — and subjected upon ten days’ notice to the automatic entry of a final civil judgment — all without even the courtesy of a request or demand for payment. This treatment is unique to indigent defendants who are subject to
Under
In an effort to justify this arrangement, the majority repeatedly observes that the fees set by the schedule are intended to be “significantly lower than those charged by private counsel[.]” This implicit assumption that benevolent undercharging occurs is the majority’s keystone to support
The majority’s comparison to private counsel fees, however, is misdirected, and its assumption of benevolence is unfounded. Indigent defendants who request appointed counsel do not receive private counsel of their own choice. Instead, they are given agency attorneys and contract defense lawyers who work at a fraction of the cost of private attorneys. A recoupment plan’s only legitimate purpose lies in reimbursing the state for actual costs incurred for legal services, “not their equivalent value if privately ob
When the rates charged by
The Alaska Public Defender Agency Fiscal Year 1992 Report appears to contain the most recent readily available reflection of costs of public representation. The report indicates that during fiscal year 1992 the average cost to the Agency of representing its clients amounted to only $453 per ease.
11
Of the eighteen fee categories listed in the
Admittedly, most of the defendants who receive public representation fall into one of the four least expensive fee categories. Thus, the average cost figure plainly does not suggest that
Because the average cost-per-case figure falls so close to the minimum charges that can be assessed under the schedule and so far below the fees that the schedule charges for so many of the services routinely provided to indigent defendants, the cost-per-case datum creates significant doubt, on a case-by-case basis, as to whether the fee schedule will overcharge a given defendant. Since the average cost per case is so low, predicting with any degree of confidence that most defendants who request appointed counsel will be undercharged, or that the fee schedule will accurately reflect services actually to be rendered in a given case, becomes impossible. 12
Hence, the cost-per-case information erodes the majority’s tacit premise that the schedule of predetermined fees is a benevolent provision which seldom if ever provides occasion for a reasonable objection. It is crucial to recall that this presumed benevolence is the sine qua non of the challenged rule, the essential rationale the majority relies on to support the multitude of procedural shortcuts that dot its recoupment plan.
Remove this keystone, and the rationality of the rule crumbles. Unless the majority opinion can clearly demonstrate that the fee schedule creates no appreciable risk of overcharging indigent defendants, how can it justify a system that automatically enters judgment in the scheduled amount without the right to trial; a system that grants minimal relief — partial remission or time-scheduled payments — only upon post-judgment proof of hardship.
The majority asserts that indigents who are forced to ask for counsel, unlike their nonindigent counterparts who retain counsel, simply have nothing to litigate. This assertion, however, is factually unsupported. Its validity has never been tested; nor can it ever be tested under the current version of
There are other uniquely onerous features of
Because the threat to strip indigent defendants of permanent fund dividends upon pain of contempt serves no necessary or even useful function, its only predictable effect will be to discourage legitimate requests for appointed counsel. When these provisions are made known to a prospective recipient of appointed counsel who must decide whether to request an attorney, they will almost inevitably be understood as a threat. This is particularly true, and particularly offensive, given that the threat is apt to come directly from a judge — the official specifically charged by the rule with informing defendants of their duty to repay under
Yet another discriminatory, potentially coercive, and entirely unnecessary aspect of
In contrast, the nonindigent defendant will normally have the ability to choose between retaining and waiving counsel after the defendant has already consulted with counsel about the potential benefits and detriments of these options, and frequently after having consulted about the potential merits of the case. Nothing in the rule, or in the schedule of fees included therein, extends to indigent defendants any right to the type of referral and initial consultation that are available as a matter of course through the Alaska Bar Association to nonindigent defendants.
Indigent and nonindigent defendants alike can properly be confronted with the economic choice of whether legal representation is worthwhile. As a practical matter, however, nonindigents can make this choice after consulting counsel and reflecting on their options.
A final unique and uniquely troubling aspect of
This unique aspect of the rule is troubling because of the appearance it creates. For it inevitably tends to foster the appearance of conflict; it thereby compromises the court’s ability to hold itself out as neutral arbiter of justice. In
Public Defender Agency v. Superior Court,
A well established principle of law is that the court may not combine prosecuto-rial and judicial functions. Although this precept most often arises in the criminal context, it is equally applicable in the civil area where the conflict of interest and the combination of functions is as readily apparent. For this reason, it would be unwise if not unconstitutional, as a violation of the doctrine of separation of powers, to charge the court trustee with the duty to prosecute contempt actions.
Id. at 951-52 (citations and footnote omitted).
Here, too, there is a “readily apparent” conflict in the court system taking charge of the prosecution and adjudication of debts for appointed counsel. When viewed through the eyes of an indigent defendant at an arraignment, this conflict may appear to infect, not only the court’s neutrality with respect to adjudication of recoupment issues, but also its neutrality with respect to the criminal charges that provide occasion for attorney’s fees to arise.
This feature of
Many indigent defendants who arrive in court for their first appearance are already suspicious of the court system’s ability to dispense justice. These suspicions can only be confirmed when the defendants learn, not only that they will be required to repay the state for court-appointed counsel, but that the court itself will prosecute the ease against them if they fail. The confirmation, in turn, may quickly lead to a waiver of counsel that is born of frustration and hopelessness.
I must emphasize that, for purposes of determining whether
Imagine a criminal justice system that allowed a defendant who could afford to hire an attorney the right to consult with and retain counsel only if the defendant made an express request for counsel in open court after being told, by the judge personally, that counsel could be retained only in accordance with a predetermined schedule which arbitrarily pegged fees to the number and kind of proceedings the defendant engaged in; that upon convicting the defendant the court would automatically enter a civil judgment for the scheduled amount of fees and would automatically order the defendant, upon pain of contempt, to apply for permanent fund dividend payments until the judgment was satisfied in full; and that, although the defendant could file an objection within ten days of notice of entry of judgment and the court would have discretion to hold a hearing upon receipt of the objection, there would be no right to a trial or a hearing as to the judgment’s entry.
To be sure, this imaginary system would not long survive if an attempt were made to foist it on paying defendants. And the reason it would not survive is precisely that the paying defendant in our imaginary system would obviously face a choice that is patently “different in kind from the economic choice” that the same paying defendant faces in deciding whether to retain counsel under our current system. Yet the choice presented to the nonindigent defendant in our hypothetical situation is essentially the same choice that
Most indigent defendants haled into court on criminal charges will have enough economic savvy to understand that
The majority’s effort to skirt the discriminatory nature and chilling effect of these provisions verges on the paradoxical. The majority holds that the question of chilling is not ripe, since Albert has not proved a chilling effect.
18
At issue, however, is
Likewise, in
City of Anchorage v. Scavenius,
For constitutional purposes, the relevant inquiry is how many potential recipients of appointed counsel have not been immune to the chilling treatment they received in the courtroom; how many have declined to make an in-court request for appointed counsel due to the uniquely intimidating nature of
TV. NONCONSTITUTIONAL DISPOSITION
The majority’s treatment of Albert’s constitutional claims is incomplete and based on flawed assumptions; the correct resolution of Albert’s claims is far less certain than the majority opinion asserts. Even if
The majority’s constitutional analysis breaks new legal ground and is, at best, shaky. At worst, it is both wrong and wrongful. Yet the constitutional issues debated by the parties in this ease revolve exclusively around a rule that the court itself has drafted and is free to alter — a rule that can readily be amended, at no cost to its efficacy, to avoid the serious and substantial concerns Albert voices. Given that the amendment of
Particularly incongruous is the majority’s endorsement of the rule, as is, by a narrowly exegetic application of low-level equal protection scrutiny. The minimal scrutiny that courts traditionally give to legislative enactments is born of the separation of powers doctrine. It reflects that the judicial branch cannot usurp the powers exercised by coequal branches of government and that great deference must therefore be given in reviewing the legitimacy of laws subjecting differing groups to disparate treatment.
Transposed to the present context, in which the court reviews a rule of its own creation, the traditional rationale for minimal scrutiny in an equal protection case makes little sense at all: the court owes no deference to its own rule-making decisions and is free to alter its rules if it believes they ought to be changed. The question at the heart of this case is not whether the court must, through a process of deferential review, uphold an enactment of the legislative branch. Rather, because the challenged provision is the court’s own rule, the fundamental question is one of policy: namely, is it desirable to perpetuate
That
V. CONCLUSION
I would hold that the Alaska Constitution requires that courts be given discretion to consider an indigent defendant’s ability to repay as a factor in determining whether to enter a recoupment judgment. Beyond that, I would revise
“It is a well established principle governing the prudent exercise of this Court’s jurisdiction that normally the Court will not decide a constitutional question if there is some other ground upon which to dispose of the case.”
Escambia County v. McMillan,
Faced with the choice between amending a marginally defensible rule to avoid potential constitutional difficulties and upholding it by a chancy application of constitutional doctrine, I would opt for the “prudent exercise” of avoiding the constitutional issues and amending the rule.
Escambia County v. McMillan,
Accordingly, I dissent.
Notes
. Robert L. Spangenberg, et al., Containing the Costs of Indigent Defense Programs: Eligibility, Screening and Cost Recovery Programs 33 & Appendix A (1986).
.Although the rule is silent as to the circumstances under which a hearing must be held when opposition is filed, our cases generally indicate the necessity for an evidentiary hearing in any case in which there are factual disputes on material issues.
See, e.g., Douglas v. State, Dep’t of Revenue,
. These judgments, like other civil judgments entered by Alaska lower courts, are appealable as a matter of right.
. Convicted felons are not entitled to the dividend during any year in which they are incarcerated as a result of their conviction.
.
.
.
.
.
.
. For convenience we follow the parties’ practice of using "Criminal
.
In re Allen
was relied on by Judge Pengilly. Its rationale was rejected by the United States Supreme Court in
Fuller.
. The Amor court stated:
Allen, however, is distinguishable from the present case. In Allen, there is justification for concluding that the petitioner would have been penalized for exercising a constitutional right, because not only would she have been liable for payment of the entire fee paid to counsel for representing her, without a finding that she had the financial ability to make payment and with no warning that she might be held so liable, but she could have been imprisoned if she failed to pay the fee, payment thereof being one of the conditions of her probation.
. The right to counsel under the Alaska Constitution is more expansive in some of its applications than the corresponding right under the Sixth Amendment to the United States Constitution.
Resek v. State,
. Court rules, like statutes and regulations, are presumptively constitutional and the burden of proving unconstitutionality is on the party challenging them.
Anchorage v. Anchorage Police Dep't Employees Ass'n,
. Appellees also argue that heightened scrutiny is required because
. The State characterizes the interest involved as a money judgment and relies on this court's holding in
State v. Anthony,
. Appellees apparently agree that this is the purpose for the limited procedures of
. This appeal arises in the procedural context of Criminal
. I am not as confident as is the majority that the federal constitution permits a recoupment plan that precludes any prejudgment consideration of ability to repay as a relevant factor in determining whether and in what amount judgment should be entered. Given my conclusion that such consideration is required under the Alaska Constitution, I do not address the point.
.Shagloak v. State,
. In this regard, there is a certain irony in the majority’s reliance on cases holding that repayment may be imposed as a condition of probation regardless of ability to repay, as long as probation cannot be revoked when failure to repay results from financial inability.
See, e.g., State v. Kottenbroch,
. In many — perhaps most — cases, the entry of a judgment for costs of appointed counsel against a convicted defendant will have little or no tendency to interfere with rehabilitation, regardless of the defendant's ability to pay. Indeed, even as to a defendant who has no foreseeable ability to repay, a judgment requiring payment of fees for appointed counsel might in some cases have a salutary effect by inculcating in the defendant a sense of responsibility. This is particularly likely to be true under a recoupment rule like
. In practice, any attempt to distinguish between
James'
equal protection analysis and Jackson's unnecessary chilling effect test may involve more form than substance. Given the fundamental nature of the right to counsel and the liberty interest implicated by the needless discouragement of the exercise of the right to counsel, a constitutional challenge to a recoupment plan essentially calls into question the basic fairness of the challenged provision. In this situation, regardless of whether the challenge asserts a violation of equal protection or a direct violation of the right to counsel, "the issue cannot be resolved by resort to easy slogans or pigeonhole analysis, but rather requires a careful inquiry into such factors as 'the nature of the individual
. The majority sidesteps Albert's claim that
.
.Upon a showing of financial hardship, a defendant may secure permission to make periodic payments or may obtain remission, reduction or deferral.
.Comparing an indigent defendant’s overall situation with respect to representation to that of a nonindigent defendant’s is fruitful in this regard. A nonindigent defendant who seeks to retain counsel will of course frequently encounter private attorneys who demand fixed-sum fees without regard to services actually to be rendered. But in the private setting, the defendant is free to negotiate with counsel and to shop for an attorney with a more favorable price or better terms. Moreover, the nonindigent defendant will have the ability to choose between retaining and waiving counsel after consulting with counsel about the potential benefits and detriments of these options, and frequently about the potential merits of the case. A nonindigent defendant who retains counsel and does not receive money’s worth will have mandatory arbitration available; and before any judgment can be entered for nonpayment of fees, the defendant will be entitled to the full panoply of procedural and substantive rights that attach in all civil cases. And if a marginally situated defendant — one who falls on the financial borderline where the economic choice of retaining counsel is the most difficult— negotiates with private counsel and finds that fees or terms are too exorbitant, waiver of counsel is not the only available option. If all else fails, the defendant may as a last resort request— and will often be granted — court-appointed counsel.
. 1992 Alaska Pub. Defender Agency Fiscal Year Rep. at 12. There is no information to indicate that cost-per-case figures for the Public Defender Agency have altered significantly since fiscal year 1992. Likewise, while I have found no readily available reports of per-case cost for conflict representation by the Office of Public Advocacy and its contractors, there is little reason to believe that any cost difference would be significant for present purposes.
. The fee schedule set forth in Appellate
. I certainly do not mean to disparage the level of representation provided by appointed counsel or to suggest that indigent defendants are systematically underrepresented by agencies such as the Public Defender Agency or the Office of Public Advocacy. That agency defense attorneys may frequently be capable of handling cases expeditiously and at low cost reflects the high degree of expertise that they develop in their practice and the efficiency of scale realized by their agencies in handling large volumes of similar cases.
. Although the majority's opinion compares
It may be argued that an indigent accused, for whom the State has provided counsel, is in a different class with respect to collection of his indebtedness than a judgment creditor whose obligation arose from a private transaction. But other Kansas statutes providing for recoupment of public assistance to indigents do not include the severe provisions imposed on indigent defendants in this case.
James v. Strange,
. In this regard, it seems symptomatic of the rule’s design that this appeal arose from two cases in which superior court judges thought it necessary to address the constitutionality of
. A banker who did business in this manner would find survival difficult. As both the state and the majority opinion acknowledge, recoupment judgments will most frequently be entered in amounts significantly lower than the permanent fund dividend, which in past years has hovered just below the thousand dollar mark. Assuming that a defendant against whom a
.
It is noteworthy that threats of future prosecution can have an especially chilling effect when communicated by a judge during a courtroom proceeding. Such threats have been found constitutionally offensive when directed without case-specific justification to a participant in a criminal case who must decide upon a future course of action.
Cf. Webb v. Texas,
. The state cites court system statistics purportedly showing that virtually none of the potentially indigent defendants interviewed by Pretrial Services refused counsel because of Criminal
. Specifically, this court held:
To place the property owner in the position of having to risk payment of often substantial expenses incurred by the condemning authority for expert witnesses, other costs and attorney’s fees, as well as his own expenses in order to secure even an initial adjudication of the amount to which he is entitled, would so chill the right to secure just compensation as to nullify the effectiveness of the constitutional provisions. Faced with the choice of incurring such expenses, many property owners would feel compelled to give up their right to seek adjudication of the amount of compensation to which they would be entitled and would accept any amount tendered by the condemnor.
Id. at 1175.
. Specifically, I would revise the existing rule:
1) by eliminating the rule’s fee schedule and requiring payment based on the cost of services actually rendered;
2) by requiring a consideration of ability to pay prior to entry of judgment and by allowing the court, in its discretion, to refrain from entering judgment when the entry of judgment against a defendant who has no foreseeable ability to pay would defeat the goal of rehabilitation;
3) by providing for a prejudgment hearing as a matter of right to determine both the reasonable amount to be charged for services rendered and ability to pay, and by providing that in contested cases the initiation and prosecution of recoupment actions be within the responsibility and discretion of the Department of Law;
4) by eliminating the requirement that defendants be ordered to apply for permanent fund dividend payments and the related provision allowing defendants to be prosecuted for contempt if they fail to do so;
5) by removing the process of advising the defendant of the need to repay under
6) by providing defendants who have been informed of the duty to repay under