Caldwell v. Commonwealth

157 S.W.3d 215, 2004 Ky. App. LEXIS 227, 2004 WL 1699897
CourtCourt of Appeals of Kentucky
DecidedJuly 30, 2004
Docket2003-CA-000356-MR, 2003-CA-001896-MR, 2003-CA-001767-MR
StatusPublished
Cited by2 cases

This text of 157 S.W.3d 215 (Caldwell v. Commonwealth) is published on Counsel Stack Legal Research, covering Court of Appeals of Kentucky primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Caldwell v. Commonwealth, 157 S.W.3d 215, 2004 Ky. App. LEXIS 227, 2004 WL 1699897 (Ky. Ct. App. 2004).

Opinion

OPINION AND ORDER

COMBS, Chief Judge.

On June 8, 2004, this Court conducted a hearing in Appeal Number 2003-CA-000356-MR, Caldwell v. Commonwealth (Caldwell), and in Appeal Number 2003-CA-001896-MR, Delong v. Commonwealth (Delong), as to why counsel for appellant in these cases, Dennis M. Stutsman for the Office of Public Advocacy (OPA), should not be held in contempt for failure to comply with previous orders of this Court and for failure to timely file the brief for appellant in each case. Appeal number 2003-CA-001767-MR, McCormick v. Commonwealth (McCormick) is currently pending before the Court on response to a show cause order almost identical in nature to the show cause order issued in Delong. Therefore, the Court has elected to address and to dispose of the procedural aspects of McCormick as well in this opinion and order.

In addition to Mr. Stutsman’s argument, comments were presented to the court by Erwin W. Lewis, Public Advocate; Rebecca Diloreto, Post-trial Services Division Director of the Office of Public Advocacy; and Margaret Case, Appeals Branch Manager. The focus of the hearing was the persistent disregard by Mr. Stutsman of orders of this Court regarding procedural steps in the appellate process and a flagrant disobedience of a specific order to appear before this panel on April 6, 2004, to explain his failure to file the brief for appellant in Caldwell within the time limitation set out in this Court’s order of March 23, 2004.

*217 In both the written responses to our show cause order and their oral statements at the June 8 hearing, Mr. Stutsman and his supervisors at OPA contended that his repeated failure to comply with orders of this Court had been occasioned by excessive workload and budgetary considerations in the Office as a whole. This Court is both concerned and sympathetic as to the budgetary constraints faced by OPA and the expanded workload necessary to adequately serve an increasing number of indigent criminal defendants and appellants. However, these considerations do not suffice to provide an acceptable explanation for Mr. Stutsman’s longstanding pattern of simply ignoring procedural deadlines and specific orders of this Court.

Despite similarly heavy caseloads, the majority of assistant public advocates render extraordinarily effective assistance to indigent appellants in a timely and efficient manner. Budgetary constraints do not constitute a legitimate excuse for the failure of Mr. Stutsman’s supervisors at OPA to provide even a minimum level of acceptable oversight for those attorneys who routinely fail to comply with the rules of appellate practice. Their conduct with respect to Court orders imperils the reputation of the Office and severely compromises the competency of representation that their clients are entitled to expect.

Central to our consideration is the reasoning of the Supreme Court of Kentucky in Commonwealth v. Wine 2 in assessing the harmful impact of inordinate delay on the functioning of the Court system and the rights of criminal appellants:

This case aptly illustrates the need for enforcement of procedural rules relating to appeals. It commenced in 1978 with an indictment, after considerable delay a trial was had in 1979, and it has now languished on various appeals for five and one-half years. It has encountered delay in trial, delay in preparation of the record on appeal, and delay in the filing of appellate briefs which finally resulted in the dismissal of the appeal....
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This case, and others like it, has a tendency to bring our judicial system to its knees....
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Although the law is still developing as to what constitutes effective assistance of counsel in the constitutional sense, it cannot be doubted that the failure of counsel to file an appellate brief which results in the dismissal of an appeal constitutes ineffective assistance of counsel. (Emphasis added.)

Although the delay in the cases now before us is not as lengthy as the time-frame addressed in Wine, we nevertheless consider it to be sufficiently egregious to call into question the effectiveness of the assistance provided by Mr. Stutsman — regardless of the quality of the brief that was finally filed. In these cases, we are dealing with the direct appeals of indigent appellants, who have remained incarcerated while delay after delay in the preparation of the appellant’s brief was requested by appointed counsel. A brilliant brief would be a moot issue and little comfort to an appellant whose sentence was served before his appeal could be heard.

As background for our decision regarding sanctions, we shall endeavor to set out in detail Mr. Stutsman’s pattern of practice before this Court over the past several years and to explain why this Court can no longer tolerate his repeated missed deadlines, motions, and responses to show cause orders. The following list is a representative sample of the manner in which *218 Mr. Stutsman has responded to the appellate rules and the orders of this Court 3 :

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TURNER v. COMMONWEALTH — Direct Appeal
12/9/99 Circuit court judgment
2/02/01 After many motions and much delay, Mr. Stutsman is substituted as counsel of record for appellant
2/23/01 Order granting motion for 60 days additional time to obtain narrative statement
5/10/01 Returned to staff attorney for failure to comply with order of 2/23/01
6/7/01 Court orders appellant to file response indicating status of narrative statement and when supplemental certification may be completed
6/28/01 No response
10/12/01 Due to failure to respond to order of 6/7/01, Court orders case to continue without narrative statement; brief due 11/12/01
1/16/02 Show cause for dismissal for failure to file brief.
2/6/02 No response.
2/14/02 Untimely response to show cause
3/19/02 Court finds sufficient cause not to dismiss and grants until 3/31/02 to obtain supplemental certification. Brief due 20 days from date supplemental record is made available
2/11/03 No response to court order of 3/19/02
2/25/03 Show cause order for failure to file brief
4/3/03 No response
8/19/03 Court’s own motion; final 60-day extension to file brief. Failure to comply will result in dismissal and imposition of sanctions on counsel. Due 10/20/03
10/20/03 Appellant’s brief filed.
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Bluebook (online)
157 S.W.3d 215, 2004 Ky. App. LEXIS 227, 2004 WL 1699897, Counsel Stack Legal Research, https://law.counselstack.com/opinion/caldwell-v-commonwealth-kyctapp-2004.