United States v. Michael Ray Altamirano

11 F.3d 52, 1993 U.S. App. LEXIS 33284, 1993 WL 525907
CourtCourt of Appeals for the Fifth Circuit
DecidedDecember 20, 1993
Docket93-2016
StatusPublished
Cited by29 cases

This text of 11 F.3d 52 (United States v. Michael Ray Altamirano) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fifth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Michael Ray Altamirano, 11 F.3d 52, 1993 U.S. App. LEXIS 33284, 1993 WL 525907 (5th Cir. 1993).

Opinion

PATRICK E. HIGGINBOTHAM, Circuit Judge:

The district court imposed a probated fine. It also adopted a presentence report suggesting that the defendant had no present or future ability to pay a fine. The defendant contends that the district court lacked authority to probate a fine and in any event should not have done so because he had no present or anticipated ability to pay. We conclude that inability to pay is not an absolute barrier to a fine. We also conclude that the district court had no authority to probate the fine. We vacate the probated fine and remand for resentencing to give the district court the chance to reconsider the propriety or amount of the fine.

I.

Michael Altamirano pleaded guilty to a drug offense. The district court sentenced him to 60 months in prison, 5 years of super *53 vised release, a $50 special assessment, and a $50,000 fine probated on the condition that Altamirano obtained his GED, a commendable effort to set him on a better course. The PSR stated that Altamirano resided in jail, had no job or assets, had an eighth grade education, and had performed menial tasks at various restaurants. It made no recommendation on imposing a fine.

II.

There are some general starting points. A sentencing court cannot constitutionally enhance the jail sentence of an indigent person beyond the statutory maximum because he cannot afford to pay a fine. Williams v. Illinois, 399 U.S. 235, 242-43, 90 S.Ct. 2018, 2022-23, 26 L.Ed.2d 586 (1970). Similarly, a state cannot convert a fine imposed under a fine-only statute into a jail term solely because the defendant cannot pay. Tate v. Short, 401 U.S. 395, 399, 91 S.Ct. 668, 671, 28 L.Ed.2d 130 (1971). More recently, the Court expanded this principle in Bearden v. Georgia, 461 U.S. 660, 103 S.Ct. 2064, 76 L.Ed.2d 221 (1983). The Court held that a district court cannot revoke probation for failure to pay a fine unless it finds that probationer willfully refused to pay, that probationer did not make sufficient bona fide efforts legally to acquire adequate financial resources, or that another sanction would not serve the state’s interests in punishment and deterrence. Id. at 672, 103 S.Ct. at 2073.

The Sentencing Guidelines express similar sensitivity to indigency, requiring a fine unless the defendant establishes that he cannot pay and is not likely to become able to pay. U.S.S.G. § 5E1.2(a) (Nov.1992). After determining that a defendant can pay, a court may consider the factors in U.S.S.G. § 5E1.2(d) (Nov.1992) to determine the fine’s place within the guideline range. Under U.S.S.G. § 5E1.2(d) (Nov.1992), a court again must consider the defendant’s ability to pay in light of his earning capacity and financial resources. U.S.S.G. § 5E1.2(d)(2) (Nov. 1992).

Neither the Constitution, nor applicable sentencing statutes and guidelines, however, categorically prohibit a court from ever imposing a fine after the defendant has proven his inability to pay. United States v. Voda, 994 F.2d 149, 154 n. 13 (5th Cir.1993). The Court recognized this fact in Williams: “[Njothing we now hold precludes a judge from imposing on an indigent, as on any defendant, the maximum penalty prescribed by law.” 399 U.S. at 243, 90 S.Ct. at 2023. The Court echoed this sentiment in Bearden: “A defendant’s poverty in no way immunizes him from punishment.” 461 U.S. at 669, 103 S.Ct. at 2071. Under this arrangement, sentencing courts consider a defendant’s ability to pay only after the government unsuccessfully has attempted to collect the fine. Voda, 994 F.2d at 154 n. 13 (quoting United States v. Merritt, 639 F.2d 254, 257 (5th Cir.1981)).

Similarly, isolated guidelines require sentencing courts to consider indigency in calculating a fine, but the guidelines, taken as, a whole, do not prohibit sentencing courts from imposing fines on defendants who cannot pay. U.S.S.G. §§ 5E1.2(a), 5E1.2(d)(2), 5E 1.2(f) (Nov.1992). To be sure, U.S.S.G. § 5E1.2(a) (Nov.1992) states that “[t]he court shall impose a fine in all cases, except where the defendant establishes that he is unable to pay and is not likely to be able to pay a fine,” but this provision must be read in light of the fact that indigency alone has never barred imposition of a fine and U.S.S.G. § 5E1.2(f) (Nov.1992), which gives a sentencing court the discretion to lessen or waive a fine imposed on an indigent defendant.

Much of the confusion about the power of a sentencing court to fine a defendant who cannot pay rests with the contrasting language in U.S.S.G. § 5E 1.2(a) and U.S.S.G. § 5E1.2(f). Taken together, U.S.S.G. § 5E1.2(a) and U.S.S.G. § 5E1.2(f) suggest that a court may fine a defendant who cannot pay, though it generally should not impose such a sanction.

The first guidelines did not include the language in U.S.S.G. § 5E1.2(a) (Nov.Í992) stating that a court shall impose a fine in all cases except where the defendant establishes that he cannot and will not be able to pay. Instead, that provision stated only that “[e]x-cept as provided in subsection (f) below, the court shall impose a fine in all cases.” U.S.S.G. § 5E1.2(a) (Nov.1989). Subsection *54 (f) stated that “[i]f the defendant establishes that (1) he is not able and, even with the use of a reasonable installment schedule, is not likely to become able to pay all or part of the fíne required by the preceding provisions, or (2)imposition of a fíne would unduly burden the defendant’s dependents, the court may impose a lesser fíne or waive the fíne.” U.S.S.G. § 5E1.2© (emphasis added).

The explicit prohibition against fining indigent defendants in U.S.S.G. § 5E1.2(a) (Nov. 1992) first appeared in the November 1990 guidelines, but, curiously, U.S.S.G. § 5E1.2(f) retained its discretionary language. In fact, a new application note in November 1990 stated that “[t]he determination of the fine guideline range may be dispensed with entirely upon a court determination of present and future inability to pay any fine.” U.S.S.G. § 5E1.2, comment 3 (Nov.1990) (emphasis added). The application notes for the November 1992 guidelines retain the same discretionary language. Though the explicit prohibition against imposing fines on indigents in U.S.S.G. § 5E1.2(a) has remained in the guidelines since November 1990, U.S.S.G. § 5E1.2(f) and the application notes give a sentencing court the discretion to impose a fine on an indigent defendant.

Our jurisprudence fits within this framework, as United States v. Fair, 979 F.2d 1037 (5th Cir.1992) does not mandate a different result. In Fair, we recognized that a defendant may rely on a PSR to establish his inability to pay a fine. Id. at 1041.

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Bluebook (online)
11 F.3d 52, 1993 U.S. App. LEXIS 33284, 1993 WL 525907, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-michael-ray-altamirano-ca5-1993.