Hurrell-Harring v. State

930 N.E.2d 217, 15 N.Y.3d 8, 904 N.Y.S.2d 296
New York Court of Appeals·Decided May 6, 2010·No. 66·Published·Cited by 91 cases

Opinions

OPINION OF THE COURT

Chief Judge Lippman.

The Sixth Amendment to the United States Constitution guarantees a criminal defendant “the right to . . . have the Assistance of Counsel for his defence,” and since Gideon v Wainwright (372 US 335 [1963]) it has been established that that entitlement may not be effectively denied by the State by reason of a defendant’s inability to pay for a lawyer. Gideon is not now controversial either as an expression of what the Constitution requires or as an exercise in elemental fair play. Serious questions have, however, arisen in this and other jurisdictions as to whether Gideon’s mandate is being met in practice (see e.g. Lavallee v Justices in Hampden Superior Ct., 442 Mass 228, 812 NE2d 895 [2004]).

In New York, the Legislature has left the performance of the State’s obligation under Gideon to the counties, where it is discharged, for the most part, with county resources and according to local rules and practices (see County Law arts 18-A, 18-B). Plaintiffs in this action, defendants in various criminal prosecutions ongoing at the time of the action’s commencement in Washington, Onondaga, Ontario, Schuyler and Suffolk counties, contend that this arrangement, involving what is in essence a costly, largely unfunded and politically unpopular mandate upon local government, has functioned to deprive them and other similarly situated indigent defendants in the aforementioned counties of constitutionally and statutorily guaranteed representational rights. They seek a declaration that their rights and those of the class they seek to represent [16] are being violated and an injunction to avert further abridgment of their right to counsel; they do not seek relief within the criminal cases out of which their claims arise.

This appeal results from dispositions of defendants’ motion pursuant to CPLR 3211 to dismiss the action as nonjusticiable. Supreme Court denied the motion, but in the decision and order now before us (66 AD3d 84 [2009]) the sought relief was granted by the Appellate Division. That court held that there was no cognizable claim for ineffective assistance of counsel other than one seeking postconviction relief, and, relatedly, that violation of a criminal defendant’s right to counsel could not be vindicated in a collateral civil proceeding, particularly where the object of the collateral action was to compel an additional allocation of public resources, which the court found to be a properly legislative prerogative. Two Justices dissented. They were of the view that violations of the right to counsel were actionable in contexts other than claims for postconviction relief, including a civil action such as that brought by plaintiffs. While recognizing that choices between competing social priorities are ordinarily for the Legislature, this did not, in the dissenters’ judgment, excuse the Judiciary from its obligation to provide a remedy for violations of constitutional rights (id. at 95), especially when the alleged violations were “so interwoven with, and necessarily implicated], the proper functioning of the court system itself’ (id. at 96).

Plaintiffs have appealed as of right from the Appellate Division’s order pursuant to CPLR 5601 (a) and (b) (1). We now reinstate the action, albeit with some substantial qualifications upon its scope.

Defendants’ claim that the action is not justiciable rests principally on two theories: first, that there is no cognizable claim for ineffective assistance of counsel apart from one seeking relief from a conviction, and second, that recognition of a claim for systemic relief of the sort plaintiffs seek will involve the courts in the performance of properly legislative functions, most notably determining how public resources are to be allocated.

The first of these theories is rooted in case law conditioning relief for constitutionally ineffective assistance upon findings that attorney performance, when viewed in its total, case specific aspect, has both fallen below the standard of objective reasonableness (see Strickland v Washington, 466 US 668, 687-688

[17] [1984]), and resulted in prejudice, either with respect to the outcome of the proceeding (id. at 694) or, under this Court’s somewhat less outcome oriented standard of “meaningful assistance,” to the defendant’s right to a fair trial (People v Benevento, 91 NY2d 708, 713-714 [1998]). Defendants reason that the prescribed, deferential (see Strickland, 466 US at 689; Benevento, 91 NY2d at 712) and highly context sensitive inquiry into the adequacy and particular effect of counsel’s performance cannot occur until a prosecution has concluded in a conviction, and that, once there is a conviction, the appropriate avenues of relief are direct appeals and the various other established means of challenging a conviction, such as CPL article 440 motions and petitions for writs of habeas corpus or coram nobis. They urge, in essence, that the present plaintiffs can, based upon their ongoing prosecutions, possess no ripe claim of ineffective assistance and that any ineffective assistance claims that might eventually be brought by them would, given the nature of the claim, have to be individually asserted and determined; they argue that a finding of constitutionally deficient performance— one necessarily rooted in the particular circumstances of an individual case—cannot serve as a predicate for systemic relief. Indeed, they remind us that the Supreme Court in Strickland has noted pointedly that “the purpose of the effective assistance guarantee of the Sixth Amendment is not to improve the quality of legal representation, although that is a goal of considerable importance to the legal system[,] . . . [but rather] to ensure that criminal defendants receive a fair trial” (466 US at 689).

These arguments possess a measure of merit. A fair reading of Strickland and our relevant state precedents supports defendants’ contention that effective assistance is a judicial construct designed to do no more than protect an individual defendant’s right to a fair adjudication; it is not a concept capable of expansive application to remediate systemic deficiencies. The cases in which the concept has been explicated are in this connection notable for their intentional omission of any broadly applicable defining performance standards. Indeed, Strickland is clear that articulation of any standard more specific than that of objective reasonableness is neither warranted by the Sixth Amendment nor compatible with its objectives:

“More specific guidelines are not appropriate. The Sixth Amendment refers simply to ‘counsel,’ not specifying particular requirements of effective assis[18] tance. It relies instead, on the legal profession’s maintenance of standards sufficient to justify the law’s presumption that counsel will fulfill the role in the adversary process that the Amendment envisions. The proper measure of attorney performance remains simply reasonableness under prevailing professional norms . . .

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Hurrell-Harring v. State, 930 N.E.2d 217, 15 N.Y.3d 8, 904 N.Y.S.2d 296 (N.Y. 2010).

930 N.E.2d 217 (Hurrell-Harring v. State) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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