NAPD Policy on Active Supervision Policy on... · 2020. 10. 16. · NAPD Policy on active supervision of the representation of clients: All public defense systems - full-time, assigned

_____________________________________________________________________________________NAPDPolicyonactivesupervisionoftherepresentationofclients:Allpublicdefensesystems-full-time,assignedcounsel,contract-mustactivelysuperviseperformancetoensureclientsareproperlyrepresented(2020)

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NAPDPolicyonActiveSupervisionoftheRepresentationofClients

Allpublicdefensesystems-full-time,assignedcounsel,contract-mustactivelysuperviseperformancetoensureclientsareproperlyrepresented

(approvedbytheNAPDSteeringCommitteeonOctober15,2020)

Effectivesupervisionprovidesthesafetynetforclientsandsystems.Thispolicysetsastandardofsupervisionthatexpandsonthe2017NAPDFoundationalPrinciple7:AppropriateSupervisionofAllPublicDefenseLawyersandOtherPublicDefenseProfessionalsIsEssential.

ThispolicybeginswiththeexpandedStandardfollowedbyCommentarywhichexplainsthatallpublicdefensesystems-full-time,assignedcounsel,contract-mustactivelysuperviseperformancetoensureclientsareproperlyrepresented,andthispolicyaddresses:

▪ Markersofmeaningfulrepresentation:nationalpracticestandardsandethicalnorms▪ Activesupervisionasanethicalimperative▪ Trainingasvitalforqualityrepresentation▪ Datacollectionandreviewareessentialforsystematicclient-centeredrepresentation▪ Client-centeredtheoryofsupervisionwhichimplementstheguidelinesofpractice▪ Reducedcaseloadsforsupervisorsandaminimumofonesupervisorforevery10

lawyers▪ Managementofassignedcounselandpublicdefensedeliverymethods▪ Inconclusion:assistdefendersinhelpingclients

TheStandard

Publicdefenseprovidersmustprovideappropriateandconsistentsupervisionofalllawyers,andotherpublicdefensestafftoensurecompetentrepresentationofeachclientaccordingtonationalperformancestandardsandethicalrules.

Theobjectiveofsupervisionistoassurethatalldefenseservicesprovidedbylawyersare'competent'withinthemeaningofrulesofprofessionalconductand'effective'pursuanttoprevailingprofessionalstandards.


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Supervisionshoulddetermineifsufficienttime,thought,andresourcesarebeingdevotedtoawidevarietyofdefensetasks,suchasinterviewingandcounselingclients;securingpretrialreleaseofincarceratedclients;completionoffactinvestigationspriortoformulatingrecommendationsaboutpleaagreements;formalandinformaldiscovery,engaginginvigorousmotionpractice,strategicformulationofadefensetheory;preparationforpretrialhearings,trials,andsentencingproceedings,responsibilitiesfordirectappealsandcollateralattacksconsistentwiththetheoryofdefense.Supervisorsshouldconsiderwhethertherearetechnologicaladvancesavailabletoassistwiththesetasksandobligations,andifso,howtheyshouldbeincorporated.

Supervisionshouldincludeappropriatetrainingandmentoring,inandoutofcourt,alongwithongoingtrainingandeducationofallstaff.

Supervisionincludesensuringawarenessoftheobligationsofstaffatalllevelsincludingthesupervisorhim/herself.

Supervisionshouldalsoincludecontinuousmonitoringoflawyerworkloadstoassurethatthatthereisadequatetimeforcounseltoperformallessentialtasksofdefenserepresentation,andthatthosetasksare,infact,beingcompleted.

Publicdefensesystemsshouldhavepoliciesthatprovideforactiveandconsistentsupervision.

Supervisorsshouldhavereducedcaseloadstoallowforsupervision.

Supervisorsmustregularlyreviewcaseandperformanceinformation.

Publicdefensesystemsandsupervisorsmustensurethatstaffareproperlytrained.

Publicdefensesystemsshouldprovideonesupervisorforevery10lawyers,ataminimum.

Introduction

Client-centeredsupervisionisaprimaryvalueofpublicdefense.AsspecifiedintheNAPD2017FoundationalPrinciples,Principle7:“AppropriateSupervisionofAllPublicDefenseLawyersandOtherPublicDefenseProfessionalsIsEssential.”1Becauseactivesupervisionisindispensable,wefurtherdescribeandexpandonthisnecessaryprovisionofclient-centeredpractice.1“Principle7:AppropriateSupervisionofAllPublicDefenseLawyersandOtherPublicDefenseProfessionalsIsEssential.Publicdefenseprovidersmustprovideregularandtimelysupervisionasneededofalllawyersandotherprofessionals.Theobjectiveofsupervisionistoassurethatalldefenseservicesprovidedbylawyersarecompetentwithinthemeaningofrulesofprofessionalconductandeffectivepursuanttoprevailingprofessionalstandards.Accordingly,supervisionshoulddetermineifsufficienttime,thought,andresourcesarebeingdevotedtoawidevarietyofdefensetasks,suchasinterviewingandcounselingofclients,securingpretrialreleaseofincarceratedclients,completionoffactinvestigationspriortoformulatingrecommendationsaboutpleaagreements,formalandinformaldiscoveryisconducted,andpreparationforpretrialhearings,trials,andsentencingproceedings.


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Asscholarshavewritten,“Alackofsupervisionofdefendersimpairsthequalityofrepresentationaffordedpoordefendants,asdoesthefailuretoevaluatecounseltoensurethatthelawyer'straining,experience,andabilityappropriatelymatchthecomplexityofthecasesassigned.”2Activesupervisionisakeymethodtoensuremeaningfulrepresentationandcompliancewithnationalperformancestandardsandethicalrules.TheABATenPrinciplesofaPublicDefenseDeliverySystemState(2002):“Defensecounselissupervisedandsystematicallyreviewedforqualityandefficiencyaccordingtonationallyandlocallyadoptedstandards.”3TheABAEightGuidelinesofPublicDefenseRelatedtoExcessiveWorkloads(2009)emphasizetheneedforsupervision:“ThePublicDefenseProviderhasasupervisionprogramthatcontinuouslymonitorstheworkloadsofitslawyerstoassurethatallessentialtasksonbehalfofclients,suchasthosespecifiedinGuideline1,areperformed.”4Supervisionshouldbesystematicandsupportedbypoliciesthatclearlydescriberesponsibilitiesofthesupervisorandthestaff.5Thesupervisionmustbedoneforallattorneysandstaffrepresentingclients,includingcontractandassignedcounseldeliverymodels.Thesupervisionmustbeaccompaniedbyrobusttrainingandreporting.TheABATenPrinciplesofaPublicDefenseDeliverySystem(2002),recognizesregularsupervisionasoneofthe“fundamentalcriterianecessarytodesignasystemthatprovideseffective,efficient,highquality,ethical,conflict-freelegalrepresentationforcriminaldefendantswhoareunabletoaffordanattorney.”Principle10‘sCommentaryisclearthatassignedcounselandcontractorsdoingpublicdefenseworkmustbesupervised.“Defensecounselissupervisedandsystematicallyreviewedforqualityandefficiencyaccordingtonationallyandlocallyadoptedstandards.Thedefenderoffice(bothprofessionalandsupport

Supervisionshouldalsoincludecontinuousmonitoringoflawyerworkloadstoassurethatallessentialtasksofdefenserepresentationarebeingcompleted.NationalAssociationforPublicDefenseFoundationalPrinciples(2017),”foundat:https://www.publicdefenders.us/files/NAPD%20Foundational%20Principles_FINAL_March%2016%202017(1).pdfSeealsodiscussionofsupervisioninNAPDPolicyStatementonPublicDefenseStaffing:Staffsupportingpublicdefensecounselmustbeadequateformeaningfulrepresentation(2020),foundat:https://www.publicdefenders.us/files/NAPD_Policy%20Statement%20on%20Public%20Defense%20Staffing.pdf2MarySueBackus&PaulMarcus,TheRighttoCounselinCriminalCases,ANationalCrisis,57HastingsL.J.1031,1090(2006).3Foundat:https://www.americanbar.org/content/dam/aba/administrative/legal_aid_indigent_defendants/ls_sclaid_def_tenprinciplesbooklet.authcheckdam.pdf4Availableathttps://pdc.idaho.gov/wp-content/uploads/sites/11/2016/06/ABAEightGuidelinesofPublicDefenseRelatedtoExcessiveWorkloads.pdf.5OneexampleoflegalservicespolicyisSupervisionandAttorneyEvaluationGuidelinesforForidaRegionVILegalServicesPrograms,foundat:https://www.lsc.gov/sites/default/files/attach/resources/ManagementSupervision-FloridaLegalAid-SupervisionAttorneyEvaluationGuidelines.pdf


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staff),assignedcounsel,orcontractdefendersshouldbesupervisedandperiodicallyevaluatedforcompetenceandefficiency.”6Markersofmeaningfulrepresentation:nationalpracticestandardsandethicalnormsTherighttocounselentitlesaclienttoeffectiveassistanceofcounsel.Tohavemeaningfuldefenserepresentation,thedefensemustputtheprosecution’scasethroughthe“crucibleofmeaningfuladversarialtesting.”UnitedStatesv.Cronic,466U.S.648,656-57(1984).Therearecleartraditionalmarkersofmeaningfulrepresentation.Theyinclude:

▪ Promptlymeetingwithandinterviewingtheclient▪ Continuouslycommunicatingwiththeclient▪ Seekingtohavethejudicialappointmentdecisionmadeatfirstappearancepriortothe

considerationofpretrialrelease▪ Seekingappropriatepretrialreleasefortheclient▪ Investigatingthecasebeforeanyrecommendationonplea▪ Procuringexpertanalysisandintegratingexpertsintothecasetestimonyasnecessary7▪ Obtainingandreviewingdiscovery▪ Conductingappropriatelegalresearch▪ Creatingthetheoryofthecase▪ Filingandarguingmotionsandconductingevidentiaryhearingsasappropriateand

respondtoprosecutormotions8▪ Communicatingwiththejudgeandprosecutorwithappropriatenegotiationwiththe

prosecutor▪ Creatingsentencingplans9

6Foundat:https://www.americanbar.org/content/dam/aba/administrative/legal_aid_indigent_defendants/ls_sclaid_def_tenprinciplesbooklet.authcheckdam.pdf7See,e.g.,Chapter11“IntegratingExpertsintotheCase:AStepwiseProcess,”MonahanandClark,TelltheClientsStory:MitigationinCriminalandDeathPenaltyCases(2017).8Criminaldefenselawyersarerequiredtolitigatethroughmotionpractice“wheneverthereexistsagood-faithreasontobelievethattheapplicablelawmayentitlethedefendanttoreliefwhichthecourthasdiscretiontogrant.”NLADAPerformanceGuidelinesforCriminalDefenseRepresentation,Guideline5.1TheDecisiontoFilePretrialMotions.Thisincludes“thesuppressionofevidencegatheredastheresultofviolationsoftheFourth,FifthorSixthAmendmentstotheUnitedStatesConstitution,orcorrespondingoradditionalstateconstitutionalprovisions,….”Evidentiaryhearingsonmotionstosuppressthatarebasedoninvestigationofthelawandfactsareaprimarytoolcriminaldefenselawyershavetochallengethelegitimacyofaclient’schargeanditsdegree.Attorneyswhohaveanaggressivesuppressionmotionpracticeachievebetteroutcomesformoreclients.9NLADAPerformanceGuidelinesforCriminalDefenseRepresentation,Guideline8.1ObligationsofCounselinSentencing,states”(a)Amongcounsel’sobligationsinthesentencingprocessare:(1)whereadefendantchoosesnottoproceedtotrial,toensurethatapleaagreementisnegotiatedwithconsiderationofthesentencing,correctional,andfinancialimplications;(2)toensuretheclientisnotharmedbyinaccurateinformationorinformationthatisnotproperlybeforethecourtindeterminingthesentencetobeimposed;(3)toensureallreasonablyavailablemitigatingandfavorableinformation,whichislikelytobenefittheclient,ispresentedtothecourt;(4)todevelopaplanwhichseekstoachievetheleastrestrictiveandburdensomesentencingalternative


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§ AddressingPadillavKentucky,559U.S.356(2010)10andtheimpactonimmigrationstatusofanyadmissionsandofaconviction

§ Addressingothernumerousconsequencesofanyadmissionsandofaconvictionincludinghousing,employment,licensingnecessaryforemployment,medicalassistance,custody,underlyingissuesofmentalillnessoraddiction,studentloans,expungement,gunownership

▪ Addressingthevariousconsequences,includingtheimpactonimmigrationstatus,ofanyadmissionsandofaconviction

▪ Tryingcasesasdesiredbytheclients.11

Thesedutiesarereflectedinnationalstandardsofpracticeandinethicalrules.TheAmericanBarAssociationCriminalJusticeStandards,DefenseFunction(4thed.2015),providebestpracticesforlitigators.12Indeterminingprevailingprofessionalnorms,theUnitedStatesSupremeCourthasreliedonABAStandards.13AnillustrationoftheABAStandards’dutiesofcounsel:

Standard4-1.3ContinuingDutiesofDefenseCounselSomedutiesofdefensecounselrunthroughouttheperiodofrepresentation,andevenbeyond.Defensecounselshouldconsidertheimpactofthesedutiesatallstagesofacriminalrepresentationandonalldecisionsandactionsthatariseinthecourseofperformingthedefensefunction.Thesedutiesinclude:(a)adutyofconfidentialityregardinginformationrelevanttotheclient’srepresentationwhichdutycontinuesaftertherepresentationends;(b)adutyofloyaltytowardtheclient;(c)adutyofcandortowardthecourtandothers,temperedbythedutiesofconfidentialityandloyalty;

thatismostacceptabletotheclient,andwhichcanreasonablybeobtainedbasedonthefactsandcircumstancesoftheoffense,thedefendant’sbackground,theapplicablesentencingprovisions,andotherinformationpertinenttothesentencingdecision;(5)toensureallinformationpresentedtothecourtwhichmayharmtheclientandwhichisnotshowntobeaccurateandtruthfulorisotherwiseimproperisstrickenfromthetextofthepresentenceinvestigationreportbeforedistributionofthereport;(6)toconsidertheneedforandavailabilityofsentencingspecialists,andtoseektheassistanceofsuchspecialistswheneverpossibleandwarranted.”10Padillastates,the“negotiationofapleabargainisacriticalphaseoflitigationforpurposesoftheSixthAmendmentrighttoeffectiveassistanceofcounsel.Hill,474U.S.,at57;seealsoRichardson,397U.S.,at770–771.Theseverityofdeportation—'theequivalentofbanishmentorexile,’Delgadillov.Carmichael,332U.S.388,390–391(1947)—onlyunderscoreshowcriticalitisforcounseltoinformhernoncitizenclientthathefacesariskofdeportation.”11Ashasbeenobserved,no“hardandfastnumberofpretrialmotionsortrialsisexpected,butwhenthenumberofcasesgoingtotrialisbothincrediblysmall(inabsoluteandcomparativeterms)andwildlyoutoflinewiththenumberoftrialsthatoccurredinnearby(andsometimesoverlapping)jurisdictions,itmaybe,andinthiscaseis,asignofadeepersystemicproblem.”UnitedStatesDistrictCourt,WesternDistrictofWashingtonatSeattle.MemorandumofDecisioninWilburv.MountVernon,No.C11-1100RSL(December4,2013)atp.7.12Foundat:https://www.americanbar.org/groups/criminal_justice/standards/DefenseFunctionFourthEdition/13E.g.Padilliav.Kentucky,559U.S.356(2010)“Welonghaverecognizedthat‘[p]revailingnormsofpracticeasreflectedinAmericanBarAssociationstandardsandthelike…areguidestodeterminingwhatisreasonable….’”


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(d)adutytocommunicateandkeeptheclientinformedandadvisedofsignificantdevelopmentsandpotentialoptionsandoutcomes;(e)adutytobewell-informedregardingthelegaloptionsanddevelopmentsthatcanaffectaclient’sinterestsduringacriminalrepresentation;(f)adutytocontinuallyevaluatetheimpactthateachdecisionoractionmayhaveatlaterstages,includingtrial,sentencing,andpost-convictionreview;(g)adutytobeopentopossiblenegotiateddispositionsofthematter,includingthepossiblebenefitsanddisadvantagesofcooperatingwiththeprosecution;(h)adutytoconsiderthecollateralconsequencesofdecisionsandactions,includingbutnotlimitedtothecollateralconsequencesofconviction.

TheNLADAPerformanceGuidelinesforCriminalDefenseRepresentation(1994)“provideguidancetocriminaldefenseattorneys(byidentifyingpotentialoptions,actions,andrelevantconsiderations)forthepurposeofensuringthatalldefendantsreceivethezealousandqualityrepresentationthatshouldbetheirright.”14Oneexample,outliningthecriticaldutytoinvestigate,indicateshowtheseGuidelinesinformpractice:

Guideline4.1Investigation(a)Counselhasadutytoconductanindependentinvestigationregardlessoftheaccused’sadmissionsorstatementstothelawyeroffactsconstitutingguilt.Theinvestigationshouldbeconductedaspromptlyaspossible.(b)Sourcesofinvestigativeinformationmayincludethefollowing:(1)chargingdocumentsCopiesofallchargingdocumentsinthecaseshouldbeobtainedandexaminedtodeterminethespecificchargesthathavebeenbroughtagainsttheaccused.Therelevantstatutesandprecedentsshouldbeexaminedtoidentify:(A)theelementsoftheoffense(s)withwhichtheaccusedischarged;(B)thedefenses,ordinaryandaffirmative,thatmaybeavailable;(C)anydefectsinthechargingdocuments,constitutionalorotherwise,suchasstatuteoflimitationsordoublejeopardy.(2)theaccusedIfnotpreviouslyconducted,anin-depthinterviewoftheclientshouldbeconductedassoonaspossibleandappropriateafterappointmentorretentionofcounsel.Theinterviewwiththeclientshouldbeusedto:(A)seekinformationconcerningtheincidentoreventsgivingrisetothecharge(s)orimproperpoliceinvestigativepracticesorprosecutorialconductwhichaffectstheclient’srights;

14NLADAPerformanceGuidelinesforCriminalDefenseRepresentation(1994),Introduction,p.xi,foundat:http://www.nlada.org/defender-standards/performance-guidelinesFordeathpenaltycases,seeABAGuidelinesfortheAppointmentandPerformanceofDefenseCounselinDeathPenaltyCases(2003),foundat:https://www.americanbar.org/groups/committees/death_penalty_representation/resources/aba_guidelines/2003-guidelines/andSupplementaryGuidelinesfortheMitigationFunctionofDefenseTeamsinDeathPenaltyCases(2008),foundat:https://www.in.gov/ipdc/files/2008%20Supplemental%20Guidelines.pdf


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(B)exploretheexistenceofotherpotentialsourcesofinformationrelatingtotheoffense;(C)collectinformationrelevanttosentencing.15(3)potentialwitnessesCounselshouldconsiderwhethertointerviewthepotentialwitnesses,includinganycomplainingwitnessesandothersadversetotheaccused.Iftheattorneyconductssuchinterviewsofpotentialwitnesses,heorsheshouldattempttodosointhepresenceofathirdpersonwhowillbeavailable,ifnecessary,totestifyasadefensewitnessattrial.Alternatively,counselshouldhaveaninvestigatorconductsuchinterviews.16(4)thepoliceandprosecutionCounselshouldmakeeffortstosecureinformationinthepossessionoftheprosecutionorlawenforcementauthorities,includingpolicereports.Wherenecessary,counselshouldpursuesucheffortsthroughformalandinformaldiscoveryunlessasoundtacticalreasonexistsfornotdoingso.17(5)physicalevidenceWhereappropriate,counselshouldmakeapromptrequesttothepoliceorinvestigativeagencyforanyphysicalevidenceorexpertreportsrelevanttotheoffenseorsentencing.18(6)thesceneWhereappropriate,counselshouldattempttoviewthesceneoftheallegedoffense.Thisshouldbedoneundercircumstancesassimilaraspossibletothoseexistingatthetimeoftheallegedincident(e.g.,weather,timeofday,andlightingconditions).(7)expertassistanceCounselshouldsecuretheassistanceofexpertswhereitisnecessaryorappropriateto:(A)thepreparationofthedefense;(B)adequateunderstandingoftheprosecution’scase;(C)rebuttheprosecution’scase.

Justasnationalstandardsofpracticerequireparticularconduct,nationalethicalrulesrequireparticularconductofeveryattorney.TheAmericanBarAssociationModelRulesofProfessionalConductdescribemandatoryethicalresponsibilitiesofalawyer.19Theseresponsibilitiesaresubstantial.

15Additionally,ascertainimmigrationstatustoexplorepotentialcollateralconsequences.16Ideallyadefenseattorneyshouldalwayshaveaninvestigatoravailabletointerviewwitnessesatanystageofthecase.Thatshouldbethestandardwhenpossible.Itcanbeabigmistakefordefenseattorneystomakethemselveswitnessestoanythinginacase.17Thereshouldbeongoingdiscoveryanddiscoveryrequestedandreceivedshouldbedocumentedintherecord.18Preservationofevidenceshouldberequested.19ABAModelRulesofProfessionalConduct,foundat:https://www.americanbar.org/groups/professional_responsibility/publications/model_rules_of_professional_conduct/model_rules_of_professional_conduct_table_of_contents/


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Competent,20diligent21representationofaclientrequirestimelycommunication,22ensuringconfidentiality,23maintenanceoftheknowledgeandskillsnecessaryforthecompetentrepresentationofeachclient,avoidanceofconflictsofinterests,24andcontrolofworkloadtobeabletoperformtheseprofessionalresponsibilitiesforeveryclient.25Thelawyermustexerciseindependentprofessionaljudgmentandprovidecandidadvice.26Alawyermustadvancetheclient'sobjectivesandthelawyermustconsultwiththeclientastothemeansofimplementation.27Ethicalrulesincludetheobligationtostaycurrentonthelaw.“Tomaintaintherequisiteknowledgeandskill,alawyershouldkeepabreastofchangesinthelawanditspractice,includingthebenefitsandrisksassociatedwithrelevanttechnology,engageincontinuingstudyandeducationandcomplywithallcontinuinglegaleducationrequirementstowhichthelawyerissubject.”28Thesearesomeoftheethicalresponsibilities.Wehighlightseveralothers.Increasingly,representationofclientsisbeingdeliveredbyadefenseteamthatincludestheattorney,investigator,asocialworker,andwhenappropriate,amentalhealthprofessional.Thisteamapproachisprovingtoassistclientsbetteracrosstherangeofissuesinthecaseandthesubsequentconsequencesofaconviction.Whilethisteammethodofrepresentationprovidessubstantialbenefits,ithasaspectsthatthedefenseteamanditssupervisormustensureoccurethicallyandeffectively.Theremustbealeadattorneyoneachdefenseteamwhohasultimateresponsibilityforthecase.Theremustbeapolicyandpracticeconcerningassistants.A“lawyerhavingdirectsupervisoryauthorityoverthenonlawyershallmakereasonableeffortstoensurethattheperson'sconductiscompatiblewiththeprofessionalobligationsofthelawyer.”29Itisespeciallyimportanttoaddressreportingbyother20ABAModelRulesofProfessionalConduct,Rule1.1Competence“Alawyershallprovidecompetentrepresentationtoaclient.Competentrepresentationrequiresthelegalknowledge,skill,thoroughnessandpreparationreasonablynecessaryfortherepresentation.”21ABAModelRulesofProfessionalConduct,Rule1.3Diligence22ABAModelRulesofProfessionalConduct,Rule1.4Communication23ABAModelRulesofProfessionalConduct,Rule1.6:ConfidentialityofInformation24ABAModelRulesofProfessionalConduct,Rule1.7,ConflictofInterest:CurrentClients;seealso,NAPDFormalEthicsOpinion19-1Re:EthicsofConflictsImputationBetweenandWithinPublicDefenderOffices,foundat:https://www.publicdefenders.us/files/NAPD%20Ethics%20Opinion_19-1_FINAL.pdf25ABAModelRulesofProfessionalCond,Rule1.16,DecliningorTerminatingRepresentation26ABAModelRulesofProfessionalConduct,Rule2.1:Advisor27ABAModelRulesofProfessionalConduct,Rule1.2:ScopeofRepresentation&AllocationofAuthorityBetweenClient&Lawyer28ABAModelRulesofProfessionalConduct,Rule1.1,Competence,Commentary.29SeeABAModelRulesofProfessionalResponsibility,Rule5.3ResponsibilitiesRegardingNonlawyerAssistants;NAPDFormalEthicsOpinion14-1,Socialworkersandotherhealthcareprofessionalsmaynotreportchildorelderabusewithouttheexpresscontemporaneouspermissionofthelawyerforwhomtheyaredoingtheirwork;foundat:https://www.publicdefenders.us/files/NAPD_Formal_Ethics_Opinion_14-1.pdf


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professionals,suchassocialworkers,whoareworkingatthedirectionofanattorneybutwhoselicensemayrequirereportinginconsistentwithconfidentiality.30

Whenastaffmemberisonleaveorresignsresultingintemporaryorpermanentterminationofrepresentation,itistheresponsibilityofthePublicDefenseprogramanditsmanagerstoensurethatclientscontinuetoreceivehighqualityrepresentation.Thisrequiresactionsbythestaffmemberandthesupervisortoprotecttheclient.“Uponterminationofrepresentation,alawyershalltakestepstotheextentreasonablypracticabletoprotectaclient'sinterests,suchasgivingreasonablenoticetotheclient,allowingtimeforemploymentofothercounsel,surrenderingpapersandpropertytowhichtheclientisentitledandrefundinganyadvancepaymentoffeeorexpensethathasnotbeenearnedorincurred.Thelawyermayretainpapersrelatingtotheclienttotheextentpermittedbyotherlaw.”31Thesupervisorensurescomplianceforthesakeoftheclient.32ActivesupervisionasanethicalimperativeTheABAModelRulesspecificallyprovidethata“lawyerhavingdirectsupervisoryauthorityoveranotherlawyershallmakereasonableeffortstoensurethattheotherlawyerconformstotheRulesofProfessionalConduct.”33Thisethicalresponsibilityincludesthechiefdefenderandintermediatemanagers.34“Apartnerinalawfirm,andalawyerwhoindividually,ortogetherwithotherlawyers,possessescomparablemanagerialauthorityinalawfirm,shallmakereasonableeffortstoensurethatthefirmhasineffectmeasuresgivingreasonableassurancethatalllawyersinthefirmconformtotheRulesofProfessionalConduct.”35Chiefdefendersandintermediatemanagersareresponsibleforoneoftheirlawyers’violationsoftheModelRulesofProfessionalConductif:“(1)thelawyerordersor,withknowledgeofthespecificconduct,ratifiestheconductinvolved;or(2)thelawyerisapartnerorhascomparablemanagerialauthorityinthelawfirminwhichtheotherlawyerpractices,orhasdirectsupervisoryauthorityovertheotherlawyer,andknowsoftheconductatatimewhenitsconsequencescanbeavoidedormitigatedbutfailstotakereasonableremedialaction.”36TheCommenttoRule5.1indicatesthatpoliciesarerequiredtomeetthissupervisionresponsibility.Lawyers“withmanagerialauthoritywithinafirm[must]makereasonableeffortstoestablishinternalpoliciesandproceduresdesignedtoprovidereasonableassurancethatall30Id.31ABAModelRulesofProfessionalConduct,Rule1.16(d):DecliningorTerminatingRepresentation32Thisisonereasonwhysupervisorsensureintheirperformancereviewsthatfilesarecomplete,organizedandlegible.33ABAModelRulesofProfessionalConduct,Rule5.1(b):ResponsibilitiesofaPartnerorSupervisoryLawyer34SeeNormanLefstein,ABASCLAIDSecuringReasonableCaseloads:EthicsandLawinPublicDefense(2011),Chapter3A.Supervisionandmentoring,pp.56-60.35ABAModelRulesofProfessionalConduct,Rule5.1(a):ResponsibilitiesofaPartnerorSupervisoryLawyer36ABAModelRulesofProfessionalConduct,Rule5.1(c):ResponsibilitiesofaPartnerorSupervisoryLawyer


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lawyersinthefirmwillconformtotheRulesofProfessionalConduct.Suchpoliciesandproceduresincludethosedesignedtodetectandresolveconflictsofinterest,identifydatesbywhichactionsmustbetakeninpendingmatters,accountforclientfundsandpropertyandensurethatinexperiencedlawyersareproperlysupervised.”Thelargertheorganizationthemoreelaboratetheneedforpolicies.Supervisionpoliciesmustbeclient-centered.Theorganization’sframeworkmustincludevision,mission,andvaluesstatements.37Theseprovidedirectionforeverythingthathappensinanoffice.Theykeepeveryonefocusedonwheretheofficeisgoingandwhatitistryingtoachieve.Theydefinethecoreethicsoftheofficeandhowpeopleareexpectedtobehave.Theyguidedecisionsandbehaviorstoachievecommonclient-centeredends.Thecoreelementsofmission,visionandvaluesarekeytotheabilitytocommunicateclearlyandconsistentlywithclientsandstaff.38Ethicaltrainingisofferedasonepartofmeetingthisresponsibilityasthechiefdefender“maynotassumethatalllawyersassociatedwiththefirmwillinevitablyconformtotheRules.”39ThisrequirementwasanintegralpartofthereasoningofABAEthicsCommitteeFormalOpinion06-441.Supervisors“must,workingcloselywiththelawyerstheysupervise,monitortheworkloadofthesupervisedlawyerstoensurethattheworkloadsdonotexceedalevelthatmaybecompetentlyhandledbytheindividuallawyers.”40PublicDefenseprogramsshouldhavepoliciesonsupervision.“Afirm'sPrevention/SupervisoryProgramwouldalsooperatetoinformsupervisingattorneysoftheirspecificobligationsandareasofresponsibilitytoidentifiedsubordinateattorneys.Concretefirmpoliciesandprocedureswillreplacevaguenotionsofsupervisoryduties.Actualmethodsandproceduresfor37“Withouttheindividualfoundationsofstrongvaluesillustratedbyavisiontobeundertakenbyamission,anorganizationcannotbecomeanoverlysuccessfulorganization.Withoutdevelopingamission,vision,andvaluestoassistindevelopingastrategy,anorganizationcannotidentify,distinguishorexplainitselftoitsemployeesandcustomersalike.”JamesTallant,2009,ImportanceofVision,Mission,andValuesinStrategicDirection,Munich,GRINVerlag,https://www.grin.com/document/16725838“Themoreclearlyyoucanarticulateyourhigh-levelgoalsfromthestart,thelesstimeandresourcesyouwillspendontryingtofixpoorcommunication,alignment,employeeengagementandunwantedculturalbehaviorslater.Yourstrategicgoalsandtacticalplanswillbemorealigned,streamlinedandeasiertocommunicatetoyourstakeholders.”CellaConsulting,ThreeThingsYouCan’tDoWithoutMission,VisionandValuesStatements,https://www.cellaconsulting.com/blog/three-things-you-cant-do-without-mission-vision-and-values-statements/,February19,201339ABAModelRulesofProfessionalConduct,CommenttoRule5.140ABAEthicsCommitteeFormalOpinion06-441,EthicalObligationsofLawyersWhoRepresentIndigentCriminalDefendantsWhenExcessiveCaseloadsInterfereWithCompetentandDiligentRepresentation(May13,2006),foundat:https://pdc.idaho.gov/wp-content/uploads/sites/11/2016/06/ABAFormalOpinion06-441.pdfSupervisors“must,workingwiththelawyerstheysupervise,monitortheworkloadofthesubordinatelawyerstoensurethattheworkloadsarenotallowedtoexceedthatwhichmaybehandledbytheindividuallawyers.Ifasupervisorknowsthatasubordinate’sworkloadrendersthelawyerunabletoprovidecompetentanddiligentrepresentationandthesupervisorfailstotakereasonableremedialaction,thesupervisorisresponsibleforthesubordinate’sviolationoftheRulesofProfessionalConduct.”


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implementationbyindividualsupervisingattorneyswillresult.Thus,individualsupervisingattorneyswillknowwhatisexpectedofthemandhowtofulfillthefirm'sexpectationsforthesupervisionoftheirsubordinateattorneys.”41Atthesametime,eachlawyerhasethicalresponsibilitiesindependentofsupervision.42Anattorneylawyeris“boundbytheRulesofProfessionalConductnotwithstandingthatthelawyeractedatthedirectionofanotherperson.”43However,asubordinateattorney“doesnotviolatetheRulesofProfessionalConductifthatlawyeractsinaccordancewithasupervisorylawyer'sreasonableresolutionofanarguablequestionofprofessionalduty.”44SomeattorneysobjecttothesupervisoryprocessasimproperinterferencewiththeirprofessionalindependencerequiredbyRules2.1Advisorand5.4(3)(c)ProfessionalIndependenceofaLawyeroftheABARulesofProfessionalConductandPolkCo.v.Dodson,454U.S.312(1981).Contrarytothisconcern,theRulesencouragereviewbyotherprofessionalsandrequiresupervisorstoensuretheethicalperformanceoftheirattorneyemployeesandstaff.45Duetooverwork,publicdefensemanagersaresometimeslulledintothinkingthatthesesupervisionresponsibilitiesarediscretionaryornotrequiredbecauseasmanagerstheydonothavetimetodoalloftheirclientrepresentationwhichisafirstduty.However,the“…Rulesprovidenoexceptionforlawyerswhorepresentindigentpersonschargedwithcrimes.”46Infact,largeworkloadsofstaffattorneysrequiremore,notless,supervision,monitoring,andsupport.Supervisorscannotassignmoreworktoanattorneythantheattorneycancompetentlyhandle.47Thefailuretoprovidecompetentrepresentationbecauseofbeingassignedtoomuchworkisnotadefensetoanethicalviolation.48

41IrwinD.Miller,PreventingMisconductbyPromotingtheEthicsofAttorneys'SupervisoryDuties70NotreDameL.Rev.259,322(1994),foundat:https://scholarship.law.nd.edu/ndlr/vol70/iss2/242ABAModelRulesofProfessionalConduct,Rule5.2:ResponsibilitiesofaSubordinateLawyer43ABAModelRulesofProfessionalConduct,Rule5.2(a):ResponsibilitiesofaSubordinateLawyer44ABAModelRulesofProfessionalConduct,Rule5.2(b):ResponsibilitiesofaSubordinateLawyer45ABAModelRulesofProfessionalConduct,Rule5.1(b):ResponsibilitiesofaPartnerorSupervisoryLawyerAlawyerhavingdirectsupervisoryauthorityoveranotherlawyershallmakereasonableeffortstoensurethattheotherlawyerconformstotheRulesofProfessionalConduct.46ABAEthicsCommitteeFormalOpinion06-441,EthicalObligationsofLawyersWhoRepresentIndigentCriminalDefendantsWhenExcessiveCaseloadsInterfereWithCompetentandDiligentRepresentation(May13,2006).47ABAEthicsCommitteeFormalOpinion06-441,EthicalObligationsofLawyersWhoRepresentIndigentCriminalDefendantsWhenExcessiveCaseloadsInterfereWithCompetentandDiligentRepresentation(May13,2006),foundat:https://pdc.idaho.gov/wp-content/uploads/sites/11/2016/06/ABAFormalOpinion06-441.pdf48“Failuretoperformsuchbasicdutiesasresearchingthelaw,investigation,advisingtheclientonavailabledefenses,orotherpreparation,mayconstituteaconstitutionalviolation,Statev.Felton,329N.W.2d161(Wis.1983),orwarrantdisciplinarysanctions,OfficeofDisciplinaryCounselv.Henry,664S.W.2d62(Tenn.1983).IntheHenrycase,theattorneyhadacceptedemploymenttorepresentaclientwhowasunderindictmentforfirstdegreemurder.Theattorneyhadneverhandledamurdercasebefore,or,forthatmatter,anyfelony.Hedidnotassociateanyattorneywithhiminthedefense,nordidheevenconsultwithanotherattorney.Thecourt,inaffirmingtheattorney’stwoyearsuspensionforthisandotherproblems,notedthatthelawyer‘madelittle,orno,


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Ethicalruleshavebeenenforcedagainstsupervisinglawyerswhohavefailedtoensurecomplianceofstaffwithethicalrules.49Someexamplesofdisciplinefrompublicreprimandandsuspensiontodisbarmentarediscussed.

▪ Delegatingworktoanattorneydoesnotrelievethesupervisorofprofessionalresponsibilityandresultedindisbarment.50

▪ Asinkorswimapproachisnotanacceptablestrategy.Failuretoactivelysuperviseanattorneywhosebehaviorviolatestherulessubjectsasupervisortodiscipline.51

▪ Theremustbeasystematicmethodofreview,supportandguidance.52

investigationofthecrime,nordidhetalkwithpossiblewitnessesortoalibiwitnesses,normakeanyconcertedefforttotrytodiscoverthecasetheStatehadagainsthisclient.’Henry,664S.W.2d62,62-63.”RobertBoruchowitz,“EthicalPracticeWithLimitedResources,”WashingtonDefenderAssociationSeminar(December17,2004).Seealso,“Formerpublicdefenderdisbarred,accusedofenrichingselfatpoorclients'expense,”KenArmstrong,SeattleTimes(May8,2004)Lawyerwithexcessiveworkloadwhosolicitedmoneyfromhisindigentclientswasdisbarred;“MissouriPublicDefenderDisciplinedforNeglectingClients,”AssociatedPress(SEP12,2017).Lawyerplacedonprobationforayearafterfailingtoadequatelycommunicatewithsixclientsamidstexcessiveworkload,see:https://www.kbia.org/post/missouri-public-defender-disciplined-neglecting-clients#stream/0;Inre:KarlWilliamHinkebein,MissouriSupremeCourtdocket,foundat:https://www.courts.mo.gov/page.jsp?id=11518749Forafullerdiscussionoftheethicalresponsibilitiesofthesupervisorandthesubordinateattorney,seeIrwinD.Miller,PreventingMisconductbyPromotingtheEthicsofAttorneys'SupervisoryDuties70NotreDameL.Rev.259(1994),foundat:https://scholarship.law.nd.edu/ndlr/vol70/iss2/2;andChapter23EdMonahanandJamesClark,“CopingwithExcessiveWorkload,”EthicalProblemsFacingtheCriminalDefenseLawyer:PracticalAnswerstoToughQuestions(RodneyJ.UphoffEditor1995)“Forcedineffectivenessduetotoomuchworkisthemostperniciousrealityfacingdefenderstoday.Incompetentworkthatdoesnotmeetqualitystandards,evenonbehalfoftheguilty,underminestheintegrityofourcriminaljusticeprocessandthereliabilityofitsresults,whichnecessarilydependoneffectiveperformancebyprosecutor,judge,anddefender.”50InReWeston,442N.E.2d236(Ill.1982)anestatematterwasmishandledforthreeandahalfyears.Thesupervisingattorneyassignedthecasetoanassociateinhisofficewhobecamementallyillandwasarrested.Thesupervisingattorney’s“defensethathedidnotknowoftheproblems[causedbyhisassociate]untilitwastoolatesimplyisnotsupportable.Thiscourthasheldthat‘[a]nattorneycannotavoidhisprofessionalobligationstoaclientbythesimpledeviceofdelegatingworktoothers.’(InreAshbach(1958),13Ill.2d411,415.).”Thesupervisingattorneywasdisbarred.51InKBAv.Devers,936S.W.2d89,91(Ky1997)theCourtheldthat"…alawyerhavingdirectsupervisoryauthorityoveranotherlawyershallmakereasonableeffortstoensurethattheotherlawyerconformstotherulesofprofessionalconduct,"andsuspendedasupervisingattorneyfor3yearsfor,amongotherviolations,failingtomeetthisethicalsupervisionduty.52InMatterofYacavino,494A.2d801(N.J.1985)anattorneyemployedbyalawfirminasatelliteofficewassuspendedfor3yearsbecausehefailedtoproperlyhandleanuncomplicatedadoptionandcreatedtwofalseorders.Significantly,theCourtinMatterofYacavinowentoutofitswaytodiscussthe"disturbing"aspectofthelackofsupervisionoftheattorneybyseniorattorneysinthefirm.Accordingtothedisciplinedattorney,hewas"leftvirtuallyaloneandunsupervised.”Thefirm'spartnersrarelycametothesatelliteoffice,andnobodyaskedforstatusreportsfromhim.TheNewJerseySupremeCourtsaiditwouldnolongertoleratethis"sinkorswim"attitude,citingthedutiesofsupervisorsunderethicsRule5.1.TheCourtsaidsupervisingattorneysareexpectedtoprovide"collegialsupportandguidance."TheCourtalsocalledfor"asystematicorganizedroutineforperiodicreviewofanewlyadmittedattorney'sfiles"citingInreBarry,447A.2d923(J.J.1982)(Clifford,J.dissenting).


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▪ Asupervisormerelybeingavailableisnotenough.Activelyprovidingassistancetostaffisnecessaryforasupervisor.53

▪ Assigningunmanageablecasestoanattorneymayresultinsanctions.54▪ Anorganizationanditssupervisorsmusthavesystematiccontrolmechanisms,“suchas

ticklersystems,coverlettersfortransmittingcopiesofpleadingstoclients,periodicreviewoffiles,ordiarysystems,inordertomonitoranddirectcontrolovertheirfiles.”55

▪ Managingalawofficeinawaythatresultsinlawyersappearingincourtunpreparedisunethical.56

▪

TrainingasvitalforqualityrepresentationAvitalpartofapublicdefensesystem’sdutiesistoproviderobusttraining.AswestatedinourNAPDFoundationalPrinciples,“Principle6:TrainingandContinuingEducationareEssentialforProvidingCompetentandEffectiveDefenseRepresentation.Tobecompetentandeffective,lawyersandotherpublicdefenseprofessionalsmustbewelltrainedandprovidersmustmakeavailablequalitytrainingandeducationasrequired.Regardlessoftheirsize,structure,ordeliverysystem,thetrainingandeducationprovidedbyprovidersshouldextendtoalllawyers,aswellasinvestigators,mitigationspecialists,socialworkers,administrators,andallotherswhosupportthedefensefunction.Trainingandeducationshouldbeprovidedonaregularbasisat

53InreRitger,556A.2d1201,1203(N.J.1989).The“triallawyerofthirty-eightyearsexperience,wascopingwithaheavy,activetrialcalendarduringmuchofthetimethattheeventsinvolvedintheseproceedingswerepressinginonhim.”Hewassuspendedforsixmonthsformisrepresentingthestatusofthecase,notkeepinghisclientinformed,andengaginginapatternofneglect.TheCourtmadeparticularnoteofthefirm’sresponsibility,“whenlawyerstakeonthesignificantburdensofoverseeingtheworkofotherlawyers,moreisrequiredthanthatthesupervisorsimplybe‘available.’"54InDavisv.AlabamaStateBar,676So.2d306,307-308(Alabama1996)twopartnersimposedunmanageablecaseloadsonassociateattorneys,manyofwhomwereinexperienced…“[T]heevidencepresentedamplyshowedthatthetwoattorneys,inanefforttoturnoverahugenumberofcases,neglectedtheirclientsandimposedpoliciesonassociateattorneysthatpreventedtheattorneysfromprovidingqualityandcompetentlegalservices.”Bothlawyersweresuspendedfromthepracticeoflawfor60days.55InKBAv.Weinberg,198S.W.3d595,596(KY2006)attorneyswerepubliclyreprimandedforfailingtosuperviseorotherwisedirectormonitortheprogressofacasedismissedbasedonastatuteoflimitationsviolation.Theattorneys“didnotmaintaininstitutionalcontrols,suchasticklersystems,coverlettersfortransmittingcopiesofpleadingstoclients,periodicreviewoffiles,ordiarysystems,inordertomonitoranddirectcontrolovertheirfiles.”56AttorneyGrievanceComm'nofMd.v.Ficker,706A.2d1045,1052(Md.1998)“Whatisapparent,notjustfromthefactsoftheseparticularincidentsbutalsofromthetestimonybyFickerandhisassociatesofhowheconductedhispracticegenerally,isthathewasrunningahigh-volumeoperationwithoutadequatemanagerialsafeguardsandthat,asaresult,clientswerenotaffordedcompetentrepresentation….Thereisnospecificrulerequiringlawyerstokeepaticklerorcalendarsystem.Suchasystem,however,isnecessarytoassurecompliancewithotherrules,especiallyRules1.1and1.3.WhenalawyerhasresponsibilitiesunderRule5.1forotherlawyers,suchasystembecomesevenmoreimportant.Properlawofficemanagementismorethanjustamatterofgoodbusiness.Ithasaclearandimportantbearingonprofessionalresponsibilityaswell.”


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nocosttoattendeesandallprovidersshouldhaveadedicatedbudgetallocatedforongoingtrainingandeducation.”Principle9oftheABATenPrinciplesofaPublicDefenseDeliverySystem(2002)reflectsthissameeducationresponsibility,“Defensecounselisprovidedwithandrequiredtoattendcontinuinglegaleducation.Counselandstaffprovidingdefenseservicesshouldhavesystematicandcomprehensivetrainingappropriatetotheirareasofpracticeandatleastequaltothatreceivedbyprosecutors.”57Professionalcriminallawtraining,especiallyfornewlyemployedattorneys,mustbecomprehensiveandongoingtoensuremeaningful,ethicalrepresentation.Theremustbeastructured,sustainededucationprogramledbyatrainerwhoseprimaryresponsibilityistheeducationofallattorneysandallstaff.Thecomprehensivetrainingfornewlyhiredstaffandongoingcriminallaweducationparticulartoresponsibilitiesofallstaffareessentialaccordingtonationalpublicdefensetrainingstandards.58Satisfactorycompletionofrequiredtrainingshouldbeverifiedandrecorded.Researchhasshownthatacommonsenseapproachtoincreasingthetransferoflearningincludessupervisorsupportbeforeaprogram,supervisorsupportaftertheprogram,post-programself-managementwithgoals,andasatisfactoryorganizationalclimate.59Inlightofthisresearch,supervisorshaveanimportantopportunitytoadvancethetransferoflearningfromatrainingprogramtotheworkplacebytakingsomecommonsensestepswithstaffattendingtraining.Beforeanemployeeattendstraining,asupervisorshouldhaveasimpleconversationwiththeemployeeaboutaself-assessmentofneeds,theopportunitythetrainingoffersfordevelopmentandgreaterclientassistance,anyconcernstheemployeehasaboutthetraining,andencouragetheemployee’seffortsinattending.Afteranemployeecompletestraining,asupervisorshoulddiscusstheeducationalexperiencewiththeemployee,invitetheemployeetoverbalizewhatwaslearned,asktheemployeewhatsupportisneededtoimplementthelearning,andmutuallysetnewgoalswiththeemployeeinlightoftheadditionalknowledgeandskills.Comprehensivetrainingshouldincludespecialattentiontodevelopingandmaintainingclientrelationships,pretrialreleaseadvocacy,conflictmanagementandresolution,andconductingeffectivemotionpracticeandevidentiaryhearings.Alitigationpracticeguidelinemanualshouldbedevelopedtoensurestaffunderstandspracticeoptionsandexpectations.Formalcasereviewsandmockpracticeshouldbeastandardexercisetoensuretheattorneysand

57SeeNormanLefstein,ABASCLAIDSecuringReasonableCaseloads:EthicsandLawinPublicDefense(2011),pp.85-86.58NLADADefenderTrainingandDevelopmentStandards(1997),foundat:http://www.nlada.org/defender-standards/training/black-letter59See,e.g.,Hilbert,Preskill,Russ-Eft,EvaluatingTraining,Chapter5,“WhatWorks:Assessment,Development,andMeasurement”(1997).


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supportingstaffhavetheguidancenecessarytodealwithlitigationchallengesandcomplexities.“Despitethewiderecognitionofthecommonsenseofprovidingadequateandongoingtrainingfordefenders,jurisdictionsallacrossthecountryfailtodoso.Thislackoftrainingisoftenmanifestedbyinadequateperformance.”60Comprehensivetrainingisnotanaspirationalresponsibility.RobusttrainingisrequiredofassignedcounselinMassachusetts.61Otherpublicdefenseprogramshavesuchtrainingprogramsandpractices,includingD.C.,62Colorado,63

60MarySueBackus&PaulMarcus,TheRighttoCounselinCriminalCases,ANationalCrisis,57HastingsL.J.1031,1093(2006).61SeeChapter3“Certification”intheCPCSAssignedCounselManualathttps://www.publiccounsel.net/wp-content/uploads/Assigned-Counsel-Manual.pdf62WashingtonD.C.’sPublicdefenderServices(PDS)engagesinamultitudeoftrainingactivitiesforitsstaffandforthosewhoworkonthecasesassignedtopanelattorneys.PDSisprobablybestknownforthetrainingitprovidestonewPDStrialattorneysasagroup.Theextensiveten-to-twelve-weekprogramincludeslecturesonsubstantiveandprocedurallawincriminalandjuveniledelinquencycases,practicaltrialskillsexercises,mockhearings,andafullmocktrialbeforejudgesfromthecourtinwhichtheattorneyswillpractice.AttorneysinPDS’sotherlegaldivisionsalsogothroughthetrainingprograminadditiontoreceivingtrainingspecifictothedivision’spractice—e.g.,appeals,mentalhealth,parole.PDSinvestigativespecialistsandPDSinvestigativeinterns(collegestudents),liketrialattorneys,trainasagroupintheirfirstweeksatPDS.Theinvestigativespecialistsandinternsreceivetrainingonprofessionalinvestigativetechniquessuchasconductingfieldinterviews,interviewingwitnesses;takingwrittenstatements;collectingandassessingdigitalevidence,servingsubpoenas,andpreparingexhibitsfortrialsandotherhearings.Thetrainingincludesmockexercises.Theinvestigativespecialistsalsoconductsinitialandongoingtrainingtocourt-certifiedinvestigativespecialistsonthecourt’spanelwhoprovideinvestigationservicestoattorneys.PDS’sforensicsocialworkersreceivethreeweeksofinitialtraininginproducingmitigationreportsandworkingwithclients.TrainingoutsideofPDSistargetedprimarilyformembersofthelocalcourt’spanelsofattorneysandcertifiedinvestigators.Smallgroupsofattorneysnewtothecourt’strialpanelcantakeatwo-week,full-timetrialskillstrainingprogrammodeledaftertheskills-basedportionofthetrialtrainingprogramforPDSattorneys.Itincludesmockexercisesandcritique.PDShasalsodevelopedaone-weektrialskillstrainingprogramformoreseniorpanelattorneyswhowanttobeappointedtomoreseriouscases.BothPDSandpanelattorneysparticipateinPDS’sannualForensicScienceConference,duringwhichacombinationofPDSstaffandoutsideexpertsoffersubstantiveandskillstrainingoncomplicatedforensictopicssuchasDNAscience,bloodspatter,andfingerprints.PDScoordinatesa“WinterSeries,”a“SummerSeries,”anda“FallSeries”—continuinglegaleducationtrainingsessionsforpanelattorneysscheduledforoneortwoeveningsperweekoverseveralweeks.Theprogramcoversavarietyofcriminaltrialpracticetopics.PDS’snewesttrainingopportunityisafirst-everprogramforattorneysonthelocalappellateattorneyspanel.Theinitialtrainingcoversthebasicsofappellateissueidentification,oraladvocacy,andbriefwriting.Thesecondphaseofthetrainingusesone-on-oneandgroupsessions,mimickingthecollaborativebriefeditingandmootcourtpracticesthatarepartofPDS’sappellateattorneys’trainingandpractice.PDSalsooffersotherspecialtytrainingtopanelattorneys:specialeducationadvocacytrainingforattorneyspracticinginjuvenilecourtandmentalhealthlawandproceduretrainingforpanelattorneysrepresentingclientsincivilcommitmentcases.63Tomanagetrainingforitsapproximately1,000employees,theOfficeoftheColoradoStatePublicDefender(OSPD)hastwofulltimelegaltrainingdirectors,afulltimeadjunctlegaltrainer(arotatingtwoyearposition),afulltimeDirectorofCriminalInvestigation,afulltimeDirectorofSexualLitigation,andanExecutiveAssistanttothePublicDefenderwho,amongotherduties,overseesandcoordinatescorestafftraining.ThePublicDefenderandChiefDeputiesleadannualtraininginmanagement,leadership,andwellness.Thelegaltrainingprogramcombineslectureandperformancecomponentstodevelopclient-centeredadvocacyskills.Newlyhiredattorneysfollowaproscribedsetofmandatorytrainingsledbythestatetrainingunitbeginningatthetimeoftheirinitialplacement:


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Wisconsin,64Kentucky,65WashingtonStateOfficeofPublicDefense,WashingtonDefenderAssociation,NewYorkState,andmanyothers.TheNationalAssociationforPublicDefenseofferswebinarsandonlinetrainingforlitigatorsandleaders.priortobeginningintheiroffice,lawyerswhodidnotinternwiththeOSPDattendColoradoPublicDefending:CountyCourt,atwoandahalfdayorientationtotheColoradolegalsystemincludinglecture,performanceonahypotheticalmisdemeanorcase,andsupervisedin-courtobservation/appearance;allnewlawyers,includingthosewhoparticipatedinColoradoPublicDefender:CountyCourt,attendsixsessionsofBasicLawyerTraining.BasicLawyertrainingconsistsofsixfulldaysessionsspreadoversixtoeightmonths,thelastfoursessionsaresmallgroup,half-daypracticeoflearnedskillsoncurrentmisdemeanorcasesandhalf-daylectureonnewskills.ThesixthsessiononrepresentingclientschargedwithmisdemeanorsexualoffensesistaughtbytheStateDirectorofSexualLitigation.TheDirectorofSexualLitigationalsoofferstrainingthroughouttheyearontopicsrelatingtosexcrimeslitigation,includinganewSexBootcamp.LawyerstransitioningfrommisdemeanortofelonyworkarerequiredtosatisfactorilycompleteBootcamp,aweeklongbringyourownfelonycasecombinededucationalandevaluativetraining.Bootcamp,taughtbyexperiencedfelonypublicdefendersfromacrossthestate,simulatestrialandprovidesthelawyersimmediatecritiqueandfeedbackontheirtrialskills.LawyerswhohavesuccessfullycompletedBootcampattendIntroductiontoDistrictCourt,whichisaone-and-a-halfdaylecturetraining,toorientthemtofelonypractice,includingspecializedtrainingonsexoffensesentencing.OSPDtreatstherepresentationofchildrenasaspecializedareaofpractice.CoreJuvenileSkillsisatwo-daytrainingthatismandatoryforalllawyerswhorepresentchildreninanycapacity.Theprogramisdesignedtogivelawyersthefoundationtheyneedtosuccessfullyandeffectivelyrepresentchildrenaccusedofcrimes.Everyotheryearthetrainingunitoffersamoreadvancedtrainingonlitigatingdirectfileandtransfercases.OSPDprovidestrainingforCoreStaffthroughinitialtrainingintheirindividualofficesandafulldayCoreSkillstrainingwithinthefirstsixmonthstoyearoftheiremployment.Additionaltrainingsthroughouttheyearintroducecorestafftocomplexissuesinthecriminaljusticesystem,andhoneskillsets.InvestigatorsreceivemandatoryintroductorytrainingthroughCoreInvestigatorSkills(CIS).This3-daytrainingprogramoccurswithin45daysof5-6newhiresenteringthesystem.Inadditiontothemandatorybasicskillstraining,thevariousunitsofOSPDtrainingalsoprovideon-goingelectivetrainingsforallstaffincludingadvancedjuvenilepractice,complexlitigaition,forensicscience,andmentalhealthlitigation.OneoftheChiefDeputiesleadsawellnesscommitteethatofferstrainingsthroughouttheyearonwellnessincludingtopicslikeself-care,secondarytrauma,meditation,workefficiency,andfinancialhealth.TheStateofficehoststwoleadershipconferencesayeartoprovidesupervisorsadditionalsupportandtoolstoperformtheirjob.OSPDhostsanannualmulti-track,multi-disciplinaryconferenceforallemployeesandprivatepractitioners.Allsessionsareopentoallemployeesregardlessoftheirscopeofwork.Finally,eachoftheregionalofficesofferstheirownin-housetrainingstofurthereducatetheirstaff.64TheWisconsinStatePublicDefender'sOffice(SPD)offersavarietyoflivetrainingprogramsandon-demandtrainingcoursesthroughitsTrainingDivision.Annualprogramsincludeatwo-daymulti-trackconferenceforallstaffandprivatebar,athree-daydefenseteambasicsfornewlyhiredlawyers,investigators,socialworkersandparalegals,afive-daytrialskillsschool,afive-dayinvestigationinstitutewherelawyersandinvestigatorsworkasateam,andtrainingprogramsspecifictotheworkofsocialworkersandcorestaff.TheTrainingMaterialspageattheSPD'swebsite(https://www.wispd.org/index.php/for-the-legal-practitioner/training/training-materials)containsavarietyofmaterial,suchasoutlines,articles,samplemotions,formsandchecklists.TheSPD'son-demandtrainingsite(http://training.wispd.org/)includesvideosofpreviously-recordedtrainingprogramsaswellascoursesspecificallycreatedason-linetraining.TheSPDalsoprovidescertificationtrainingtoprivatebarlawyerswhowishtotakeSPDcases.Finally,theSPDhasspecialtypracticecoordinatorswhoseroleincludesprovidingtrainingandsupporttostaffandprivatebarlawyersinspecialtyareassuchasterminationofparentalrightsandimmigration.65TrainingprovidedinKentuckyincludestheKentuckyPublicDefenderCollege,AnnualConference,OnlineEducationalMaterials,andextensivetrainingsfornewattorneys,investigators,alternativesentencingworkers,mitigationspecialists,administrativeassistants,andallothermembersoftheDPAdefenseteam.Astheyassume


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Manyadditionaltrainingtopicsarenecessary,too,e.g.,drugdefenses;immigrationstatus;sexoffenderregistryissues;domestic,elderandsexabusedefenses;anddeathpenaltyeducationforattorneys,investigators,andmitigationspecialists.Inadditiontolitigationtraining,thereshouldbeleadershipandmanagementeducationthatincludessuchtopicsasperformanceplanning;coachingandreview;communication;staffmeetings;usingworkloadreportstomanagestaff;and,workingwithinvestigators,paralegals,socialworkers,administrativestaff.Thereshouldalsobeeducationonwellbeing,culturaldiversityandinclusion,andlitigatingracialdiscrimination.Someexamplesofthetrainingtopicsthatshouldberequiredinclude:

FelonyandMisdemeanorrepresentationRoleofPublicDefenderAgencyCoreValuesOverviewofjurisdiction,typesofcases,andbasiccriminalprocedureIndividualPre-InterviewResearchandAnalysisInitialClientInterviewsPreliminaryHearingPracticeNegotiationImmigrationconsequencesClientDecisionInterviewsEthicalresponsibilitiesTrialLawPreservingtheRecordAnalyzingCasesandEvidenceLawDiscoveryClientRelationshipsPost-trialMentalHealthDefensesSeekingfundsforexpertassistanceUseofExperts

responsibilityforcaserepresentation,DepartmentofPublicAdvocacy(DPA)attorneysareregularlyprovidedtrainingthroughouttheirfirstyearofemploymentthroughaNewAttorneyTrainingTrack.Thisconsistsofdistrictcourttraining,circuitcourttraining,juveniletraining,andaweek-longimmersivepracticetrainingwhereeachstudentistaughteachlitigationskillofadistrictcourttrial.Advancedtrainingcontinuesforallattorneyswiththeagencyafterthefirstyear.Thisincludesin-depthtrainingsonvarioustopicsandayearlyAnnualConference.Trainingopportunitiesarealsoavailableforinvestigators,mitigationspecialists,alternativesentencingworkersandadministrativeprofessionalsintheagency.TheInvestigatorTrackofferedeachyearisanintensiveweek-longexperiencethatoffersahands-onexperienceforcriminalinvestigators.TheKentuckyDPAEducationBranchalsooffersonlineeducationtopublicdefendersthroughtheonlinedatabasecalledTheTrumpet.TheEducationBranchmaintainsandupdateslitigationmanualsregularlytoensurethatallpublicdefendersinKentuckyareprovidedwithconsistentandreliablelawupdates,andsuggestionsonhowtoapproachchangesinthelawtobestprotectclients.TheKentuckyPublicDefenderCollegeCourseCatalogisfoundat:https://dpa.ky.gov/who_we_are/Education/Documents/KPDC_Catalogue_FINAL_nodate.pdfAnimportantresourceforcomprehensivecontinuingeducationmaterialsistheNationalAssociationforPublicDefense,whichregularlyprovideswebinarsonmanypublicdefenseissues.


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WorkingwithInvestigatorsLitigatingSentencingSearch,Seizure,andSuppressionSentencingLawandAdvocacyLitigatingProbationandParoleRevocationsJuvenilerepresentation66EvolutionintheUnderstandingofaChild’sRightsImpactofTraumaonChildrenImpactofDetention,Seclusion,EncounterwithLawEnforcementonChildrenCriticalRoleofLawyertoAdvocateSkillfullyforChildClientImpactofAdolescentBrainandpsycho-socialdevelopmentCommunicationUnderstandingClientwithinContextofFamilyStructureoftheJuvenileCodeDifferentiatingBasicProcedureswithPublicOffense,StatusOffenseandYouthfulOffenseChargesDecision-makingwhenRepresentingachildClient’sSafetyanEthicalIssueChallengetoImplicit,InstitutionalandExplicitBiasUnderstandingAdolescentDevelopmentEthicalDutiesinCommunicationwithourClientsandourClient’sFamilies,OtherWitnessesEthicalDutiesofDefenseTeam,Team’sObligationstoClientsNationalStandardsofJuvenilePracticeStrength-BasedInterviewingMotionPracticeCompetency,Capacity,InsanitydefensesSuppressionandConfessionIssuesSexOffenseDefensesContemptandRevocationsofProbationandSupervisedPlacementLawandPracticeofTransferCasesFilingWritsandAppealsLitigationpracticeClientInterviewingandRelationshipsBrainstormingTheoryoftheCaseVoirDireOpeningStatementsCross-examination

66SeetheNationalJuvenileDefenderStandards(2012),foundat:https://njdc.info/wp-content/uploads/2013/09/NationalJuvenileDefenseStandards2013.pdf


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ImpeachmentDirectExaminationIntroductionofExhibitsClosingArgument

Appellate,67post-conviction,anddeathpenalty68litigationrequirespecializedtraining.Alltrainingshouldincludetheopportunityfornewattorneystobe,initially,fullysupervisedforcourtproceedings,clientmeetingsandtosecondchairtrials.

Datacollectionandreviewasessentialforsystematicclient-centeredrepresentationThecollectionofpublicdefensecasedatashouldincluderelevantperformancemetrics.Forinstance,thedatacollectedshouldincludethetraditionalinformationoftheclientidentifyinginformation,name,race,gender,immigrationstatus,thecharges,arrestingagencyandofficer,staffrepresentingtheclient,dateofarrest,dateofappointmentofcounsel,court,judge,court

67See,e.g.,NLADAStandardsandEvaluationDesignforAppellateDefenderOffices(1980),1K.Training,“1.Trainingforattorneys.a.Eachappellatedefenderofficeshallhaveanestablishedtrainingprogramforentrylevelattorneyswhichshouldbecommencedpriortotheattorneyactuallyprovidingrepresentationinanycase."Onthejob"training,baseduponwhattheattorneywilllearnfromindividualcasesisnotadequate.Suchtrainingshallinvolvebothappellatedefenderstaff,courtpersonnel,andothers.b.Theappellatedefendershallhaveongoingcontinuinglegaleducationprogramsforattorneys,andspeciallydesignedongoingtrainingforallmembersofthestaff,includingsupportstaffandthemostseniorattorney.c.Theappellatedefendershallmakeuseofnationalprogramswhichareofparticularrelevancetoappellatedefenders,andshallworkwithfundingsourcestoensurefundingforbothin-stateandout-of-statecontinuinglegaleducationprograms.68ABAGuidelinesfortheAppointmentandPerformanceofDefenseCounselinDeathPenaltyCases(2003),Guideline8.1Training:“A.TheLegalRepresentationPlanshouldprovidefundsfortheeffectivetraining,professionaldevelopment,andcontinuingeducationofallmembersofthedefenseteam.B.Attorneysseekingtoqualifytoreceiveappointmentsshouldberequiredtosatisfactorilycompleteacomprehensivetrainingprogram,approvedbytheResponsibleAgency,inthedefenseofcapitalcases.Suchaprogramshouldinclude,butnotbelimitedto,presentationsandtraininginthefollowingareas:1.relevantstate,federal,andinternationallaw;2.pleadingandmotionpractice;pretrialinvestigation,preparation,andtheorydevelopmentregardingguilt/innocenceandpenalty;4.juryselection;5.trialpreparationandpresentation,includingtheuseofexperts;6.ethicalconsiderationsparticulartocapitaldefenserepresentation;7.preservationoftherecordandofissuesforpostconvictionreview;8.counsel’srelationshipwiththeclientandhisfamily;9.post-convictionlitigationinstateandfederalcourts;10.thepresentationandrebuttalofscientificevidence,anddevelopmentsinmentalhealthfieldsandotherrelevantareasofforensicandbiologicalscience;11.theuniqueissuesrelatingtothedefenseofthosechargedwithcommittingcapitaloffenseswhenundertheageof18.C.Attorneysseekingtoremainontherosterorappointmentrostershouldberequiredtoattendandsuccessfullycomplete,atleastonceeverytwoyears,aspecializedtrainingprogramapprovedbytheResponsibleAgencythatfocusesonthedefenseofdeathpenaltycases.D.TheLegalRepresentationPlanshouldinsurethatallnon-attorneyswishingtobeeligibletoparticipateondefenseteamsreceivecontinuingprofessionaleducationappropriatetotheirareasofexpertise.”


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casenumber,disposition,statusofcase,client’ssocialsecuritynumber,dateofbirthorotheridentifier,andwhethercasewasconflictedtoothercounsel.Thecollectionofotherdatawillallowsupervisorstoreviewtheworkofthosewhoprovideandsupporttherepresentationofclients.69Allthoseprovidingthedefenseshouldrecordthedateofthefirstclientvisitanditslocation,subsequentclientvisitsandtheirlocations,70thelengthoftimetheclientremainedinjailpretrial,requestsforbailreductionandpretrialrelease,andrequestsforinvestigationandmitigationassistanceshouldalsoberecorded.Thedatashouldalsoincludemotionsfiled,includingdiscovery,suppression,andrequestsforevidentiaryhearings.Thedatashouldindicatesentencingplansoffered,trialsconducted,appealsorwritsfiled.Reportsofinformationontheworkofthestaffthatasupervisorisresponsibleforshouldbegeneratedandreviewedregularlybythesupervisorandstaffasinformationtouseinsupervisionandevaluation.Thereportsshouldincludesuchinformationasnumberandtypeofcasesassignedtostaff,thenumberandtypeofcasesopen,thenumberandtypeofcasesclosedwithinthereportperiodandalsotheyearlyreportingtimeframes,thenumbercarriedoverfromthepreviousyearlyreportingperiod,numberofmotionsfiled,hearingsconducted,trials,disposition,averagelengthoftimecasesareopen,casespledatarraignment,clientsreleasedpretrial,andsentencingplansfiled.71Client-centeredtheoryofsupervisionandsupervisortaskstoimplementtheguidelinesofpractice

Successfullitigatorsproviderepresentationwithacompellingtheoryofthecasethatisimplementedatahighlevel.Correspondingly,successfulsupervisorsprovidesupervisionwithacompellingtheoryofsupervision.Client-centeredsupervisionfocusesonhelpingthelawyeranddefenseteamsucceedwiththerepresentationoftheclient.Activemanagementtohelpdefendershelpclientsreceivequalityrepresentationincludesthesetasks:

▪ Settingexpectations;

69Tobeclear,oversightofassignedcounselrequiresthesamekindofdatacollectionasdoneinasystemwhereservicesaredeliveredbyfull-timestaff.Forinstance,theCommitteeforPublicCounselServices(CPCS)reviewscaseloadandcaseeventdataelicitedfrombillingdata,aswellasclientcomplaintdata,performanceassessmentsbysupervisorsandself-reporteddatafromattorneysseekingcertificationorrecertification.Collectionanduseofdatatoprovideoversightinprogramsthatarenotfull-timesystemsshouldbethenorm.70Trackingandreviewingthenumberandtypeofclientcontactsiscritical.Clientcommunicationisessentialcomponentofcompetentrepresentation.Inadequatecommunicationisasubjectofcomplaintsbyclients.Clientengagementisnecessarytotheongoingoperationofaholistic,team,client-centeredmodel.71See,e.g.,thedatacollectionanddatareportinginformationtobereviewedregularlyinSettlementAgreement,Phillipsv.California,FresnoCountySuperiorCourt,CaseNo.15CECG02201,foundat:https://www.aclu.org/sites/default/files/field_document/phillips_v._ca_county_settlement_executed_0.pdf


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▪ Conductingperformancecoachingprocess(mutuallysettingperformancecriteriamakingimplicitexpectationsexplicit,ongoingfeedback,andregularperformancereviews);72

▪ Observingdefendersperform;▪ Conductingfilereviews;filereview,withanyexclusionofprivilegedcontentconsistent

withstatelaw,isabestpracticenotonlyforfull-timesystemsbutalsoforassignedcounselandcontractsystems.73

▪ Delegatingandstaffreporting;▪ Doingmockpresentations;▪ Conductingstaffmeetings;and▪ Brainstormingsolutionstocasesandconductingformalcasereviewsbeforethe

performanceisdonebythedefenseteam.74

Casereviewsareaparticularlyusefulmethodofhelpingstaffhelpclients.Casereviewisamethodof“lookingat,assessing,andanalyzinganentirecasefromotherprofessionalsnotdirectlyinvolvedinthecase.Casesarecomprehensivelyreviewedatapointintimewhenthedefenseteamisreadyforthenextsignificanteventinthecase.Becausecasereviewsinvitedefenseteamstomeetandshareextantcasefactsandtheorieswithattorneysandotherprofessionalswhoarenotrepresentingtheclient,thereviewprovides‘multiplevantagepoints

72Apublicagencyshouldhaveasystemofperformanceagreement,regularcoachingandwrittenevaluations.Itshouldprovideaparticularindividualperformanceagreementwithperformancecriteriaandwhenandhowevaluationisdocumented.Thismaybeinformedbycollectivebargainingagreementswhichshouldbenegotiatedwiththeseprinciplesinmind.ThesemeasuresareusedinMassachusettsforassignedcounselusingcontractedsupervisingattorneysandpaidmentors.73Reviewoffilesshouldincludeindications,whereappropriateforthecase,oftheclientinterview;contactsandcommunications;policereport;chargingdocument;immigrationstatus;client’scriminalhistory;legalresearch;defense;investigation;expertassistance;discovery;motions;witnesses;mitigation;negotiations;sentencingplan,anddisposition.InMassachusetts,thesupervisingattorneysconductedfilereviewsundertheagency’sstatutorydutyto“monitorandassurethequalityofrepresentation”ofallcasesinwhichCPSCprovidedcounsel.InMassachusetts,assignedprivatecounselproviderepresentationin80%ofthecases.Thequalityoflawyeringcannotbeassessedwithoutfilereview,eveniffileissanitizedtoprotectclientcommunications.Forexample,filereviewcanshowthatdefensecounselconductedasubstantialinterviewwiththeclientorawitness,evenifthecontentoftheinterviewisblackedoutinthematerialreviewed.InMassachusetts,thesupervisingattorneyaskstheattorneybeingassessedtobring3filestothereview,eitherchosenbythesupervisorfromacaselistprovidedbyCPCS,orbycategory,suchasacaseassignedlastmonthwithaclientincustody,acasethatwenttotrialwithinthelastyear,acasethatthedefenderwantshelpwith.74See,e.g.,Chapter6“CreatingandLeadingtheMitigationTeam,”MonahanandClark,TelltheClientsStory:MitigationinCriminalandDeathPenaltyCases(2017).“Oneofthemostrobustdiscoveriesinthescientificliteratureconcerningdecisionmakingandjudgmentisthatdecisionmakersroutinelyselectquick-and-easy,shootfromthehipapproachestomakingimportantdecisionsinsteadofusingapproachesthatarethoughtful,deliberate,anddemonstrablymostfruitfulaccordingtoexperienceandnationalstandards….Thisshortcutapproachisknownassatisficing,whichisneologismthatcombinessatisfyandsuffice.Itvaluesspeedandclosureoverthedelayrequiredtodeliberateandachieveoptimalresults.”Excessiveworkloadspushdefenderstowardsquickandeasysolutions.Formalcasereviewisapracticethatencouragesadeliberatemethodologytoaddressthepulltosatisfice.


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fromwhichtoviewreality.’”75ThePublicDefenderandintermediatemanagersshouldbetrainedinleadershipandmanagementskillsandintermediatemanagersshouldbeevaluatedontheirsupervisionperformance.Liketherequirementtomaintainlitigationknowledgeandskills,supervisorsarerequiredasamatterofcompetence“tomaintaintherequisiteknowledgeandskill,alawyershouldkeepabreastofchangesinthelawanditspractice,includingthebenefitsandrisksassociatedwithrelevanttechnology,engageincontinuingstudyandeducationandcomplywithallcontinuinglegaleducationrequirementstowhichthelawyerissubject”76Reducedcaseloadsforsupervisorsandaminimumofonesupervisorforevery10lawyersSupervisorsshouldhavereducedcaseloadstoallowforactivesupervision.“Untilempiricalstudiesarefurtherabletodeterminethenumberofstaffnecessarytosupportthelawyer,publicdefensesystems,ataminimum,shouldprovide…onesupervisorforevery10lawyers.”77Asupervisorwhoissupervisingmorethantenattorneysmustneverthelessmeetthesestandardsasthestandardsareaminimum.Assignedcounselandpublicdefensedeliverymethodsmustbemanaged

75Chapter6“CreatingandLeadingtheMitigationTeam,”MonahanandClark,TelltheClientsStory:MitigationinCriminalandDeathPenaltyCases(2017),p.155.Personsprovidingthereviewswhoarenotrepresentingcounselshouldsignaconfidentialityagreement.76ABAModelRulesofProfessionalConduct,Rule1.1,Competence,Commentary.TheNationalAssociationforPublicDefenseconductsleadershipinstitutesandmaintainsrecordingsofthattrainingonitswebpageunderMYGideon.77NAPDPolicyStatementonPublicDefenseStaffing:Staffsupportingpublicdefensecounselmustbeadequateformeaningfulrepresentation(2020),foundat:https://www.publicdefenders.us/files/NAPD_Policy%20Statement%20on%20Public%20Defense%20Staffing.pdf


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Publicdefensesystemsmustprovideactivesupervision,training,78andreportingoncontractedrepresentationandassignedcounsel.79Tofullymeetthisresponsibility,contractandassignedcounselsystemsmusthaveprofessionalandpoliticalindependence80fortheiroperations,includingselectionandappointmentofcounsel.Judgesshouldnotappointcounsel.81Assignedcounselsystemsmustbemanaged.Thereshouldbemechanismsforqualifyingtobeappointedandforevaluationofperformance.Conditionsoftakinganassignedcaseandcontractsshouldincludeacomprehensivesetof

78SeeNLADAStandardsfortheAdministrationofAssignedCounselSystems(1989)Standard4.3.1Entry-LevelTraining(a)TheAdministratorshallberesponsibleforpreparing,inaccordancewithBoardspecifications,anentry-leveltrainingprogram.(b)Entry-leveltrainingshallbemandatoryforallattorneysunlesstheycomeunderexceptionsspecifiedbytheBoard,ortheAdministratoractingatitsdirection.Standard4.3.2In-ServiceTraining(a)TheBoardshallestablishregulationsrequiringattorneystoattendaspecifiednumberoftrainingunitsperyearinordertoremainonaProgramroster.(b)TheAdministratorshallberesponsibleforpreparing,inaccordancewithBoarddirectives,periodicin-servicetrainingprogramstoprovidesystematic,comprehensiveinstructioninsubstantivelawandcourtroomskills.Heorsheshallalsodetermine,uponrequest,whethertrainingofferedbyentitiesotherthantheProgrammaybecountedtowardthetrainingunitsrequiredbytheBoard.(c)TheAdministratorshallensurethatattorneysremainingonaProgramrosterhaveattendedthenumberoftrainingunitsrequiredbytheBoard.(d)TheBoardandAdministratorshallencourageattorneystoparticipateintrainingsessionsbeyondthemandatoryunits.79SeeNLADAStandardsfortheAdministrationofAssignedCounselSystems(1989),Standard4.4SupervisionofAttorneys:(a)TheBoardshallestablishpoliciesregardingsupervisionofassignedcounselworkingwithintheProgram.Thesepoliciesshallincludeaprocedureforhandlingcomplaintsfromclientsandothers.(b)TheAdministratorshallberesponsibleforsupervision.80NAPDPolicyStatementonIndependence:ProfessionalandPoliticalIndependenceMustbeStructurallyAssuredandActuallyHonoredforPublicDefenseProgramstoProvideSystematicallyMeaningfulRepresentation(2020);foundat:https://www.publicdefenders.us/files/NAPD_Policy%20Statement%20on%20Independence.pdf81NAPDFoundationalPrinciples(2017),Principle2:PublicDefenseMustBeIndependentofJudicialandPoliticalControl.Thefairadministrationofjusticerequiresthatrepresentationbylawyersbefreefromrealorperceivedinappropriateinfluence.Representationshouldbewithoutpoliticalinfluenceandsubjecttojudicialsupervisiononlyinthesamemannerandtothesameextentasareprosecutorsandattorneysinprivatepractice.Theselectionandpaymentoflawyersshouldbeindependentofthejudiciary.Theselectionoflawyersforspecificcasesshouldnotbemadebythejudiciaryorelectedofficials,butshouldbearrangedbyadministratorsofdefender,assigned-counselorcontract-for-serviceprograms.Exceptinjurisdictionsinwhichpublicdefendersarelocallyelected,thepolicy-makingfunction,choiceofthechiefpublicdefender,andoversightofdefenseprogramsshouldbevestedinacommissionorboardoftrusteesselectedbydiverseauthorities,includingbutnotlimitedto,officialsfromexecutiveandlegislativebranchesofgovernment,headsofbarassociationsandlawschooldeans.Allpersonschosenforaboardorcommissionshouldbecommittedtohighqualitypublicdefenseandmembersshouldincludeoneormorepersonswhopreviouslywererepresentedbyapublicdefenselawyer.Commissionsorboardsshouldnotincludeactivepublicdefensepractitioners,judicialofficeholders,andactivelawenforcementofficialsofanykindsuchasprosecutors,police,sheriffs,ortheirstaffs.Allsystemsfordefenserepresentationshouldincludebothfull-timepublicdefendersandprivatepublicdefenselawyersservingasassignedcounselorpursuanttocontracts.


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specificminimumperformancestandardsforthedeliveryoftherepresentationthatpromotemeaningfulrepresentationtoeveryclient,andthesestandardsmustbeenforced.Performanceoftheindividualrepresentationofclientsthroughthesedeliverymodelsmustbemonitoredandsupervised.Datacollectionandregularreviewanduseofreportingtomanageperformancemustbedone.Principle8oftheABATenPrinciplesdescribestheessentialcomponentsofacontractthatsystematicallyprovidesattorneyswiththeabilitytoprovidemeaningfulcounseltotheirclientsandrequiresperformancestandards.“Assignedcounselshouldbepaidareasonablefeeinadditiontoactualoverheadandexpenses.Contractswithprivateattorneysforpublicdefenseservicesshouldneverbeletprimarilyonthebasisofcost;theyshouldspecifyperformancerequirementsandtheanticipatedworkload,provideanoverfloworfundingmechanismforexcess,unusual,orcomplexcases,andseparatelyfundexpert,investigative,andotherlitigationsupportservices.”NLADAGuidelinesforNegotiatingandAwardingGovernmentalContractsforCriminalDefenseServices(1984),GuidelineIII-16:SupervisionandEvaluation,states,“ThecontractshouldestablishaprocedureforinternalsystematicsupervisionandevaluationoftheperformanceoftheContractor'sstaffbaseduponpublicizedcriteria.Supervisionandevaluationeffortsshouldincludemonitoringoftimeandcaseloadrecords,reviewandinspectionoftranscripts,anevaluationofattorneycaseactivity,in-courtobservations,andperiodicconferences.AsystemofperformanceevaluationsshouldbebaseduponpersonalmonitoringbytheContractor'sDirectororChiefAttorneyandshouldbeaugmentedbyregular,formalizedcommentsbyjudges,prosecutors,otherdefenselawyersandclients.Thecriteriaofperformanceemployedshouldbethoseofaskilledandknowledgeablecriminallawyer.”Unfortunately,toomanycontractorsandassignedcounselarewhollyunsupervised.“Ifeffectivelysupervisingpublicdefenderswithinanofficeissometimesproblematic,holdingappointedcounselandcontractattorneysaccountablefortheirperformancepresentsanevengreaterdifficulty.Withoutanindependentsupervisorycheckondefenseattorneys,incompetentlawyerscanbeappointedrepeatedly,eveninthefaceofmultiplebarsuspensionsordisbarments.”82However,therearemodelsnationallythatprovideoversight,monitoring,supervision,trainingandreportingwithcontractprovisionsofperformancestandardsthatareenforced.83MassachusettsTheMassachusettsCommitteeforPublicCounselServices(CPCS)providesrepresentationof

82MarySueBackus&PaulMarcus,TheRighttoCounselinCriminalCases,ANationalCrisis,57HastingsL.J.1031,1092(2006).See,e.g.,SixthAmendmentCenter’sTheRighttoCounselinWayneCounty,Michigan:EvaluationoftheStateDefenderOfficeoftheMetropolitanJusticeCenterofSoutheasternMichigan(2018)foundat:https://sixthamendment.org/6AC/6AC_MI_waynecountyreport_2018.pdf83NLADAGuidelinesforNegotiatingandAwardingGovernmentalContractsforCriminalDefenseServices(1984),foundat:http://www.nlada.org/defender-standards/guidelines-governmental-contracts


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clientsbyafull-timestaffandalsobyamanagedassignedcounselsystem.CPCShasCriminalTrialSupportUnitresponsibleforoverseeingtheprivatecriminaltrialcounsel.Districtandsuperiorcourtattorneysaresupervisedbycontracted“SupervisingAttorneys”whoprovideoversightofprivateattorneyshandlingCPCSassignmentsthroughthebaradvocateprograms.ThissupervisionincludesevaluationsofcompliancewithCPCSPerformanceStandards,complaintinvestigations,mentoring,andinputintotheperiodicrecertificationofprivatecounsel.CPCScontractswithSupervisingAttorneys,onapart-timebasis,usually5or10hoursperweek,sothattheymaintaintheirskillsaspractitionersandcanusethoseskillstoassessandassurethequalityofservicesprovidedbyassignedprivatecounsel.Thelevelofsupervisionallowsforaperformanceevaluationofeachpanelattorneyonceapproximatelyevery2years.FiveexperiencedtrialattorneyscomprisetheCriminalTrialSupportUnitandeachofthoseattorneysoversees2-3countiesbycommunicatingwiththeSupervisingAttorneysinthecounties,byoverseeingastringent,butfair,complaintprocess,reviewingcertifications,andmonitoringattorneybilling.Theseattorneyseachanswerclientcallsonedayperweek,givingthemdirectinsightintoclients’perceptionoftheirrepresentationand,ifaformalcomplaintiswarranted,theattorneyopensthecomplaint,whichisinvestigatedbyaSupervisingAttorney.CPCShasanextensivesetofpoliciesandproceduresforassignedcounsel.84TheManualinformsattorneysrepresentingindigentclientsthroughtheCommitteeforPublicCounselServicesofthescopeofservices,qualifications,trainingandperformancerequirements,thebillingprocess,audit85andevaluationprocedures,complaintaboutperformanceprocess,andotherpoliciesandproceduresrelatedtoassignmentandcompensation.Attorneyswhoacceptassignmentofcasesarerequiredtofollowthesepoliciesandprocedures.86

84CommitteeforPublicCounselServicesAssignedCounselPoliciesandProceduresManual(January1,2019-Version1.9Subjecttocontinuousonlinerevision)https://www.publiccounsel.net/assigned-counsel-manual/85Auditingisanimportantproceduretoensuregovernmentfundsareproperlyused.See,DebraCassensWeiss,Contractlawyerdescribedas'superbadvocate'issuspendedforoverbillingstatepublicdefender,ABAJournal,May19,2020,foundat:https://www.abajournal.com/news/article/contract-lawyer-described-as-superb-advocate-is-suspended-for-overbilling-public-defender“Meyerprovidedservicestothestatepublicdefenderasacontractattorney.Shebilledtheagencyformorethan24hoursinadayon30differentdays,accordingtoanauditspanningfouryears.Duringthesameperiod,Meyerhadduplicatedreimbursementrequestsformileage,attributingtripstoalocationtomultipleclients147times.Meyerwasamong14lawyersaudited.TwootherIowalawyersweresuspendedforoverchargingthestatepublicdefenderlastterm.”86“Massachusetts,despiteitsseriousproblemsincompensatingandretaininglawyers,hasestablishedanexcellentsystemforensuringthatattorneyshavetheknowledge,skillsandexperiencetohandlethecasestheyareassigned.TheCommitteeforPublicCounselServices(CPCS)createdatieredcertificationprocess.AttorneysseekingappointmentmustverifytheirtrialexperienceandCLEcompliance.Theymustalsoproviderecommendationsfrompracticingcriminaldefenseattorneys.Inordertobecertifiedaseligibletoacceptcasesinsuperiorcourt,anattorneymusthavetriedatleastsixjuryorsixsuperiorcourtcriminaltrialstoverdictinthelastfiveyearsasleaddefensecounsel.Theapplicantmustfullydescribethecases,includingnames,indictmentnumbersandcharges,namesofjudgesandprosecutors,datesoftrials,andthemajorissuesofeachcase,andofferasreferencethreecriminaldefensepractitionersfamiliarwiththeapplicant'swork.ThechiefcounselofCPCS


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ColoradoTheOfficeoftheAlternateDefenseCounseloftheStateofColorado(OADC)haswrittenGuidelinesonIndigentDefense.87Theysetoutperformancestandards.“TheseguidelinesareintendedtoencouragethelawyersacceptingappointmentsonbehalfoftheAlternateDefenseCounseloftheStateofColorado(ADC)toperformtoahighstandardofrepresentationandtopromoteprofessionalismintherepresentationofclients.”TheOADChasasetofformsandproceduresthatincludecasemanagement,appellateandpost-convictionandjuvenilespecificformsalongwithpaymentandbillingandtravelprocedures.88Italsohasacomplaintandcomplimentprocessandanapplicationforseekingtobeeligibleforappointments.TheOADC’scontractwithappointedcounselrequiresthattheyadheretotheGuidelinesandattendjuvenileordefensespecificcontinuinglegaleducation.Accordingtothecontract,“RepresentationshallcommenceuponOADCappointmentandcontinueinallmattersarisingfromtheappointmentthroughthefilingofanoticeofdirectappealandrelateddocumentsorthefilingandrulingonamotionforreconsiderationofsentence.Iftheappointmentisfortheappealofanadversedecisionofthetrialcourt,thentherepresentationshallincludetheopeningbriefandallotherlegalfunctionsthroughthefilingofthePetitionforWritofCertiorariandanymotiontoreconsidersentence.”WisconsinThestatewidepublicdefenderprograminWisconsinhasanAssignedCounselDivision(ACD)TheACDisinthecentraladministrativeofficeinMadison,andisresponsibleforcontractingwithoutsidecounseltorepresenteligibleclients.Ithasproceduresandstandardsforapplyingtobecertified,awrittencertificationprocess,billingprocedures,andAttorneyPerformanceStandards.89AttorneyscertifiedtotakeSPDappointmentsarecalledonarotationalbasisperWisconsinstatute977.08(3).Attorneysmayacceptordeclinecaseswhentheyarecontacted.Theprogramprovidesaccesstoinvestigatorsandexperts.Billingisonlineandtheprogramrequirescontractorstodetailtheirwork,includingclientcommunications.TheDivisionhasaprogrammanagerandfourauditors.ProgramdataiscollectedbytheDivisionDirectorprovidingasourceoffiscalandqualitycontrol.ConnecticutConnecticut’sstatewidepublicdefenderprogramhasanAssignedCounselUnit(ACU).The

mustindividuallyapproveeachapplicant.Attorneysseekingappointmentinthedistrictcourtinmisdemeanorandconcurrentfelonycasesmustbeadmittedintoacountybaradvocateprogramandcompleteafive-daytrainingseminarentitled"ZealousAdvocacyinDistrictCourt."Attorneysmustbereevaluatedandrecertifiedeveryfourtofiveyears.'”MarySueBackus&PaulMarcus,TheRighttoCounselinCriminalCases,ANationalCrisis,57HastingsL.J.1031,1090(2006).87Foundat:https://www.coloradoadc.org/images/OADCUpload/GuidelinesIndigentDefense.pdf88Foundat:https://www.coloradoadc.org/public-information/forms-and-procedures89See:https://www.wispd.org/index.php/for-the-legal-practitioner/spd-assigned-counsel-division


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assignedcounselprogramisacomplicatedandinvolvedprocessthatrequiresconstantattention.AssignedcounselareattorneyswhohavebeenvettedontheirqualificationsbytheACU,thenapprovedbytheACUforacontractinachosenpracticeareawiththeOffice.TheACUassignscasesaccordingtoapprovedpracticeareasandcourtlocations.OnceanassignmentisacceptedtheACUpaystheattorneytohandlethecase.TheConnecticutOfficehasaStandingCommitteemadeupofseveralmemberschosenbytheDirectorofAssignedCounsel,theChiefPublicDefenderandtheDeputyChiefPublicDefender.TheStandingCommitteemakesdecisionsastowhohasacontractwiththeACU,whichcourtlocationseachattorney/firmhas,andwhichpracticeareastheyareapprovedfor.TheCommitteemakesdecisionswhenthereisaconcernorproblemregardinganassignedcounselorassignedcounselfirm.Insuchsituations,committeeactionincludesbutisnotlimitedtoremovingproblematiccourtlocationsorpracticeareasfromassignedcounsel,suspendingassignmentsinoneormorelocations,andterminatingacontract.Thestandingcommitteemeetsseveraltimesayearandmakesotherdecisionsasagroupthroughouttheyearasneeded.Intheassignmentofcaseseffortsaremadetoavoidspecialtreatmentandfavoritism.Whilelawfirmsmayasktoaddattorneystotheirlistofassignedcounselapprovedattorneys,orremovethem,theywillnotreceivemorecasesfromrotationsforadditionalstaff.Thisistoprevent“empirebuilding”andtomaintaintheintegrityofrotations.Solopractitionersandfirmshavethesameaccesstoappointmentsthroughrotations.Onecontractforeveryfirm/solomeansonepositionintherotationoftheircourtlocation.AssignedCounselareindependentcontractorswhohavetheirownfirms/offices.WhenacceptingacasefromtheACUtheyhavesomelimitedmalpracticecoveragefromtheagency,butareexpectedtoindependentlyfollowtherulesandrequirementsforattorneyslicensedtopracticeintheStateofConnecticut.TheACUmayprovideorrequiresometrainingwhenpossible,butassignedcounselareexpectedtomanagetheircaseloadsandrepresenttheirclientsinanindependentandethicalmannerideallywithoutinterferenceoradvicefromtheACU.Theprogramauditsthefinancialtransactiondatapriortopayment.ModerntechnologyandanactiveandengagedStandingCommittee,aswellasultimateoversightfromtheChiefDefender,assistsgreatlyinmanagingthetasksrequiredtohaveaneffective,accountableunit.TexasTheTexasIndigentDefenseCommission(TIDC)hasdescribedthebenefitsandoperationsof


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managedassignedcounselprograms(MAC)intworecentpublications.90TheCommissionseesmanaged,asopposedtounmanaged,assignedcounselprogramsasanimportantdeliverymodelbecausethemanagedsystemputsinplacemechanismstoensurequalityrepresentation,mechanismsthatdonotexistintheunmanagedassignedcounselandcontractdefendersystems.Suchmechanismsincludeassignmentandpaymentofcasesindependentofthejudiciary;trackingandpaymentofexpertwitnessesandinterpretersassistingdefensecounseloutsideofcourt;improvedprovisionandcoordinationofsupportservicestoattorneysandclientslikeinvestigators,socialworkers,mitigationspecialists,andimmigrationconsultations;datacollectionandanalysis;training;mentorship;caseloadcontrols;andsupervision.MACshavebeenorwillsoonbeestablishedinfourTexascounties:Lubbock,Travis(Austin),Collin,andHarris(Houston).91MichiganTheMichiganIndigentDefenseCommission(MIDC)haspromulgatedstatewideminimumstandardsfor120locallybasedindigentdefensesystemsinMichigan.92UndertheMIDCAct,everyfundingunitmustsubmitanannualplanfordeliveringindigentdefenseservicesinaccordancewiththeminimumstandards.In2016,inanticipationoftheMIDCminimumstandardsbeingapprovedandtoassistlocalsystemsinidentifyinganappropriatemodel,theMIDCauthoredaguidetoindigentdefensedeliverysystems.93Theguidenotedthatamanagedassignedcounselsystem(MAC)couldbeusedeitherincoordinationwiththepublicdefenderofficeoralonetoengagetheprivatebarinthedeliveryofindigentdefense.94

90TIDC,PrimeronManagedAssignedCounselPrograms(Sept.2017),http://www.tidc.texas.gov/media/57815/tidc_primer2017.pdf;ManagedAssignedCounselProgramsinOperation(Feb.2018),http://www.tidc.texas.gov/media/57919/tidc_primersup2017.pdf.91FormoreinformationaboutTexas’MACprograms,seetheLubbockPrivateDefendersOffice(https://www.lpdo.org/),CapitalAreaPrivateDefenderService(CAPDS;http://www.capds.org/);andtheCollinCountyMentalHealthManagedCounselProgram(https://www.collincountytx.gov/indigent_defense/Pages/default.aspx).TheHarrisCountymisdemeanorcourtswerestillintheprocessofsettinguptheirMACatthetimeofthiswriting.92MichiganIndigentDefenseCommission(MIDC)MinimumStandardsforIndigentDefenseareavailablehere:https://michiganidc.gov/standards/.FouradditionalstandardshavebeenapprovedbytheMIDCandarependingfinalapprovalbytheMichiganDepartmentofLicensingandRegulatoryAffairs.Thependingstandardscoverqualificationandreviewofcounsel.93MichiganIndigentDefenseCommission,DeliverySystemReformModels:PlanningImprovementsinPublicDefense,p.16-18(Dec.2016),https://michiganidc.gov/wp-content/uploads/2015/04/Delivery-System-Reform-Models-Final-Dec-2016.pdf.94Id.SeealsoMCL780.991(b)(“Ifthecaseloadissufficientlyhigh,indigentcriminaldefenseservicesmayconsistofbothanindigentcriminaldefenderofficeandtheactiveparticipationofothermembersofthestatebar.”)


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In2019,thefirstyearofminimumstandardsimplementation,morethan40systemsintroducedamanagedassignedcounselsystemmodeltodeliverindigentdefense.95Thisincludesaneight-countyMACthatutilizesoneadministratortooverseeallindigentdefenseservices.96InMichigan,theemergenceofthetrial-levelMACmodelhasbeenaneffectivemechanismforensuringcompliancewiththeMIDCstandards.AlthoughtheresponsibilitiesofMACadministratorsvaryfromsystemtosystem,theymayincludetheassignment,billingandpaymentforindigentdefensecases,monitoringtimelymeetingswithclients,assigningandpaymentofexpertsandinvestigators,managingthelistofeligiblerosterattorneystoensurecompliancewithtrainingrequirements,monitoringattorneycaseloadsandtrackingandreportingcompliancedatatoMIDC.Likepublicdefenderoffices,MACscanalsoserveasincubatorsforinnovationandbestpractices.Onecounty-basedMACimplementedagrant-fundedprograminwhichasocialworkerpartneredwithassignedcounseltoproviderepresentationtoindigentdefendantsinanefforttoreducejailandprisonsentencesandincreasecollaborationwithsocialserviceproviders.97Theabove-referencedeight-countysysteminMid-Michiganiscoordinatinga2ndchair/mentoringprograminanticipationoftheMIDC’spendingstandardforqualificationandreviewofcounsel.NewYorkLikemanystates,NewYorkhasacounty-basedpublicdefensesystem.Ina2006report,acommissionconvenedbythen-ChiefJudgeJudithKayefoundthatthiscounty-basedsystemledtosevereunder-fundingofmandateddefenseservices,andasaresultseveraldeficienciesinthequalityofrepresentation,includinginsufficientqualityoversightandsupervisionofattorneys.98In2014,NewYorkStateinitiatedstepstoimprovemandatedrepresentationinfivecountiesbysettlingtheHurrell-Harringv.NewYorkStatelitigation(“HHsettlement”).99TheHHsettlementrequiredseveralqualityreforms,includingimprovedsupervisionofallattorneys

95MichiganIndigentDefenseCommission2019ImpactReport:IndigentDefenseTransformationBeginsStatewide,p.26(June2020),https://michiganidc.gov/wp-content/uploads/2020/06/2019-Annual-Impact-Report.pdf..96Id.atp.30.97Id.atp.27.98SeeTheCommissionontheFutureofIndigentDefenseServices,FINALREPORTTOTHECHIEFJUDGEOFTHESTATEOFNEWYORK,June2006.TheKayeCommissionreportisavailableat:http://www.courts.state.ny.us/ip/indigentdefense-commission/IndigentDefenseCommission_report06.pdf.99TheHurrell-Harringsettlementcanbefoundhere:https://www.ils.ny.gov/files/Hurrell-Harring%20Final%20Settlement%20102114.pdf.


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providingpubliccriminaldefenserepresentation.100TheNYSOfficeofIndigentLegalServices(ILS),whichhadbeenestablishedin2011,waschargedwithimplementingthesettlement.In2017,ILS’sauthorizingstatutewasamendedtoaddanewsubdivisionwhichextendedtheHHsettlementreformstotheentirestate.101Thus,forthepastseveralyearsILShasbeenworkingwithallcountiesandNewYorkCitytodevelopinfrastructuresformeaningfulsupervisionofpubliccriminaldefenseattorneys.Forinstitutionalcriminaldefenseproviders,thishasmeantcreatingsupervisorypositionsandhiringadditionalattorneystoreducesupervisingattorneycaseloadssotheyhavethetimetoengageinsubstantivesupervision.Ithasalsomeantenhancedaccesstotrainingandsecondchairopportunitiessoattorneyscanbuildtheirskillsandhavemeaningfulavenuestoaddressdeficienciestheirsupervisorsidentify.ForAssignedCounselPrograms(ACPs),supervisioncanposeachallengebecausepanelattorneysareindependentcontractorsandnotemployees.Additionally,ACPpanelattorneysoftenpracticeinisolationandinmultiplecounties.Butmeaningfulsupervisionisstillpossiblethroughseveralcomponents,whichareidentifiedinILS’sStandardsforEstablishingandAdministeringAssignedCounselPrograms(“ACPStandards),promulgatedin2019.102Thesecomponentsare:

1. AsoundACPinfrastructurethatincludesanACPAdministratorwhoisanexperienceddefenseattorney.(ACPStandardsSection3,RequiredStructure).

2. Anassessmentprocesstodeterminethecasetypesappropriateforeachattorney,arecertificationprocess,aswellasperformancereviewandremediationpolicies.(ACPStandards10.2,14.1,and14.3).

3. Proceduresforreceiving,investigating,andaddressingcomplaintsaboutpanelattorneys.(ACPStandard14.2).

4. Amentoringandresourceattorneyprogramwhichenlistshigh-qualityattorneys,preferablypaid,towhomotherattorneyscanturnforsupportandassistance.(ACPStandard4.2.b).

5. Asecond-chairprogramthatprovidestrialexperiencetoattorneys.(Standard4.2.e).

6. Accesstotraining,includinglecturestyleandmulti-dayskills-basedtrainings.(Standard4.2.d).

7. ThetechnologythatallowstheACPtocollect,analyze,andreportondata;trackattorneycaseloads;andeffectivelycommunicatewithclients,courts,andattorneys.(Standard4.1.b).

100SectionVoftheHHsettlementrequiresimplementationofplanstoensurethatallattorneys“receiveeffectivesupervisionandtrainingincriminaldefenselawandprocedureandprofessionalpracticestandards.”101SeeNYSExecutiveLaw§832(4).102TheILSACPStandardscanbefoundat:https://www.ils.ny.gov/content/assigned-counsel-program-standards.


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Notably,components#1-#3,and#7providequalityoversightandopportunitiestoidentifydeficientperformance,whilecomponents#4-#6ensurethatpanelattorneyshaveapathforsupport,improvedperformance,andmeansofaddressingidentifieddeficiencies.Inaccordancewiththeseprinciples,ACPsintheHHsettlementcountiesandacrossthestatearehiringACPadministrators,supervisingattorneys,andotheressentialexecutivelevelattorneystaffnecessaryforawell-managedprogram.Theyarerecruitingmentorsandresourceattorneys,encouragingtheuseofsecondchairs,andfacilitatingtrainingwithstatefunding.Likewise,institutionaldefendersstatewideareaddinglayersofsupervisionandrevampingstaffingstructurestoensureappropriateoversightandsupport.SanMateoCounty,CaliforniaUnlikemostothercountiesinCaliforniathathaveaPublicDefender’sOffice,SanMateoCountyhasamanagedassignedcounselprogramknownasthePrivateDefenderProgramcomprisedofapanelofprivateattorneyscommittedtohandlingcriminalcases.103ThePrivateDefenderProgramisaprogramoftheSanMateoCountyBarAssociationandemploysaChiefDefender,AssistantChiefDefender,ManagingAttorneysforJuvenileandAdultoperations,aHeadofInvestigationsandasupportstaff.Themanagementteamoverseescaseloads,attorneyperformance,trainingsandclientsatisfaction.ThePrivateDefenderProgramoffersmonthlylunchtimetrainingsessions,aswellasquarterlytrainingeventseachyear.ThePrivateDefenderProgramhasanOfficeroftheDaypresentandavailabletoreceivecallsorvisitsregardinganyquestionsorconcernsthatmayariseduringthependencyofacase.EligibilityforrepresentationbythePrivateDefenderProgramisestablishedbythecourtatthetimeofthefirstappearanceoneligiblecases.PrivateDefenderrepresentativesarepresentatthearraignmentcalendarstoacceptappointmentsandproviderepresentation.OncethecourtappointsthePrivateDefenderProgram,thePDPrepresentativeincourtwillbeginactingastheattorneyfortheaccused.TheappointmentsarethenprocessedbythePDPstaffandaspecificlawyerwiththeappropriatetraining,experienceandskillwillbeassignedfortheremainderofthecase.PrivateDefenderattorneysareexperiencedcriminallawyers,licensedtopracticeinCalifornia.EachlawyerrunstheirownprivatelawpracticeandmaintainsanofficewithintheCountyofSanMateo.TheaveragePDPlawyerdevotes79percentofhisorhertimetotherepresentationofclientsassignedbytheProgram.TherearesomelawyerswhochoosetodevotealloftheirtimetotheirPDPcases.OtherschoosetomaketherepresentationofPDPclientsapartoftheirlargercriminaldefensepractice.EverylawyeronthepanelisrequiredtofilloutanAnnualSurvey,detailingtheirworkonPDPcasesfortheyear.Thisreportincludes103https://www.smcba.org/for-the-public/criminal-defense/.


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theirtrials,motions,hearingsandtrainingsfortheyear.Areviewofthesesurveysisconductedbythemanagementteamtooverseethequalityofeachattorney’swork.ThePrivateDefenderProgramattorneysworkwithapanelofwell-trained,experiencedinvestigators.TheinvestigativeservicesavailabletoeveryPDPclientinclude,butarenotlimitedto,locatingandinterviewingwitnesses,servingsubpoenasonwitnessesfortrial,photographinganddocumentingcrimescenes.Investigatorscanalsohelpobtainevidence,suchasmedicalrecords,cellphonerecords,camerafootageandbusinessrecords.Ourinvestigatorsworkcloselywiththeassignedattorneytodevelopthemosteffectivestrategyforeachcase.Theyareapartofthedefenseteamandwillmaintaintheconfidentialityofeveryaspectofthecase.Acomplexcasecouldhavetwotothreeinvestigatorsassignedtoassisttheleadinvestigatorwithavarietyoftasks.Theworkofboththeattorneysandinvestigatorsisbilledthroughacasemanagementsystem.Theinvestigatorsbillhourlyandmustgivedetaileddescriptionsoftheirworkandthetimespentoneachtask.Thecasesassignedtotheattorneysfallintodifferentcategorieswithsomebeingpaidbyaflatfeeamountandothersbeingpaidhourly,dependingonthetypeofcaseandtheamountofworktypicallyrequiredtoprovidehighqualityrepresentation.Thehourlybillsarereviewedbymanagementaswellasaspecialfeecommitteepriortopayment.Attorneysarealsoencouragedtoaddinterpreters,doctorsandexpertsinavarietyoffieldstotheircaseteams,allowingthemtoprovidethemostcompleteapproachtoadefensepossible.Allrequeststouseexpertsinanycaserequirepriorapproval.ThisallowsmanagementtobothexercisesomecontroloverProgramspending,butalsomonitorattorneys’useofexpertsforthebestoutcomesintheircases.OversightoftheProgramisconductedbothbytheSanMateoCountyBarAssociation’sBoardofDirectorsandtheCounty’sBoardofSupervisors.TheProgrampreparesanAnnualReportsettingforthcompliancewiththeCountycontractforProgramservices,includingdetailedbudgetreportsandcasecounts.TheAnnualReportispreparedandsubmittedwithin90daysoftheendofeachfiscalyear.WashingtonInthestateofWashington,attorneyscertifytheirfamiliaritywithWashington’sPerformanceGuidelines.104

104See:https://www.wsba.org/docs/default-source/legal-community/committees/council-on-public-defense/perf-guidelines-for-criminal-def-rep-060311.pdf?sfvrsn=c2e43cf1_3;andsee:https://www.wsba.org/docs/default-source/legal-community/committees/council-on-public-defense/performance-guidelines-for-juvenile-offense-representation.pdf?sfvrsn=f0207f1_6


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Inconclusion:assistdefendersinhelpingclientsThetraditionalmarkersofmeaningfulrepresentation,includingdevelopingclientrelationships,appropriateinvestigation,accessingexpertassistance,routinesuppressionmotionsandevidentiaryhearings,trialsbyjurorsinthecommunity,anddefense-generatedsentencingplansaresignificantindicatorsofawell-managedpublicdefender,assignedcounsel,andcontractdeliverymodel.Theseresultfromwell-managedpublicdefensesystems.Publicdefensesystemsmuststriveforhighqualityrepresentationofallclients.Effectivesupervisioninvolvingregularcoachingofdefendersiskeytoachievingthisdutyacrossthesystem.Thevalueofactivesupervisionisfoundinitshelpingdefendershelpclients.“Inthesimplest,day-in,day-outterms,masterfulcoachinginvolvesexpandingpeople’scapacitytotakeeffectiveaction.Itoftencomesdowntomakingitpossibleforpeopletosucceedinareaswheretheyaremoststuckorineffective.”105Activesupervisionhelpsdefendershelpclients.

105RobertHargrove,MasterfulCoaching(1995)at15.