THE SPANGENBERG GROUP 1001 Watertown Street West Newton, MA 02465 Tel: 617.969.3820 Fax: 617.965.3966 www.spangenberggroup.com STATUS OF INDIGENT DEFENSE IN NEW YORK: A Study for Chief Judge Kaye’s Commission on the Future of Indigent Defense Services FINAL REPORT June 16, 2006 Robert L. Spangenberg President Rangita de Silva-de Alwis Director, International Programs Jennifer W. Riggs Senior Research Associate Jennifer M. Saubermann Research Associate Meghan E. Cary Administrative Assistant Prepared on behalf of: Prepared by: David J. Newhouse Administrative Office of the Courts The Spangenberg Group MIS Analyst For Chief Judge Kaye’s Commission Robert L. Spangenberg Michael R. Schneider on the Future of Indigent Defense Jennifer W. Riggs Of Counsel Services Jennifer M. Saubermann David J. Newhouse Marea L. Beeman TABLE OF CONTENTS Acknowledgements......................................................................................................................... 1 Executive Summary......................................................................................................................... i CHAPTER 1: INTRODUCTION.................................................................................................. 1 1.1 Methodology................................................................................................................... 4 CHAPTER 2: NEW YORK COURT SYSTEM ........................................................................... 7 2.1 Unified Court System ..................................................................................................... 7 2.2 Court Structure and Jurisdiction ..................................................................................... 7 2.2.1 New York City........................................................................................................ 8 2.2.2 Long Island............................................................................................................. 8 2.2.3 Upstate New York................................................................................................... 9 2.2.4 Commencing a Criminal Action in Local Court................................................... 10 2.2.5 Trial Court Restructuring Efforts.......................................................................... 11 CHAPTER 3: RIGHT TO COUNSEL ........................................................................................ 12 3.1 Federal Right to Counsel .............................................................................................. 12 3.2 Right to Counsel in New York...................................................................................... 13 3.2.1 Traffic Infractions................................................................................................. 14 3.2.2 Unpaid Fines and Surcharges................................................................................ 14 3.2.3 Family Court Proceedings..................................................................................... 16 3.3 Standards and Guidelines for Mandated Legal Representation in Criminal Cases ...... 17 3.3.1 National Standards................................................................................................ 17 3.3.2 New York Standards............................................................................................. 19 CHAPTER 4: NEW YORK INDIGENT DEFENSE SYSTEM ................................................. 22 4.1 National Perspective..................................................................................................... 22 4.2 New York Historical Background ................................................................................ 23 4.2.1 New York State Defenders Association ............................................................... 24 4.2.2 History of Assigned Counsel Compensation Rates .............................................. 25 4.3 New York State and County Funding........................................................................... 26 Upstate .......................................................................................................................................... 28 4.3.1 Cost-Per-Capita and Cost-Per-Case...................................................................... 28 4.3.2 Governor’s FY 2006 Proposed Budget and LSAA............................................... 29 4.3.3 Indigent Legal Services Fund ............................................................................... 30 4.3.4 County Requirements for Use of State Funds....................................................... 31 4.4 Statewide Indigent Defense Data.................................................................................. 32 4.4.1 UCS 195 and ILSF Reports .................................................................................. 32 4.4.2 Other Data Sources............................................................................................... 34 4.4.3 OCA Data Systems ............................................................................................... 35 4.5 Current Indigent Defense System ................................................................................. 36 4.5.1 New York State Crime Statistics .......................................................................... 37 CHAPTER 5: INSTITUTIONAL PROVIDERS......................................................................... 39 5.1 Lack of Independence from the Counties ..................................................................... 39 5.2 The Drive to Show Efficiency ...................................................................................... 43 5.3 Caseloads ...................................................................................................................... 43 5.4 Part-time Defenders...................................................................................................... 46 5.5 Court Coverage Problems............................................................................................. 47 5.6 Lack of Vertical Representation ................................................................................... 47 5.7 Lack of Resources......................................................................................................... 49 2 5.7.1 Investigators and Support Staff............................................................................. 49 5.7.2 Office Space, Technology and Resources ............................................................ 50 5.8 Standards, Oversight and Training ............................................................................... 51 5.9 Shifting Workload to Institutional Providers................................................................ 53 CHAPTER 6: ASSIGNED COUNSEL....................................................................................... 56 6.1 Plans with Staff............................................................................................................. 56 6.2 Counties with No Separate Plan or Administrator........................................................ 57 6.3 Qualifications, Oversight, and Training........................................................................ 58 6.4 Assignment of Cases..................................................................................................... 62 6.5 Effects of the Increased Attorney Fees ......................................................................... 64 6.6 Vouchers and Billing Practices..................................................................................... 65 CHAPTER 7: OTHER FACTORS.............................................................................................. 67 AFFECTING INDIGENT DEFENSE.......................................................................................... 67 7.1 Client Contact............................................................................................................... 67 7.2 Interpreters .................................................................................................................... 70 7.3 Expert and Investigative Services................................................................................. 72 7.4 Discovery and District Attorney Policies ..................................................................... 77 7.5 Disparity Between Prosecution and Defense Resources .............................................. 83 7.6 Right to Counsel Problems ........................................................................................... 86 7.7 Collateral Consequences............................................................................................... 88 7.8 Fines, Fees and Surcharges........................................................................................... 90 7.9 Specialty Courts............................................................................................................ 90 7.10 Effect on Minorities ...................................................................................................... 93 7.11 Eligibility Determinations............................................................................................. 94 7.11.1 Partial Payment and Upfront Fees ........................................................................ 98 7.12 Family Court................................................................................................................. 99 7.12.1 State Law Guardian