Krieger v. Commonwealth
Krieger v. Commonwealth
Dissenting Opinion
ANNUNZIATA, J., with whom FITZPATRICK, C.J., BENTON, ELDER, and CLEMENTS, JJ., join, dissenting.
For the reasons that follow, I respectfully dissent from the majority’s decision to deny Krieger court-appointed counsel on appeal and a free copy of any available transcripts.
To address the issue before us, we must first examine whether the law requires the appointment of counsel at the trial level, as it is the wellspring from which the right to counsel on appeal emanates. As the United States Supreme Court has made clear, “[a] State’s obligation to provide appellate counsel to poor defendants faced with incarceration applies to appeals of right.” M.L.B. v. S.L.J., 519 U.S. 102, 113, 117 S.Ct. 555, 562, 136 L.Ed.2d 473 (1996); accord Cabaniss v. Cunningham, 206 Va. 330, 333, 143 S.E.2d 911, 913 (1965) (“[F]ailure to appoint counsel to assist an indigent defendant in making an appeal from a conviction is a denial of equal protection and due process guaranteed to him under the Federal Constitution and the Virginia Bill of Rights.” (citations omitted)); see also Griffin v. Illinois, 351 U.S. 12, 18, 76 S.Ct. 585, 590, 100 L.Ed. 891 (1956) (“There is no meaningful distinction between a rule which would deny the poor the right to defend themselves in a trial court and one which effectively denies the poor an adequate appellate review.”). Because an appeal from a civil contempt finding lies as a matter of right in Virginia, see Code § 19.2-318, if due process requires the Commonwealth to appoint counsel for Krieger at trial, then he is entitled to appointed counsel on appeal.
Therefore, I begin by examining the Due Process Clause of the Fourteenth Amendment of the United States Constitution in which the right to counsel at trial is rooted. It provides, in relevant part: “[n]o state shall ... deprive any person of ... liberty ... without due process of law.... ” U.S. Const, amend. XIV, § 1.
A citizen’s interest in personal liberty is “the most fundamental interest protected by the Constitution of the United States.” McBride v. McBride, 334 N.C. 124, 431 S.E.2d 14, 14 (1993); see also Butts v. Commonwealth, 145 Va. 800, 806, 133 S.E. 764, 766 (1926) (noting that personal liberty is a fundamental right). Consequently, when one’s liberty is at stake, the need for the assistance of counsel is beyond question. See Argersinger v. Hamlin, 407 U.S. 25, 37, 92 S.Ct. 2006, 2012, 32
“Even the intelligent and educated layman has small and sometimes no skill in the science of law.... He lacks both the skill and knowledge adequately to prepare his defense, even though he have a perfect one. He requires the guiding hand of counsel at every step in the proceedings against him. Without it, though he be not guilty, he faces the danger of conviction because he does not know how to establish his innocence.”
Gideon v. Wainwright, 372 U.S. 335, 345, 83 S.Ct. 792, 797, 9 L.Ed.2d 799 (1963) (quoting Powell v. Alabama, 287 U.S. 45, 68-69, 53 S.Ct. 55, 64, 77 L.Ed. 158 (1932)); see also Scott v. Illinois, 440 U.S. 367, 370, 99 S.Ct. 1158, 1160, 59 L.Ed.2d 383 (1978) (“[T]he guiding hand of counsel [is] so necessary where one’s liberty is in jeopardy.”); Powell, 287 U.S. at 68-69, 53 S.Ct. at 64 (holding that due process includes the right to the assistance of counsel for criminal defendants facing actual imprisonment because it is “necessary to insure fundamental human rights of life and liberty ... ”); Meyer v. Nebraska, 262 U.S. 390, 399, 43 S.Ct. 625, 626, 67 L.Ed. 1042 (1923) (‘Without doubt, [the Fourteenth Amendment] denotes ... freedom from bodily restraint.”).
The Court recently reiterated the rationale for providing counsel to those who face imprisonment in Alabama v. Shelton, — U.S. -, -, 122 S.Ct. 1764, 1772, 152 L.Ed.2d 888 (2002). Notably, the Court underscored that an important goal of the right to counsel is to ensure that adjudications are sufficiently reliable to permit incarceration, warning that: “a defendant [deprived of trial counsel] faces incarceration on a conviction that has never been subject to ‘the crucible of
The principle underlying the right to counsel applies with equal force where one’s liberty is in jeopardy in a civil case. See In re Gault, 387 U.S. 1, 36-37, 41, 87 S.Ct. 1428, 1451, 18 L.Ed.2d 527 (1967) (finding court-appointed counsel is “essential” in a civil delinquency proceeding “which may result in commitment to an institution in which the juvenile’s freedom is curtailed ...”); Walker v. McLain, 768 F.2d 1181, 1183 (10th Cir. 1985) (holding that because “jail is just as bleak” for the civil litigant, due process requires the right to appointed counsel); Ridgway v. Baker, 720 F.2d 1409, 1413 (5th Cir. 1983) (“The right to counsel turns on whether deprivation of liberty may result from a proceeding, not upon its characterization as ‘criminal’ or ‘civil.’ ”); McNabb v. Osmundson, 315 N.W.2d 9, 11 (Iowa 1982) (“The jail doors clang with the same finality behind an indigent who is held in contempt and incarcerated ... as they do behind an indigent who is incarcerated for a violation of a criminal statute.”); State ex rel. Graves v. Daugherty, 164 W.Va. 726, 266 S.E.2d 142, 144 (1980) (“We eschew the rubric of ‘criminal’ versus ‘civil’ in determining what process is fair.”).
In Lassiter v. Dept. of Social Services, 452 U.S. 18, 101 S.Ct. 2153, 68 L.Ed.2d 640 (1981), the United States Supreme Court addressed whether an indigent civil litigant has a due process right to court-appointed counsel where the loss of parental rights was at stake. The Supreme Court made clear that its resolution of the issue did not turn on whether the “proceeding[ ] may be styled ‘civil’ and not ‘criminal.’ ” Id. at 25, 101 S.Ct. at 2159. Rather, it noted that “it is a litigant’s interest in personal freedom and not simply the special Sixth and Fourteenth Amendments right to counsel in criminal cases, [that] triggers the right to appointed counsel....” Id. The Court cited its earlier decision, In re Gault, 387 U.S. at 36-37, 87 S.Ct. at 1448, as authority for the conclusion reached, noting that “[t]he pre-eminent generalization that emerges from [the United States Supreme] Court’s precedents
In re Gault established the core principle of the Lassiter holding. In that case, court-appointed counsel was found to be “essential” in a civil delinquency proceeding because it “[carried] with it the awesome prospect of incarceration in a state institution.” 387 U.S. at 36-37, 87 S.Ct. at 1448. The proceeding’s technical classification as “non-criminal” was of no consequence. Id. at 27, 87 S.Ct. at 1443. Thus, the right to counsel is triggered by a litigant’s risk of actual incarceration.
Moreover, although a civil litigant facing actual imprisonment is not entitled to the full panoply of due process rights,
[T]here is a historical basis ... for treating the right to have counsel appointed as unique, perhaps because of [the United States Supreme Court’s] oftstated view that “the right to be heard would be, in many cases, of little avail if it did not comprehend the right to be heard by counsel.”
Custis, 511 U.S. at 494-95, 114 S.Ct. at 1738 (quoting Powell, 287 U.S. at 68-69, 53 S.Ct. at 64). As noted in Walker v. McLain, the guiding hand of counsel is essential to ensure that a civil litigant is not wrongfully imprisoned based on an erroneous finding of contempt:
[i]f petitioner is truly indigent, his liberty interest is no more conditional than if he were serving a criminal sentence; he does not have the keys to the prison door if he cannot afford the price. The fact that he should not have been jailed if he is truly indigent only highlights the need for counsel, for the assistance of a lawyer would have greatly aided him in establishing his indigency and ensuring that he was not improperly incarcerated.
768 F.2d at 1184; accord Mead v. Batchlor, 435 Mich. 480, 460 N.W.2d 493, 499 (1990).
Consequently, the right to counsel may apply in situations where other due process rights do not. For example, the Court held in Custis that a defendant may collaterally attack a sentence enhanced by a prior hearing where the right to counsel was violated at that hearing, but he cannot do so where other due process rights are at issue. Id. In short, because the right to counsel is a unique constitutional right, which is “necessary to insure fundamental human rights of life
Indeed, in Shelton, the United States Supreme Court held “that a suspended sentence that may end up in the actual deprivation of a person’s liberty may not be imposed unless the defendant was accorded the guiding hand of counsel in the prosecution for the crime charged.” — U.S. at -, 122 S.Ct. at 1767. Significantly, the court observed as follows:
“[Our] ... decisions have reiterated the Argersinger-Scott actual imprisonment standard. See, e.g., Glover v. United States, 531 U.S. 198, 203, 121 S.Ct. 696, 700, 148 L.Ed.2d 604 (2001) (any amount of actual jail time has Sixth Amendment significance); M.L.B. v. S.L.J., 519 U.S. 102, 113, 117 S.Ct. 555, 562, 136 L.Ed.2d 473 (1996); Nichols v. United States, 511 U.S. 738, 746, 114 S.Ct. 1921, 1927, 128 L.Ed.2d 745 (1994) (constitutional line is between criminal proceedings that resulted in imprisonment, and those that did not); id.[~\ at 750, 114 S.Ct. at 1929 (Souter, J., concurring in judgment) (The Court in Scott, relying on Argersinger [,] drew a bright line between imprisonment and lesser criminal penalties.); Lassiter v. Department of Social Servs. of Durham Cty., 452 U.S. 18, 26, 101 S.Ct. 2153, 2159, 68 L.Ed.2d 640 (1981). It is thus the controlling rule that absent a knowing and intelligent waiver, no person may be imprisoned for any offense unless he was represented by counsel at his trial. Argersinger, 407 U.S.[ ] at 37[, 92 S.Ct. at 2012].”
Shelton, — U.S. at -, 122 S.Ct. at 1769.
The reference to Lassiter in this context was not a careless aside, and it supports the central thesis of this dissent—that an indigent person has a right to counsel in any proceeding, criminal or civil, when that person faces a deprivation of physical liberty.
Nearly all state and federal courts addressing the right to counsel in a civil case have adopted the reasoning of the
Rejecting the holdings and reasoning of the United States Supreme Court in In re Gault and Lassiter, and their progeny, the majority invokes a balancing test to determine whether an alleged contemnor facing actual imprisonment has a right to counsel, and concludes that no right exists. In adopting this test, the majority misconstrues the holding in Lassiter and its progeny. To be sure, Lassiter used a Mathews balancing test to resolve the issue before it.
The majority’s conclusion that a balancing test is appropriate in the present case is unsupported by current case law. Indeed, none of the foregoing federal circuit courts employed a balancing test to determine whether the civil contemnor was entitled to court-appointed counsel; rather, they followed the Lassiter rationale and established the right to counsel for an indigent civil litigant on the sole ground that the civil litigant’s fundamental liberty interest was at stake in contempt proceedings. Of the twenty-three state courts that have addressed the issue and held that a due process right to appointed counsel exists, two have concluded that the trial court should apply a balancing test to determine the right on a case-by-case basis. New Mexico v. Rael, 97 N.M. 640, 642 P.2d 1099, 1103 (1982); Duval v. Duval, 114 N.H. 422, 322 A.2d 1, 4 (1974).
Only the state of Florida has declined to adopt the Supreme Court’s rationale in Gideon, In re Gault, and Lassiter, and concluded that civil contemnors facing imprisonment do not have a due process right to counsel. See Andrews v. Walton, 428 So.2d 663, 665-66 (Fla. 1983); see also In re Marriage of Betts, 200 Ill.App.3d 26, 146 Ill.Dec. 441, 558 N.E.2d 404, 421-24 (1990). But see Sanders v. Shephard, 185 Ill.App.3d 719, 133 Ill.Dec. 712, 541 N.E.2d 1150 (1989) (holding that an alleged civil contemnor has an absolute due process right to counsel). Additionally, before the Supreme Court decided Lassiter, two state courts held that a civil contemnor does not have a due process right to counsel. See Meyer v. Meyer, 414 A.2d 236, 239 (Me. 1980); In re Calhoun, 47 Ohio St.2d 15, 350 N.E.2d 665, 667 (1976). But see Simpson v. Francis, 1990 WL 119250, *4, 1990 Ohio App. Lexis 3412, *10 (holding that
Krieger, as an alleged civil contemnor, begins the show cause proceeding with a fully intact liberty interest, which is put at risk by that proceeding. Like the petitioner in In re Gault facing a civil delinquency proceeding, he enters the courthouse with an unqualified liberty interest that he “may lose ... if he loses the litigation.” Lassiter, 452 U.S. at 25, 101 S.Ct. at 2158; In re Gault, 387 U.S. at 27, 87 S.Ct. at 1443. “The grim reality of [his] threatened jail sentence overshadows the technical distinctions between ‘criminal,’ ‘quasi-criminal,’ and ‘civil’ violations and demands that the protection of legal advice and advocacy be given.... ” Tetro, 544 P.2d at 19.
Thus, applying the reasoning of In re Gault, Lassiter, and their progeny, I find that neither the majority’s characterization of the proceeding as civil nor its focus on the remedial nature of the penalty squarely addresses the issue before us. Rather, I would rule that Krieger is entitled to court-appointed counsel because his liberty interest was not only put at risk, but was, in fact, lost. See Lassiter, 452 U.S. at 26-27, 101 S.Ct. at 2159-60. Specifically, I would hold a civil contemnor facing actual incarceration has a right to appointed counsel at trial unless waived.
It follows that such a litigant is entitled to counsel on appeal. See M.L.B., 519 U.S. at 110, 117 S.Ct. at 560-61 (“Although the Federal Constitution guarantees no right to appellate review, once a State affords that right, Griffin held
B. Alleged Civil Contemnor’s Entitlement to Transcripts
I would also hold that, to the extent transcripts of the proceedings below are available, Krieger is entitled to copies at the Commonwealth’s expense. It is “fundamental that, once established, [avenues of appellate review] must be kept free of unreasoned distinctions that can only impede open and equal access to the courts.” Williams v. Oklahoma City, 395 U.S. 458, 459, 89 S.Ct. 1818, 1819, 23 L.Ed.2d 440 (1969) (citations omitted). Consequently, where a transcript is available for a fee, the Fourteenth Amendment requires states to furnish a copy, at state expense, to indigent criminal defendants. Griffin, 351 U.S. at 18, 76 S.Ct. at 590.
The Supreme Court has also recognized a narrow category of civil cases in which the State must provide access to its judicial processes without regard to a party’s ability to pay court fees, such as transcript preparation fees. 519 U.S. at 113, 117 S.Ct. at 562; Little v. Streater, 452 U.S. 1, 13-17, 101 S.Ct. 2202, 2209-11, 68 L.Ed.2d 627 (1981) (finding that state must pay for blood grouping tests sought by indigent defendant contesting a paternity suit); Boddie v. Connecticut, 401 U.S. 371, 374, 91 S.Ct. 780, 784, 28 L.Ed.2d 113 (1971) (holding that state could not deny a divorce based on couple’s inability to pay court costs). In M.L.B., the Supreme Court held that because petitioner’s interest in a legal relationship with her child outweighed that state’s financial interest in collecting the fee, the state could not require her to pay trial record preparation fees on appeal. 519 U.S. at 121-22, 117 S.Ct. at 566. The Court noted that, to determine whether
Krieger, “[l]ike a defendant resisting criminal conviction, ... seeks to be spared from the State’s devastatingly adverse action.” 519 U.S. at 125, 117 S.Ct. at 568. The individual interest at stake is the fundamental right to personal liberty. See Butts, 145 Va. at 806, 133 S.E. at 766 (noting that personal liberty is a fundamental right); Commonwealth v. Johnson, 7 Va.App. 614, 622, 376 S.E.2d 787, 791 (1989) (same). As noted earlier, the threat of deprivation of that right is equally present where the litigant faces imprisonment under the label of a civil trial.
Krieger’s interest in his personal liberty is at least as significant as M.L.B.’s right to a relationship with her child. Therefore, I would conclude that Krieger, an indigent, has a right, at state expense, to a copy of any available transcripts of the relevant proceedings. See Draper v. Washington, 372 U.S. 487, 497, 83 S.Ct. 774, 780, 9 L.Ed.2d 899 (1963).
For the foregoing reasons, I would reverse the decision of the trial court.
. In Hicks v. Feiock, 485 U.S. 624, 631, 108 S.Ct. 1423, 1429, 99 L.Ed.2d 721 (1988), the United States Supreme Court held that the Due Process Clause does not protect civil contemnors from a burden-shifting rule. Likewise, in United Mine Workers v. Bagwell, 512 U.S. 821, 114 S.Ct. 2552, 129 L.Ed.2d 642 (1994), the Court held that due process does not entitle a civil contemnor to a trial by jury. However, the right to counsel was not at issue in Hicks or Bagwell. Therefore, neither case affects our decision on the issue before us. See Mead v. Batchlor, 435 Mich. 480, 460 N.W.2d 493, 499 n. 13 (1990) (holding that Hides does not provide support for the proposition that the right to counsel depends on the nature of the proceeding); Sanders v. Shephard, 185 Ill.App.3d 719, 133 Ill.Dec. 712, 541 N.E.2d 1150, 1156-59 (1989) (applying Hicks and holding that due process did not protect civil contemnor from burden-shifting rule or double jeopardy violations, but that due process entitled the civil contemnor to counsel based on Lassiter and "virtually every decision" considering the issue).
. The majority’s suggestion that a civil contemnor can easily avoid incarceration assumes the litigant's willful contumacy and the fairness of the underlying process to determine that contumacy. A purge clause only assists the civil contemnor if he has the ability to comply and the underlying order was properly determined. In other words, the unassisted civil contemnor risks an improper or unfair finding of contempt, and therefore wrongful incarceration.
. The balancing test employed in Lassiter is derived from the holding in Mathews v. Eldridge, 424 U.S. 319, 96 S.Ct. 893, 47 L.Ed.2d 18 (1976). In Mathews, the United States Supreme Court articulated a three-factor test for determining what process is due. 424 U.S. at 334-35, 96 S.Ct. at 902-03. Courts must consider "the private interest that will be affected by the official action; ... the risk of an erroneous deprivation ... and the probable value, if any, of additional or substitute procedural safeguards; and finally, the Government’s interest....” Id. Although the majority identifies these factors, it does not weigh or consider them.
. Manifestly, court-appointed counsel is not required in every show cause hearing. In cases where the trial court forecloses imprisonment as a punishment, the right to counsel is not absolute. See Sevier, 742 F.2d at 267 (noting that Lassiter indicated the relevant question in determining the right to counsel is whether the court elects to incarcerate).
Opinion of the Court
By order dated January 9, 2002, this Court, on its own motion and pursuant to Code § 17.1-402(D), granted a hearing en bane to consider the motion of Arthur C. Krieger, II, requesting counsel and transcripts on appeal at the expense of the Commonwealth. Upon hearing said motion en banc, we hereby deny Krieger’s motion for the reasons set forth below.
I. Background
The relevant procedural history in this matter is uncontroverted. On November 17, 1999, Krieger appeared before the Circuit Court of the City of Petersburg on a hearing to show cause, related to a charge of maintaining a public nuisance. The trial court found Krieger in civil contempt for disobedience of its orders to abate a nuisance and sentenced him to ten days in jail, all of which were suspended on the condition he comply with the terms and conditions of prior orders entered by the court within ninety days.
On February 22, 2000, Krieger filed pro se a notice of appeal of the February 10, 2000 ruling. He requested court-appointed counsel on appeal and transcripts of the proceedings below, at the Commonwealth’s expense. The trial court denied both requests. We granted a hearing en banc solely on the issues of whether he is entitled to court-appointed counsel on appeal, as well as transcripts of the lower court proceedings at the expense of the Commonwealth.
II. Analysis
The question of whether an indigent defendant, found guilty of civil contempt of court and sentenced to jail, is entitled to court-appointed counsel on appeal is one of first impression in Virginia.
As a threshold matter, it is axiomatic that the Sixth Amendment provides certain safeguards in “all criminal prosecutions.” U.S. Const. amend. VI. Further, the Fourteenth Amendment mandates that: “[n]o state shall ... deprive any person of ... liberty ... without due process of law....” U.S. Const, amend. XIV. Thus, the Supreme Court of the United. States has held that “absent a knowing and intelligent waiver, no person may be imprisoned for any offense, whether classified as petty, misdemeanor, or felony, unless he was repre
However, there is no constitutional or statutory right for an indigent to have counsel appointed for trial in a civil case. See Watson v. Moss, 619 F.2d 775, 776 (8th Cir. 1980); Darnell v. Peyton, 208 Va. 675, 677, 160 S.E.2d 749, 750 (1968) (“Code § 14.1-183 (Repl.Vol. 1964) [ (now Code § 17.1-606) ], which provides that in a civil action an indigent ‘shall have, from any counsel whom the court may assign him, ... all needful services ..., without any fees ... ’ does not specifically require the appointment of such counsel”).
Similarly, in the appellate context, the United States Supreme Court has held that “where the merits of the one and only [criminal] appeal an indigent has as of right are decided without benefit of counsel, we think an unconstitutional line has been drawn between rich and poor.” Douglas v. California, 372 U.S. 353, 357, 83 S.Ct. 814, 816, 9 L.Ed.2d 811 (1963); see also Cabaniss v. Cunningham, 206 Va. 330, 333, 143 S.E.2d 911, 913 (1965) (“the failure to appoint counsel to assist an indigent defendant in making an appeal from a conviction is a denial of equal protection and due process guaranteed to him under the Federal Constitution and the Virginia Bill of Rights”). However, in Ross v. Moffitt, 417 U.S. 600, 94 S.Ct. 2437, 41 L.Ed.2d 341 (1974), the Supreme Court held that “neither the Due Process Clause nor the Equal Protection Clause requires a State to provide counsel at state expense to an indigent prisoner pursuing a discretionary appeal in the state system....” M.L.B. v. S.L.J., 519 U.S. 102, 113, 117 S.Ct. 555, 562, 136 L.Ed.2d 473 (1996) (citing Ross, 417 U.S. at 610, 612, 616-18, 94 S.Ct. at 2443-44, 2446-47).
From these cases it is clear that the right to appointed counsel on appeal derives not from some statutory grant, but from the Due Process and Equal Protection Clauses of the Fourteenth Amendment, as well as from the Sixth Amend
[a]t the trial stage of a criminal proceeding, the right of an indigent defendant to counsel is fundamental and binding upon the States by virtue of the Sixth and Fourteenth Amendments. But there are significant differences between the trial and appellate stages of a criminal proceeding .... The fact that an appeal has been provided does not automatically mean that a State then acts unfairly by refusing to provide counsel to indigent defendants at every stage of the way. Unfairness results only if indigents are singled out by the State and denied meaningful access to the appellate system because of their poverty. That question is more profitably considered under an equal protection analysis.
Ross, 417 U.S. at 610-11, 94 S.Ct. at 2443-44. Thus,
[ejqual protection requires the state to provide appointed counsel for appeal and a right of appeal at public expense in those classes of cases in which indigents are entitled to appointed counsel at the trial level and a right of appeal is provided. This principle was developed in criminal cases but it applies to other disputes involving matters of such a fundamental nature as to require appointment of counsel at the trial level, such as juvenile delinquency proceedings and proceedings concerning possible permanent deprivation of parental rights.... Where issues of a less fundamental nature are involved, the right to pursue remedies at public expense is considerably more limited.
In re Lewis, 88 Wash.2d 556, 564 P.2d 328, 329-30 (1977), overruled on other grounds by Grove v. State, 127 Wash.2d
The United States Supreme Court has specifically declined to discourage those States that have, as a matter of legislative choice, made counsel available to litigants at all stages of judicial review. See Ross, 417 U.S. at 618, 94 S.Ct. at 2447-48. Nevertheless, our General Assembly has created no such statutory right, outside of the criminal context. See Tyler v. Garrison, 120 Va. 697, 697, 91 S.E. 749, 749 (1917) (“This day came again the parties, by counsel, and the court having maturely considered the transcript of the record of the judgment aforesaid and argument of counsel, is of opinion that section 3538 of the Code of Virginia [ (now Code § 17.1-606) ] does not apply to appellate proceedings.”). See also Dodson v. Director, Dept. of Corrections, 233 Va. 303, 309, 355 S.E.2d 573, 577 (1987) (holding that Code § 19.2-157 provides an indigent person charged with the commission of a crime punishable by death or imprisonment is entitled to counsel throughout the appellate process). Accordingly, we must consider the nature of the case below, as well as the nature of the appeal and the apparent due process and equal protection concerns, in order to determine whether denial of Krieger’s motion for court-appointed counsel on appeal would effectively “bolt the door to equal justice.” M.L.B., 519 U.S. at 110, 117 S.Ct. at 560.
We first note that the “labels affixed to the [contempt] proceeding or the relief imposed under state law ... are not controlling and will not be allowed to defeat the applicable protections of federal constitutional law.” Hicks v. Feiock, 485 U.S. 624, 631, 108 S.Ct. 1423, 1429, 99 L.Ed.2d 721 (1988). Thus, the fact that the trial court in this instance labeled Krieger’s contempt proceeding as “civil” is of no moment, and we must first make a threshold determination concerning the nature of the proceeding in order to further
The question of how a court determines whether to classify the relief imposed in a given proceeding as civil or criminal in nature, for the purposes of applying the Due Process Clause and other provisions of the Constitution, is one of long standing, and its principles have been settled at least in their broad outlines for many decades.
Id.
[T]he critical features are the substance of the proceeding and the character of the relief that the proceeding will afford. “If it is for civil contempt the punishment is remedial, and for the benefit of the complainant. But if it is for criminal contempt the sentence is punitive, to vindicate the authority of the court.” Gompers v. Bucks Stove & Range Co., 221 U.S. 418, 441, 31 S.Ct. 492, 498, 55 L.Ed. 797 (1911). The character of the relief imposed is thus ascertainable by applying a few straightforward rules. If the relief provided is a sentence of imprisonment, it is remedial if “the defendant stands committed unless and until he performs the affirmative act required by the court’s order,” and is punitive if “the sentence is limited to imprisonment for a definite period.” Id. at 442, 31 S.Ct. at 498.
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“The distinction between refusing to do an act commanded,—remedied by imprisonment until the party performs the required act; and doing an act forbidden,—punished by imprisonment for a definite term; is sound in principle, and generally, if not universally, affords a test by which to determine the character of the punishment.” Gompers, 221 U.S. at 443, 31 S.Ct. at 499. In the former instance, the*581 conditional nature of the punishment renders the relief civil in nature because the contemnor “can end the sentence and discharge himself at any moment by doing what he had previously refused to do.” Id. [] at 442, 31 S.Ct. at 498. In the latter instance, the unconditional nature of the punishment renders the relief criminal in nature because the relief “cannot undue or remedy what has been done nor afford any compensation” and the contemnor “cannot shorten the term by promising not to repeat the offense.” [Id.]
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Any sentence “must be viewed as remedial,” and hence civil in nature, “if the court conditions release upon the contemnor’s willingness to [comply with the order].” Shillitani v. United States, 384 U.S. 364, 370, 86 S.Ct. 1531, 1535, 16 L.Ed.2d 622 (1966). By the same token, in a civil proceeding the court “may also impose a determinate sentence which includes a purge clause.” Id.[ ] at 370, n. 6, 86 S.Ct. at 1536 n. 6 (emphasis added). “On the contrary, a criminal contempt proceeding would be characterized by the imposition of an unconditional sentence for punishment or deterrence.” Id.[ ] at 370, n. 5, 86 S.Ct. at 1535 n. 5.
Id. at 634-35, 108 S.Ct. at 1431.
“The civil contemnor thus[,] ‘ “carries the keys of his prison in his own pocket[.]” ’ At any moment, ‘[h]e can end the sentence and discharge himself ... by doing what he had previously refused to do.’ ” International Union, United Mine Workers v. Bagwell, 512 U.S. 821, 844, 114 S.Ct. 2552, 2566, 129 L.Ed.2d 642 (1994) (Rehnquist, C.J., and Ginsburg, J., concurring in part and concurring in judgment) (quoting Gompers, 221 U.S. at 442, 31 S.Ct. at 498 (quoting In re Nevitt, 117 F. 448, 451 (8th Cir. 1902))). In addition, “the fact that a contemnor has his sentence suspended and is placed on probation cannot be decisive in defining the civil or criminal nature of the relief, for many convicted criminals are treated in exactly this manner for the purpose (among others) of influencing their behavior.” Hicks, 485 U.S. at 637, 108 S.Ct. at 1432. However, “[a] suspended sentence with a term of
Accordingly, although the relief imposed here was a determinate sentence, the court included a purge clause that would free Krieger from any further obligation to the court.
[t]he Fourteenth Amendment “does not require absolute equality or precisely equal advantages,” San Antonio Independent School District v. Rodriguez, 411 U.S. 1, 24, 93 S.Ct. 1278, 1291, 36 L.Ed.2d 16 (1973), nor does it require the State to “equalize economic conditions.” Griffin v. Illinois, 351 U.S. [12, 23, 76 S.Ct. 585, 592, 100 L.Ed. 891 (1956) ] (Frankfurter, J., concurring).... [However,] [t]he State cannot adopt procedures which leave an indigent defendant “entirely cut off from any appeal at all,” by virtue of his indigency, Lane v. Brown, 372 U.S. [477, 481, 83 S.Ct. 768, 771, 9 L.Ed.2d 892 (1963),] or extend to such indigent defendants merely a “meaningless ritual” while others in better economic circumstances have a “meaningful appeal.” Douglas, [372 U.S.] at 358[, 83 S.Ct. at 817].
Ross, 417 U.S. at 612, 94 S.Ct. at 2445 (holding, in the criminal context, where a criminal defendant, who has been brought before the court at the instance of the State, is provided with counsel at trial and on appeals as of right, there is no constitutional requirement that he also be provided with coun
We find no such concern here. The right to appeal in Virginia is equally available to all persons, as it was to Krieger in this case. Further, there is no invidious discrimination in the appellate procedure. Cf. Rinaldi v. Yeager, Warden, 384 U.S. 305, 310-11, 86 S.Ct. 1497, 1500-01, 16 L.Ed.2d 577 (1966). This is true irrespective of the fact that some potential appellants may be able to afford counsel while others, such as Krieger, may not. See Aiello v. Commissioner of Public Welfare, 358 Mass. 91, 260 N.E.2d 662, 663 (1970).
Thus, nothing in the record before us suggests that Krieger has been, or may be, denied equal access to a meaningful appeal. Therefore, as Krieger would be “denied no right secured by the Federal Constitution” if no court-appointed counsel is appointed to him for purposes of obtaining appellate review, we find that Krieger is not entitled to court-appointed counsel for purposes of his appeal of the civil contempt finding and resulting sentence.
In light of this holding, we also find that Krieger is not entitled to transcripts on appeal at the expense of the Commonwealth. See M.L.B., 519 U.S. at 120-21, 117 S.Ct. at 566 (noting that the Court’s decisions concerning access to judicial processes, including access to transcripts, reflect both equal protection and due process concerns invoking a necessary case-by-case analysis of the character and intensity of the individual interest at stake, on the one hand, and the State’s justification for its exaction, on the other).
Motion denied.
. Krieger's appellate counsel represented him pro bono on appeal to address only these issues.
. Code § 17.1-606 provides as follows:
Any person, who is a resident of this Commonwealth, and on account of his poverty is unable to pay fees or costs may be allowed by a court to sue or defend a suit therein, without paying fees or costs; whereupon he shall have, from any counsel whom the court may assign him, and from all officers, all needful services and process, without any fees, except what may be included in the costs recovered from the opposite party.
. The dissent devotes a significant portion of its analysis to the idea that the Mathews balancing test is inappropriately applied in cases such as the case at bar. However, the dissent’s opinion in this regard is based upon the faulty premise that the proceeding at issue carries with it an absolute right to court-appointed counsel. See Lassiter, 452 U.S. at 26-27, 101 S.Ct. at 2159-60 ("We must balance [the Mathews ] elements against each other, and then set their net weight in the scales against the presumption that there is a right to appointed counsel only where the indigent, if he is unsuccessful, may lose his personal freedom.”).
. Nevertheless, we recognize that the matter at issue concerns an appeal as of right, not a discretionary appeal.
. Thus, contrary to the suggestion made by the dissent, we most certainly recognize that "the ... label of the proceeding does not dispose of the question before us.” Indeed, the very nature of the proceeding and the resulting relief must be discerned-especially in cases of contempt, where the line between civil and criminal penalties has become increasingly blurred-in order to determine the proper applicability of federal constitutional protections. See Hicks, 485 U.S. at 630-31, 108 S.Ct. at 1428-29.
. We do not address the situation of a contemnor who raises the defense of impossibility of performance with regard to the ability to purge the contempt.
. The dissent recognizes the "label” of the proceeding at issue as civil, but contends that a "civil contemnor facing the potential of incarceration has a right to appointed counsel at trial that is absolute unless waived.” This premise necessarily rejects the notion of stare decisis.
The United States Supreme Court has specifically held that "the fact that the outcome of a proceeding may result in loss of liberty does not by itself ... mean that the Sixth Amendment’s guarantee of counsel is applicable.” Middendorf v. Henry, 425 U.S. 25, 35, 96 S.Ct. 1281, 1287, 47 L.Ed.2d 556 (1976). Nevertheless, the dissent, relying chiefly upon the Court's decisions in Argersinger and Lassiter, opines that where any indigent litigant faces a potential threat of imprisonment, due process requires a per se right to appointed counsel. However, the dissent ignores relevant Supreme Court precedent.
In the recent decision of Alabama v. Shelton, - U.S. -, 122 S.Ct. 1764, 152 L.Ed.2d 888 (2002) (5-4 decision), a case involving an uncounseled criminal misdemeanant, convicted and placed on a suspended sentence with probation, the Supreme Court seemingly rejected its explicit holdings in Argersinger and Scott v. Illinois, 440 U.S. 367, 99 S.Ct. 1158, 59 L.Ed.2d 383 (1979), drawing "actual imprisonment” as the line defining the constitutional right to counsel, by holding that "a suspended sentence that may end up in the actual deprivation of a person[’]s liberty may not be imposed unless the defendant was accorded the guiding hand of counsel....”- U.S. at -, 122 S.Ct. at 1767. However, the Court’s decision in this regard did not reject its longstanding general rule that “as a litigant’s interest in personal liberty diminishes, so does his right to appointed counsel.” Lassiter, 452 U.S. at 26, 101 S.Ct. at 2159.
Indeed, subsequent to Argersinger, Scott, Lassiter, and In re Gault, the Supreme Court decided Hides, a decision not addressed by the Court in Alabama v. Shelton and ignored by the dissent, which importantly holds
Moreover, the Court in Hicks, true to its subsequent decision in Alabama v. Shelton, specifically held that in cases of contempt where a contemnor is given a determinate suspended sentence and placed on probation, the remedy would be considered criminal in nature, and not civil. Hicks, 485 U.S. at 639 n. 11, 108 S.Ct. at 1434 n. 11. The Court reasoned that:
a suspended sentence, without more, remains a determinate sentence, and a fixed term of probation is itself a punishment that is criminal in nature. A suspended sentence with a term of probation is not equivalent to a conditional sentence that would allow the contemnor to avoid or purge these sanctions. A determinate term of probation puts the contemnor under numerous disabilities that he cannot escape by complying with the dictates of the prior orders, such as ... the term of probation may be revoked and the original sentence (including incarceration) may be reimposed at any time for a variety of reasons without all the safeguards that are ordinarily afforded in criminal proceedings.
Id.
Accordingly, to accept the dissent’s rationale would be to render meaningless the careful distinctions made in the Supreme Court's opinion in Hicks. The dissent suggests that, whether an indigent litigant was sentenced to incarceration, which could be purged, or whether he was sentenced to a fixed term of incarceration, is a distinction without a difference. In both instances, the litigant would be constitutionally entitled to court-appointed counsel. This per se approach has been considered by the Court and expressly rejected as required by the Constitution. Id. See also Gagnon v. Scarpelli, 411 U.S. 778, 787, 93 S.Ct. 1756, 1762, 36 L.Ed.2d 656 (1973) ("While ... a [per se] rule has the appeal of simplicity, it would impose direct costs and
Reference
- Full Case Name
- Arthur C. KRIEGER, II v. COMMONWEALTH of Virginia
- Cited By
- 11 cases
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- Published