Lead Opinion
This case is before the Court for review of the en banc decision of the Fourth District Court of Appeal in Noel v. State,
FACTS
Following a jury trial, Jean Claude Noel was convicted of one count of conspiracy to commit racketeering and one count of first-degree grand theft. The charges stemmed “from an elaborate scheme to steal advance fees from victims who sought to obtain funding for their business projects.” Noel,
THE COURT: All right. Let me ask this of Mr. Noel.
Mr. Noel are you in a position where you can make any restitutions on- this case, as part of a — of a sentence here?
In other words, you know, you heard that Mr. [Warren] Berkle2 made [up front] restitution of two-hundred ten-thousand dollars towards the victims.
And you heard from the different people here, who were victims, and it shows, according to the chart, which only shows the documented money that you received, it shows you received two-hundred five-thousand three-hundred fifty-six dollars and two cents, which is 16.73 percent of the proceeds of the — of the charges that were alleged in the Information.
What position are you in, at this point, to make any up front payment of restitution? And — I don’t know, because it’s going to be based-on your ability to tell me that.
NOEL: Well, of- course, I have been also incarcerated for three years now.
THE COURT: Right. That’s why I’m asking.
NOEL: Limited, sir. But-there would be an amount that could be negotiated.
THE COURT: Well, ,I’m not asking for you a negotiation, I’m asking you reasonably. without. your - family starving, because they, obviously, are . not charged, not involved. So what amount of restitution, give me a range? If you don’t have an exact number—
[DEFENSE. COUNSEL:] Your Hon- or, negotiated, he didn’t mean negotiate with the Court, but negotiate with other members of the family.
THE COURT: That would raise money withhim.
[DEFENSE COUNSEL:] Yes, that’s what he intended. I don’t believe he knows a figure at this juncture, because .we did discuss it.
THE COURT: If you have an idea, Mr. Noel, just give me.a-range. You don’t have to give me an exact number, just a range.
NOEL: I’m sorry. Your Honor.- I have to' ask, would’this'be what would be made on a regular—
THE COURT: No, an up-front lump sum basis.
*373 NOEL: A lump up-front figure would be somewhere between twenty to forty-thousand dollars plus other things. .
[DEFENSE COUNSEL:] Just for the record, Judge, I wasn’t finished with my distinguishing Mr. [Ralph] McNamara from my client.
.THE COURT: Go ahead. I’m sorry. You know, I get sidetracked.
[DEFENSE COUNSEL:] That’s okay. I’m glad Your Honor asked the questions.
Noel’s privately-retained counsel requested a prison sentence of 3.8 years, while the prosecutor sought a minimum of fifteen years in prison. According to Noel’s sentencing scoresheet} the lowest possible prison sentence was 3.81 years, while the maximum prison sentence for each offense was thirty years. §§ 812.014(2), 895.03(4), . 895.04(1), 775.082(3)(b), Fla. Stat. (2009).
At the conclusion of the sentencing hearing, the trial court ordered Noel to serve ten years in prison followed by ten years of probation:
THE COURT: Okay. All right. Here’s-the sentence with — and I’m hoping that this is a fair sentence. And I’m hoping it accomplishes something to these victims that have lost so much as a result of this whole incident. And I hope‘it gives Mr. Noel a chance to restart his life, as 'Well, without any continuing problems.
It’s going to be ten years Florida State Prison followed by ten years 'probation. If he makes restitution of twenty-thousand dollars .within sixty days, his sentence will be mitigated — the jail time portion will be mitigated to eight years.
(Emphasis added.) The trial court further ordered, as conditions of probation, that Noel owed six hundred fifty thousand dollars in restitution and provided for income deduction of fifteen percent. The trial court’s written order provided that “if the Defendant pays $20,000 within 60 days of the Court’s Order, the [ten-year] prison portion of his sentence shall be mitigated to eight (8) years state prison.” Noel’s ten-year prison sentence was not mitigated because he failed to make the restitution payment of $20,000 within sixty days. The trial' court denied Noel’s counsel’s request for an extension of the sixty-day-period.
On appeal,
[Consistent . with the Fourteenth Amendment of the United States Constitution, when deciding what sentence to initially impose, a sentencing judge may - consider the entire background of a defendant, including employment history, financial, resources, and ability to make ■restitution. The Constitution does not preclude a judge from actively using the sentencing process to encourage payment of restitution to victims of crimes, nor does it prevent a judge from showing mercy by reducing the severity of a previously imposed legal sentence.
Id. -at 770-71. The Fourth District found that the trial court imposed an appropriate sentence based not on Noel’s ability to pay restitution, but on his prior record and the extent of the criminal scheme employed. Id. at 777.
In discussing case law from the United States Supreme Court, the district court explained that Bearden v. Georgia,
The Fourth District accordingly affirmed Noel’s convictions and sentences, certified conflict with Nezi,
ANALYSIS
Noel claims that his sentence — which provided that if he were to make a restitution payment of $20,000 within sixty days, then his prison term would be mitigated from ten years to eight years — violates his equal protection and due process rights secured under the United States Constitution.' Noel asserts that section 921.185, which affords discretion to the trial courts to consider restitution as mitigation, was unconstitutionally applied.
“The constitutionality of a statute is a question of law subject to de novo review.” Crist v. Ervin,
Restitution
The “purpose of restitution is not only to compensate the victim, but also to serve the rehabilitative, deterrent, and retributive goals of the criminal justice system. The trial court is best able to determine how imposing restitution may best serve those goals in each case.” State v. Hawthorne,
“[T]he defendant’s financial resources or ability to pay does not have to be established when the trial court assesses and imposes restitution.” Del Valle v. State,
United States Süpreme Court Decisions
In Griffin v. Illinois,
[0]ur own constitutional guaranties of due process and equal protection both call for procedures in criminal trials which allow mo invidious’ discriminations between persons and different groups of persons. Both ‘equal protection and due process emphasize the central aim of our entire judicial system — all people charged with crime must, so far as the law ⅛ concerned, “stand on an equality before the bar of justice in every American court.”
In Williams v. Illinois,
The Supreme Court' held that states “may not constitutionally imprison beyond the maximum duration fixed by statute a defendant who is financially unable to pay a fine.” Id. at 243,
In Tate v. Short,
the same constitutional defect condemned in Williams also inheres in jailing an indigent for failing to make immediate payment of any fine, whether or not the fine is accompanied by a jail term and whether or not the jail term of the indigent extends beyond the maximum term that may be imposed on a person .willing and able to pay a fine. In each case, the Constitution prohibits the State from imposing a fine as a sentence and then automatically converting it into a jail term solely because the defendant is indigent and cannot forthwith pay the fine in full.
Id. at 398,
We hold, therefore, that in revocation proceedings for failure to pay a fine or restitution, a sentencing court must inquire into the reasons for the failure to pay. If the probationer willfully refused to pay or failed to make sufficient bona fide efforts legally to acquire the resources to pay, the court may revoke probation and sentence the defendant to imprisonment within the authorized range of its sentencing authority. If the probationer could not pay despite sufficient bona fide efforts to acquire .the resources to do so, the court must consider alternate measures of punishment other than imprisonment. Only if alternate measures are not. adequate to meet the State’s interests in punishment and deterrence may the court imprison a probationer who has made sufficient bona fide efforts to pay. To do otherwise would deprive the probationer of his conditional freedom simply because, through no fault of his own, he cannot pay the fine. Such a deprivation would be contrary to the fundamental fairness required by the Fourteenth Amendment.
Id. at 672-73,
Bearden’s holding represented “a delicate balance between the acceptability, and indeed wisdom, of considering all relevant factors when determining an appropriate sentence for an individual and the imper-missibility of imprisoning a defendant solely because of his lack of financial resources.” Id. at"661,
Although “[d]ue process and equal protection principles converge in the Court’s analysis,” Bearden suggested that a due process analysis is better-suited for issues concerning the treatment of criminal defendants who are indigent:
A due process approach has the advantage in this context of directly confronting the intertwined question of the role that a defendant’s financial background can play in determining an appropriate sentence. When the court is initially considering what sentence to impose, a defendant’s level of financial resources is a point on a spectrum rather than a classification. Since indigency in this context is a relative term rather than a classification, fitting “the problem of this ease into .an equal protection framework is a task too Procrustean to*378 be rationally accomplished,” North Carolina v. Pearce,395 U.S. 711 , 723 [89 S.Ct. 2072 ,23 L.Ed.2d 656 ] (1969). The more appropriate question is whether consideration of a defendant’s financial background in setting.'or resetting a sentence is so arbitrary or unfair as to be a denial of due process.
Id. at 665, 666 n. 8,
Due Process
The due process clause under the United States Constitution provides that no State shall “deprive any person of life, liberty, or property, without due process of law.” U.S. Const, amend. XIV. This clause “protects the individual against the arbitrary arid unreasonable exercise, of governmental power.” State v. Robinson,
The Certified Conflict Decision.
In Nezi, the trial court inquired during sentencing as to how much of the $70,000 in restitution the defendant could pay at the time.
In reversing for resentencing, the Fifth District, on appeal, held that the trial court violated the defendant’s equal protection rights:
'While a defendant’s willingness and capacity to pay restitution can be among the reasons a judge may decide to impose a lower sentence, the equal protection clause prohibits a judge from conditioning a lower sentence on the payment of restitution. DeLuise v. State,72 So.3d 248 (Fla. 4th DCA 2011). Here, the trial court violated Nezi’s equal protection rights by imposing a harsher sentence after making it clear that if Nezi, at the time of the sentencing hearing, had the financial means to pay a large part of the agreed-upon restitution, it would have imposed lesser sanctions. The court did not cure the equal protection violation by deleting the provision in the sentencing order that it would consider mitigating the sentence if, sometime in the future, Nezi paid a substantial amount of money toward restitution. A sentencing order that allows a defendant to reduce the length of incarceration if she pays restitution is not materially different from a sentencing*379 order that requires the defendant to serve more time if she does not pay restitution. “Regardless of how the trial court phrases its order, the 'result is a shorter term for a defendant if she can and does pay, and a longer term if she cannot and does not pay. This result is clearly prohibited by the equal protection clause. See People v. Collins,239 Mich.App. 125 ,607 N.W.2d 760 , 765 (1999).
Id, at 522.-
This Case
A trial court may consider a defendant’s financial resources at sentencing. See Bearden,
Noel’s sentence included the provision that if he paid $20,000 in restitution within sixty days of his sentencing, then his ten-year prison term ’would be mitigated to eight years. Thus, the length of Noel’s prison sentencé was expressly conditioned on whether or not Noel paid the sum within sixty days. Because Noel failed to make this restitution payment, he received a harsher prison sentence. This nonpayment of restitution yielded an increase of two years’ incarceration to .Noel’s sentence, presumably, “solely because of his lack of financial, resources.” See id. at 661,
As Judge Taylor articulated in her dissent below:
This type of conditionally mitigated sentence, which offers the defendant an opportunity to “buy” a shorter sentence, blurs the line between rewarding restitution and impermissibly imposing a longer sentence based solely on a defendant’s inability to pay. A defendant who cannot and does not come forward with restitution will have to serve additional time in prison solely because of his poverty.
Noel,
The fact that Noel stated at sentencing that he could provide an up front figure “somewhere between twenty to forty-thousand dollars,” is immaterial. Notably, the record does not establish that Noel actually had the ability to timely pay the $20,000 in restitution and that his failure to pay was willful.
CONCLUSION
In light of the foregoing, we quash the Fourth District’s decision in Noel and approve the Fifth District decision in -Nezi to the extent that it held the sentence in that case to be unconstitutional.
It is so ordered.
Notes
. After granting Noel’s petition for belated discretionary review and motion for reinstate
. The record reflects that codefendant Berkle was sentenced to ten years’ probation without any prison or jail time.
. The Office of the Public Defender was appointed to represent Noel on appeal.
. In Nezi, the Fifth District held that the trial court violated the defendant’s equal protection rights "by imposing a harsher sentence after making it clear that if Nezi, at the time of the sentencing hearing, had the financial means to pay a large part of the agreed-upon restitution, it would have imposed lesser sanctions." Nezi,
. In DeLuise, the trial court offered to mitigate the prison sentence of a codefendant of Noel’s, Ralph McNamara also known as Ralph DeLuise, if the defendant came up with at least $100,000 within sixty days.
. Previously, however, trial courts were required to consider the defendant’s financial resources when imposing restitution. See § 775.089(6), Fla. Stat. (1993) (“The court, in determining whether to order restitution and the amount of such restitution, shall consider \.. the financial resources of the defendant,”).
. We note that the Florida Constitution contains an express prohibition against imprisonment for debt. See art. I, § 11, Fla. Const, (“No person shall be imprisoned for debt, except in cases of fraud.”).
. While the district court in Nezi concluded that the defendant’s sentence violated the equal protection clause, Nezi,
Dissenting Opinion
dissenting.
Because I would conclude that the trial court’s offer to mitigate Noel’s prison sentence as an incentive for Noel to disgorge a portion of his ill-gotten gains is not “so arbitrary or unfair as to be a denial of due process[,]” Bearden v. Georgia,
QUINCE, J., concurs.
