People v. Vara
People v. Vara
Opinion
*500
¶ 1 Following a bench trial in the circuit court of Stephenson County, defendant Ricardo Vara was convicted of child pornography ( 720 ILCS 5/11-20.1(a)(6)(vii) (West 2012) ). The circuit court sentenced defendant to serve a three-year term of imprisonment and imposed certain fines
*501
*56
mandated by various statutory provisions. Thereafter, the clerk of the circuit court included several entries in the electronic accounts receivable record pertaining to defendant's conviction. Several of those data entries indicated that defendant was obligated to pay other mandatory fines not specified in the circuit court's judgment. On appeal, defendant challenged the data entries recorded by the circuit clerk that purported to assess additional fines not imposed by the circuit court. The appellate court vacated the challenged data entries and rejected the State's argument that the appellate court had authority to order imposition of the mandatory fines that were not imposed by the circuit court.
¶ 2 I. BACKGROUND
¶ 3 After a bench trial, defendant was convicted of child pornography ( 720 ILCS 5/11-20.1(a)(6) (West 2012) ). At the sentencing hearing on August 8, 2014, the circuit court sentenced defendant on that conviction and on another conviction resulting from a separate prosecution. With regard to the child pornography conviction, the court ordered defendant to serve three years in prison and imposed the following mandatory fines: a $1000 child pornography fine ( id. § 11-20.1(c) ), a $500 sex offender fine ( 730 ILCS 5/5-9-1.15 (West 2012) ), and a $500 additional child pornography fine ( id. § 5-9-1.14). 1 The court also imposed a $200 fine that was described at the sentencing hearing as a "sheriff's office fine" but was referenced in the written sentencing order as a "sexual assault fine" ( id. § 5-9-1.7).
¶ 4 Defendant filed a motion to reduce his sentence but did not dispute the validity of the fines imposed by the circuit court. Defendant's motion was denied, and he timely filed a notice of appeal on August 22, 2014. The record on appeal was filed in October 2014.
¶ 5 In April 2016, the appellate court granted defendant leave to supplement the record to include a document titled "payment status information," which bears the seal of the circuit court of Stephenson County. A certification on the payment status information sheet is signed by a deputy circuit clerk and is dated April 13, 2016, approximately 18 months after entry of the circuit court's final judgment. The payment status information sheet lists entries for fees charged to defendant as well as mandatory fines, several of which were not included in the circuit court's judgment. According to the payment status information sheet, the following fines and fees were charged to defendant: "Court" ($50), "Youth Diversion" ($5), "Violent Crime" ($100), "Lump Sum Surcharge" ($250), "Sexual Assault" ($200), "Sex Offender Regis" ($500), "Medical Costs" ($10), "State Police Ops" ($15), "Child Pornography" ($495), and "Clerk Op Deduction" ($5).
¶ 6 On appeal, defendant did not attack his conviction, prison sentence, or the monetary sanctions imposed by the circuit court. His sole contention was that the fine *502 *57 assessments that were detailed in the payment status information sheet but not referenced by the court were invalid and should be vacated. Defendant argued that, although the challenged fines were mandated by statute, they were void because the circuit clerk lacked the authority to levy fines. The State agreed that the fines purportedly assessed by the circuit clerk were invalid but requested that the appellate court either impose the mandatory fines or remand to the circuit court with instructions to do so.
¶ 7 The appellate court vacated the fines challenged by defendant and refused the State's request that it impose the fines or order the circuit court to do so on remand.
¶ 8 The State appeals to this court.
¶ 9 II. ANALYSIS
¶ 10 In this court, the State attacks the appellate court's judgment on several grounds. First, the State contends that the appellate court lacked jurisdiction to review the circuit court clerk's recording of mandatory fines that were not included as part of the court's final judgment. In the alternative, the State asserts that, if the appellate court had jurisdiction, that court had authority to impose the mandatory fines or remand the cause to the circuit court with instructions to impose the fines as required by statute. The State also claims that the appellate court erred in vacating the $200 sexual assault fine identified in the circuit court's written sentencing order. Finally, the State argues that in resolving this appeal we should amend our rules to allow for correction of statutorily unauthorized sentences at any time by motion in the circuit court.
¶ 11 Defendant counters that the appellate court had jurisdiction to vacate the unauthorized fines assessed by the clerk of the circuit court but lacked the authority to impose the mandatory fines or to order that the circuit court do so on remand. He further argues that the appellate court correctly vacated the $200 sexual assault fine referenced on the circuit clerk's payment status information sheet because the trial judge did not impose that fine at the sentencing hearing. Lastly, defendant opposes the State's request for amendment of our rules in disposing of this appeal because no compelling reason justifies suspension of our typical rulemaking procedure.
¶ 12 At the outset, we note that no jurisdictional defect was asserted in the appellate court. However, a reviewing court is obligated to ascertain its jurisdiction before proceeding in a cause of action, regardless of whether the issue has been raised by either party.
Secura Insurance Co. v. Illinois Farmers Insurance Co.
,
*503
*58
Brauer Machine & Supply Co. v. Parkhill Truck Co.
,
¶ 13 Article VI, section 6, of the Illinois Constitution confers on the appellate court jurisdiction to review final judgments entered by the circuit court. Ill. Const. 1970, art. VI, § 6 ;
Shinaul
,
¶ 14 In a criminal case, the final judgment is the sentence.
People v. Allen
,
¶ 15 The Illinois Constitution also provides that clerks of courts are nonjudicial officers of the court. Ill. Const. 1970, art. VI, § 18 ;
Walker v. McGuire
,
¶ 16 Indeed, the clerical responsibilities of circuit clerks have been circumscribed by statute since 1845. See Ill. Rev. Stat. 1845, ch. 29, § 35. Under our current statute, the Clerks of Courts Act (Act) ( 705 ILCS 105/1
et seq.
(West 2016) ), the duties of court clerks include the obligation to preserve all the files and papers of their respective courts and to keep complete records of all the proceedings and determinations thereof.
¶ 17 Acknowledging the sharp divide between the adjudicative role of the court and the clerical function of a circuit clerk, this court has held:
*59 *504 " '[T]here is a well-recognized distinction between rendering a judgment and entering a judgment. The former is the judicial act of the court in pronouncing its ruling or finding in the controversy; the latter is the ministerial act of the clerk in preserving the record of that decision.' " Williams v. BNSF Ry. Co. ,2015 IL 117444 , ¶ 39,389 Ill.Dec. 1 ,25 N.E.3d 646 (quoting Freeport Motor Casualty Co. v. Tharp ,406 Ill. 295 , 299,94 N.E.2d 139 (1950) ).
See also
Cirro Wrecking Co. v. Roppolo
,
¶ 18 Pursuant to the Illinois Constitution, the terms of the Act, and our long-standing precedent, a circuit clerk is obligated to record the ruling of the court and has no authority to enter a judgment on his or her volition. See
Hall
,
¶ 19 The judgment of the court is shown by the record kept by the circuit clerk.
People v. Kamrowski
,
¶ 20 In applying these principles to the question of appellate jurisdiction here, it is essential to bear in mind what defendant challenged in his appeal and what he did not. Defendant sought relief as to certain fines that were recorded by the circuit clerk on the payment status information sheet but were not referenced by the circuit court. Defendant did not attack the validity of his conviction, his prison sentence, or the fines imposed by the circuit court at the time of sentencing. Thus, this case presents the anomalous circumstance in which a defendant has filed an appeal seeking to uphold the judgment entered by the circuit court.
¶ 21 The circuit court's judgment is reflected by the report of proceedings and the written sentencing order signed by the trial judge, which demonstrate that the court imposed four monetary sanctions on defendant: a fine of $1000, two fines of $500 each, and a fine of $200. The data *505 *60 entries referencing other fines not imposed by the court did not accurately reflect the judgment that was entered at the time of sentencing.
¶ 22 In addition, the payment status information sheet, dated approximately 18 months after the court's final judgment, is a document that was created outside the record of the trial court proceedings. Although defendant was granted leave to include it as a "supplement" to the record, that leave was not warranted. Illinois Supreme Court Rule 608 (eff. July 1, 2017) details the items that are to be included in the record on appeal in a criminal case. The payment status information sheet is not part of the common-law record or the report of proceedings of defendant's criminal prosecution. Under Illinois Supreme Court Rule 329 (eff. Jan. 1, 2006), 2 a supplemental record may be filed to correct material omissions or inaccuracies or if the record is insufficient to present fully and fairly the question involved. Amendment of the record is not to be used as a device for inserting extraneous materials into the record on appeal. The payment status information sheet at issue here cannot be characterized as a "material omission" or something that should have been included in the record of the proceedings before the circuit court.
¶ 23 Because the circuit clerk had no authority to levy any fines against defendant, the recording of the additional fines was invalid and unenforceable. However, the fact that the clerk's action was improper does not mean that defendant can challenge the unauthorized fines through the appeal process. The appellate court is constitutionally vested with jurisdiction to review final judgments entered by circuit courts. The recording of a fine is a clerical, ministerial function and is not a judgment-void or otherwise. Therefore, the improper recording of a fine is not subject to direct review by the appellate court. Accordingly, we agree with the State that the appellate court lacked jurisdiction to review the clerk's recording of mandatory fines that were not included as part of the circuit court's final judgment.
¶ 24 In reaching this conclusion, we reject defendant's argument based on our 2012 decision in
People v. Gutierrez
,
¶ 25 However, the legal landscape has changed dramatically since
Gutierrez
was decided. In
Castleberry
,
¶ 26 Our dissenting colleagues disagree, and they rely on section 16(5) of the Act ( 705 ILCS 105/16(5) (West 2012) ) as support for the assertion that the clerk's assessments are considered part of the judgment.
Infra
¶¶44-45, 63-69, 86. That assertion has no purchase within the context of this case. Section 16(5), which sets forth the circuit clerk's responsibility for maintenance of a "fee book," pertains exclusively to the assessment of fees. Fines are not mentioned anywhere in that provision, and there is no indication from its language that the information recorded in the "fee book" would ever include the imposition of a criminal fine. Given that fees and fines are substantively different (
Jones
,
¶ 27 Reliance on section 16(5) is problematic for other reasons as well. First, if section 16(5) is interpreted as our dissenting colleagues suggest, it would defeat the very crux of defendant's argument-which is that certain fines included on the payment status information sheet were invalid because they were not part of the court's final judgment. In addition, such interpretation necessarily equates a clerk's recording of a fine with a judicial act. That notion must be rejected for the obvious reason that it would amount to a grant of judicial power to circuit clerks.
¶ 28 Moreover, the application of section 16(5) here is inconsistent with the reasoning expressed in
Gutierrez
, which found appellate jurisdiction to address an argument that the circuit clerk acted beyond its authority in assessing a public defender fee, rendering the fee "void."
Gutierrez
,
¶ 29 Also, contrary to the view expressed by Justice Thomas in his dissent (see infra ¶¶84-88, 90, 93), the circuit court's inherent authority to correct its own orders and records does not expand the constitutional grant of jurisdiction to the appellate court. The fact that the circuit court could order the clerk to rectify a clerical error in recording the judgment cannot serve as the genesis for appellate jurisdiction. A direct appeal from a circuit clerk's recording error is essentially no different than permitting the appellate court to exercise original mandamus jurisdiction-which it does not possess. See Ill. Const. 1970, art. VI, § 6. Consequently, reliance on the circuit court's inherent authority to resolve this appeal is incorrect.
¶ 30 As set forth above, the clerk of the circuit court of Stephenson County exceeded his statutorily prescribed authority by recording mandatory fines against defendant that were not imposed by the trial judge at the time of sentencing. That action was not the entry of a judgment but was, instead, the erroneous recording of the circuit court's judgment. Accordingly, the appellate court lacked jurisdiction to review the validity of the fines challenged by defendant in this case. Where the appellate court has addressed the merits of a case over which it had no jurisdiction, we must vacate that court's judgment and dismiss the appeal.
Micelli
,
¶ 31 In light of our conclusion that the appellate court lacked jurisdiction to entertain defendant's appeal, we need not address the State's alternative argument that the appellate court had authority to order the imposition of the mandatory fines that were not imposed by the circuit court. We also do not address the State's claim that the appellate court erred in vacating the $200 sexual assault fine. Any questions as to the accuracy of the data entries included in the payment status information must be resolved through the cooperation of the parties and the circuit clerk or by the circuit court in a
mandamus
proceeding. See
People ex rel. Senko v. Meersman
,
¶ 32 III. CONCLUSION
¶ 33 For the foregoing reasons, the judgment of the appellate court is vacated, and the appeal is dismissed for lack of jurisdiction.
¶ 34 Appeal dismissed.
¶ 35 Appellate court judgment vacated.
Justices Kilbride, Garman, Burke, and Theis concurred in the judgment and opinion.
Chief Justice Karmeier dissented, with opinion, joined by Justice Thomas.
Justice Thomas dissented, with opinion, joined by Chief Justice Karmeier.
¶ 36 CHIEF JUSTICE KARMEIER, dissenting:
*63 *508 ¶ 37 I join Justice Thomas's dissent and write separately only to emphasize the majority's flawed analysis.
¶ 38 Defendant's case is not unique. There are hundreds of criminal appeals involving the issue of fines and fees that were overlooked at the trial court level and instead raised for the first time on appeal. Defendants are time and time again faced with the grueling and burdensome task of challenging fines and fees that were illegally assessed against them. Our appellate court, as recently as this year, has criticized the "labyrinthine system of criminal fines and fees" and highlighted the failure of the clerk's office to update its form order.
People v. Smith
,
¶ 39 Recognizing these problems, the legislature, through the Access to Justice Act ( 705 ILCS 95/25 (West 2014) ), created the Statutory Court Fee Task Force, composed of members appointed by representatives of all three branches of Illinois government and both political parties, to study the current system of fees, fines, and other court costs. The task force created a report that proposed recommendations to the Illinois General Assembly and this court, in an attempt to address the problems with the current system of court fines and fees. Statutory Court Fee Task Force, Illinois Court Assessments: Findings and Recommendations for Addressing Barriers to Access to Justice and Additional Issues Associated With Fees and Other Court Costs in Civil, Criminal, and Traffic Proceedings (June 1, 2016), http://www.illinoiscourts.gov/2016_Statutory_Court_Fee_Task_Force_Report.pdf.
¶ 40 The task force acknowledged that assessments against criminal defendants vary widely from county to county.
¶ 41 Unfortunately, since that report was released nearly two years ago, little has changed. Therefore, it is incumbent on our courts to ensure that criminal defendants are not being further marginalized by having illegal and void assessments imposed against them following trial. Although we have emphasized the need for both parties and the court to be diligent in reviewing fines and fees entered following trial, their failure to do so is not uncommon. The Chicago Appleseed Fund for Justice indicated that, in Cook County, nearly all criminal defendants have improper court costs assessed against them following a conviction. Chicago Appleseed Fund for Justice,
Appleseed Applauds Efforts to Curb Illegally Imposed Criminal Court Fines, Fees, and Costs; Releases New Resource for Defense Attorneys
(Feb. 14, 2018), http://www.chicagoappleseed.org/ffcappeals/. A simple search reveals that there were well over a hundred cases, in 2016 alone, in which a defendant challenged the imposition of fines and/or fees on appeal. See
People v. Griffin
,
¶ 42 While many of these errors should be discovered and resolved at the trial court level, it has been our position and custom, as Justice Thomas aptly indicates, to allow the appellate court the opportunity to correct erroneous fines and fees on appeal, as long as the appeal is properly before the appellate court. See
People v. Gutierrez
,
¶ 43 Illinois courts have held that, through a notice of appeal, courts of review obtain jurisdiction over the judgment specified in that notice of appeal.
People v. Smith
,
*65
*510
Illinois Health Maintenance Organization Guaranty Ass'n v. Shapo
,
¶ 44 As Justice Thomas notes, section 16 of the Clerks of Courts Act requires the circuit clerk to maintain a fee book, which shall be considered part of the record and judgment, subject to the correction of the court. 705 ILCS 105/16(5) (West 2016). Although the Clerks of Courts Act itself speaks in terms of fees rather than fines, it would be incongruous for this court to treat fines differently in cases like the one before us today. The legislature has a long history of misusing the terms fines and fees. See
People v. Jones
,
¶ 45 Given the complex history of the legislature mislabelling fines and fees, treating fines differently than fees for purposes of determining the court's power to correct an unauthorized assessment would clearly yield results that are absurd, inequitable, *511 *66 and unjust. If the clerk labels an assessment a fine but in reality it is a fee, under a narrow reading of the Clerks of Courts Act, it would not be incorporated into the record on appeal, and defendant gets no relief from the improperly assessed fee. Had it been properly labeled a fee, defendant would get relief. On the other hand, if the clerk labels an assessment a fee but in reality it is a fine, that "fee" would be incorporated into the judgment pursuant to the Clerks of Courts Act, and accordingly, a defendant gets relief, even though it is actually a fine not encompassed by a narrow reading of the Clerks of Courts Act. The aforementioned flaws with the legislature's labeling of fines and fees, which the majority fails to address, makes it completely illogical to read this Act as excluding "fines" assessed by the clerk from being incorporated into the record and judgment.
¶ 46 The majority has also deliberately chosen not to recognize an essential component of this case, namely that not all of defendant's assessments are labeled as fines by the legislature. The "Court" assessment, which was required by a county ordinance, is labeled as a fee. 55 ILCS 5/5-1101(c)(1) (West 2014). The "Youth Diversion" assessment, also required by a county ordinance, is labeled by that ordinance as a fee. 55 ILCS 5/5-1101(e)(2) (West 2014). Two of the assessments are not clearly labeled as either fines or fees. The "Medical Costs" assessment is referred to as a "reimbursement" by the legislature ( 730 ILCS 125/17 (West 2014) ), while the "State Police Ops" assessment was discussed in the statute as "compensation" ( 705 ILCS 105/27.3a (West 2014) ). The remaining assessments are labeled as fines by the legislature. 725 ILCS 240/10(b)(1) (West 2014); 730 ILCS 5/5-9-1(c) (West 2014); 730 ILCS 5/5-9-1.7(b)(1) (West 2014). Thus, under the majority's analysis, the appellate court would have jurisdiction over the assessments labeled "fees" by the legislature. However, the majority, inconsistent with its own analysis, finds the appellate court lacked jurisdiction to address any of these assessments, even the ones labeled "fees" by the legislature.
¶ 47 Illinois courts do not always agree with the legislature's labeling of assessments as fines or fees; thus, judicial review is necessary in cases like defendant's where the assessments authorized by statute are not labeled as fines. If this court, and for that matter the appellate court, did not review cases such as this, there would be no judicial determination as to the category of the assessment being imposed against defendant. "Over the years, more and more costs have been passed on to court patrons through an elaborate web of fees and fines that are next to impossible to decipher and severely lacking in uniformity and transparency." Statutory Court Fee Task Force, supra introduction, at 7.
¶ 48 If our task force finds these fees nearly impossible to decipher, there is no logic in prohibiting our courts on direct appeal from correcting these confusing and illegal assessments. This problem will only continue to spiral out of control as a result of the majority's holding. In cases like defendant's, where the assessments have been labeled by the legislature as a mixture of fines and fees, the majority's holding would, at most, only allow us to correct some of the illegally imposed assessments. If the case is already properly before this court, it seems to do so would be an undeniable burden on not only defendants, who would have to file a writ of mandamus to handle the other assessments, but also on our judicial system, which would have to expend the resources to hear the same case again. Unfortunately, those wasted resources could be used to procure a determination the court should have made in the first place.
*67
*512
¶ 49 Clearly, defendant's notice of appeal indicated the judgment and sentence from which he was appealing and gave the appellate court jurisdiction to resolve the issue of fines illegally imposed by the clerk. See Ill. S. Ct. R. 366 (eff. Feb. 1, 1994) (granting the same powers of amendment held by the trial court to courts of review). To reach any other conclusion would result in an undue burden on defendants, an affront to the administration of justice, and a conflict with judicial economy. This case, like others, highlights the convoluted system of fines and fees for criminal defendants and their often futile quest to have errors corrected. The majority's analysis lacks sufficient justification and explanation to undercut the power and long-standing authority we have given to the appellate court to correct mistakes, such as these illegal assessments, and does so at the expense of defendants faced with an elaborate maze of all too often void fines and fees. In
People v. Caballes
,
¶ 50 JUSTICE THOMAS joins in this dissent.
¶ 51 JUSTICE THOMAS, dissenting:
¶ 52 For over three decades, the Illinois courts have been dealing with the problem of circuit clerks improperly imposing fines or fees that are required to be imposed by the judiciary. See,
e.g.
,
People v. Tarbill
,
¶ 53 Things changed in
People v. Gutierrez
,
¶ 54 I. The Circuit Clerk Assessed Fines Against Defendant
¶ 55 Before examining why the majority's jurisdictional analysis is wrong, we need to be clear about what happened in this case. The circuit clerk improperly assessed several fines against defendant. As the majority notes, a fine is considered part of a defendant's sentence, and therefore only a judge may impose a fine.
Supra
¶14. Thus, when reviewing courts are faced with fines imposed by the circuit clerk, the approach has always been to recognize that such fines are void and to vacate them. See,
e.g.
,
Matthews
,
¶ 56 In this case, the State makes a new question-begging argument that the majority finds compelling. The State contends that, because clerks are not authorized to impose fines, the clerk in this case did not impose the fines. The State explains that this case merely involves erroneous references to fines. The State claims that we are dealing with data entries in the clerk's accounts receivable records that reference certain fines. However, according to the State, these fines were neither assessed nor imposed because the clerk lacks the authority to impose fines. Instead, this case merely involves mistakes that a clerical employee made when listing the fines imposed by the court.
¶ 57 The majority apparently does not fully agree with the State's characterization of the clerk's actions and is at least willing to acknowledge that something of consequence happened. The majority acknowledges that the fines at issue were "charged to defendant." Supra ¶ 5. Moreover, the majority states that "the clerk's action was improper " and refers to the fines as "unauthorized fines." (Emphasis added.) Supra ¶ 23. The majority also suggests that defendant bring a mandamus action against the circuit clerk. Supra ¶ 31. A mandamus action would be unnecessary if the clerk did not do anything of any concern to defendant. However, in perhaps trying to meet the State halfway, the majority claims that what happened here was "the erroneous recording of the circuit court's judgment." Supra ¶ 30. According to the majority, because courts impose judgments and clerks record them, this case cannot involve anything other than the erroneous recording of a judgment. Thus, "[b]ecause the circuit clerk had no authority to levy any fines against defendant, the recording of the additional fines was invalid and unenforceable ." (Emphasis added.) Supra ¶ 23. It is not clear how the recording of a fine can be unenforceable; clearly it is the illegal fine itself that is unenforceable.
¶ 58 What is happening in these cases is that the circuit clerk is imposing fines that it is not authorized to impose. An important part of the clerk's job is assessing fees and costs. What the payment status information sheet shows is that, when the clerk assessed fees it
was
authorized to assess, it also assessed certain fines that it was
not
authorized to assess. As the appellate court noted in
People v. Warren
, "We recognize it is the long-standing practice of the circuit court clerks to impose the fees and costs associated with criminal cases, but this does not excuse the similar treatment of fines, which are a component of the sentence to be imposed by the sentencing judge."
¶ 59 The State's contention that someone could not have done something because they were not authorized to do it should be rejected out of hand. One suspects that the State would not be too receptive to an argument from a criminal defendant that he could not have committed a certain act because it was against the law. Could a drug dealer successfully claim that he was not selling OxyContin because he is not a pharmacist? Is it a defense to a claim that someone is committing the unauthorized practice of law that he could not have been practicing law because he is not an attorney? Or take the case before us. The State argues that the appellate court did not have jurisdiction in this case because the court has jurisdiction to review only final orders of the circuit court. The State contends that the appellate court has no jurisdiction over actions of the circuit clerk that are not embodied in a court order. If the State's authority argument is correct, that means that the appellate court did not actually vacate the fines because it had no authority to do so. Thus, we should simply dismiss the State's petition for leave to appeal as improvidently granted. But that is not the relief that the State wants; the State wants the appellate court opinion vacated because it believes that the court acted beyond its authority. Similarly, defendant wants the fines assessed by the clerk vacated because the clerk acted beyond its authority. It is simply nonsensical to argue that someone did not do something because that person was not authorized to do it. What happened here is the same thing that has been happening for decades. When the clerk assessed fees it
was
allowed to assess, it also assessed certain fines that it was
not
authorized to assess. Therefore, those assessments are void and may be vacated by a court having jurisdiction over the case. Since at least 1864, this court has recognized that when a clerk performs an act that is required to be performed by a judge, that act is "unauthorized and void."
Hall v. Marks
,
*515
*70
¶ 60 It should be noted that the majority's holding will apply not only to issues involving fines that the clerk is not allowed to assess but also to fees that the clerk
is
allowed to assess.
People v. Smith
,
¶ 61 II. The Appellate Court Had Jurisdiction Over the Entire Case
¶ 62 The State argues that defendant could not appeal from the clerk's payment status information. Defendant did not purport to do so. Rather, he timely filed a notice of appeal from the final judgment in his criminal case. When a defendant timely files a notice of appeal in a criminal case, it brings up his entire conviction and sentence for review.
People v. Lewis
,
¶ 63 The answer is unquestionably yes, because the clerk's assessments are considered part of the record and judgment. Although not raised by either party in Gutierrez or the present case, section 16 of the Clerks of Courts Act requires the circuit clerk to maintain a fee book in which fees and costs are recorded, and that section provides that the fee book " shall be considered a part of the record and judgment , subject, however, at all times to be corrected by the court." (Emphasis added). 705 ILCS 105/16(5) (West 2016). So the majority's entire reason for finding no jurisdiction is simply wrong. Section 16(5) makes clear that the assessments that the clerk makes at the end of a case are considered part of the record and judgment. Here, the clerk assessed the fines along with the fees and costs it was allowed to assess, and therefore section 16(5) makes them part of the record and judgment. Section 16(5) also shows that the majority is wrong when it states that *516 *71 the appellate court erred in allowing defendant to supplement the record with the payment status information. Supra ¶22. Because the circuit clerk's assessments are considered part of the record and judgment, the appellate court obviously did not err in allowing defendant to provide a record of the assessments. The majority's assertion that the clerk's assessments in defendant's case are "extraneous materials" ( supra ¶22) is manifestly incorrect. The clerk's assessments are incorporated into the record by statute, and thus they clearly fall within the purview of Rule 329. Ill. S. Ct. R. 329 (eff. Jan. 1, 2006).
¶ 64 The majority contends that section 16(5) has "no purchase within the context of this case" ( supra ¶26) because it does not mention fines. But section 16(5) does not mention fines because circuit clerks are not entitled to impose fines. The legislature is not going to enact a statute requiring the clerk to maintain a book in which it assesses fees, costs, and illegal fines. If the fee book is made part of the record and judgment, then whatever is recorded therein is part of the record and judgment. So, in sum, the majority's position is this: (1) the circuit clerk is not authorized to assess fines, and (2) the court will not enforce the statute making the clerk's assessments part of the record and judgment because the statute does not list fines among the assessments the clerk should enter. How does one respond to an argument like this?
¶ 65 Moreover, as the majority well knows, it is not always clear what is a fee and what is a fine, and reviewing courts spend a significant amount of time resolving these issues. The point is that the statute provides that the assessments that the clerk makes at the end of the case are treated as part of the record and judgment. Here, the clerk imposed the illegal fines along with the fees and costs it was entitled to impose. It cannot be the case that their very illegality is what puts them beyond the reach of the court. If the majority's reading of the statute is correct, that would mean that a reviewing court could properly have before it an issue involving a fee assessed by the circuit clerk. However, if the court later concludes that what was labeled a fee is actually a fine, it would then have to conclude that the assessment was no longer part of the record and dismiss the appeal for lack of jurisdiction. The majority cannot possibly believe this.
¶ 66 The majority also claims that interpreting the statute as meaning what it says would defeat the very crux of defendant's argument, which is that the fines were invalid because they were not part of the court's final judgment. Supra ¶27. To be clear, defendant's argument is that the fines are invalid because they were imposed by the circuit clerk . Nothing in section 16(5) means that fines do not have to be imposed by the circuit court. Section 16(5) simply recognizes that there are certain assessments that Illinois law allows the clerk to make and these are effectively appended to the court's judgment. The statute does not allow the clerk to usurp the trial court's function and impose assessments that are required to be imposed by the court.
¶ 67 For the same reason, the majority is incorrect that this position is inconsistent with
Gutierrez
, a case that the majority overrules.
Supra
¶ 28.
Gutierrez
held that the public defender fee was void because it was imposed by the circuit clerk and not by the circuit court.
Gutierrez
,
¶ 68 But let us assume that the majority is correct that we may not read the statute as allowing the fee book to become part of the judgment because that would amount to a grant of judicial power to circuit clerks. Supra ¶27. Out of an abundance of caution, we can read the words "and judgment" completely out of the statute. If we do so, section 16(5) still provides that the clerk's assessments are considered part of the record. The majority does not contest the legislature's authority to make the assessments part of the record. Thus, regardless of whether the assessments are considered part of the judgment, they are considered part of the record and therefore are properly before the reviewing court. That is really the end of the ball game for the majority's argument. And a reviewing court's power in a criminal case is not limited to acting on the judgment before it. Rather, it may "set aside, affirm, or modify any or all of the proceedings subsequent to or dependent upon the judgment or order from which the appeal is taken." Ill. S. Ct. R. 615(b)(2).
¶ 69 The legislature's obvious intent in this part of section 16(5) is to ensure that the clerk's assessments pursuant to a judgment of conviction and sentence are considered part of a defendant's case. Again, this is something that is just obvious even without the statute and was virtually universally understood until today. The clerk's assessments are properly considered part of the record before the reviewing court, and a reviewing court having jurisdiction over the case has the authority to act on them.
¶ 70 III. Gutierrez
¶ 71 Even if section 16(5) did not exist, the majority would still be wrong for the reasons explained by this court in
Gutierrez
.
Gutierrez
provides an independent rationale for a reviewing court's authority to vacate unauthorized assessments by the circuit clerk. In
Gutierrez
, a unanimous court addressed and rejected the same arguments that the State makes in this case.
Gutierrez
involved a circuit clerk's imposition of a public defender fee that was required to be imposed by the court. The State argued that the appellate court was without jurisdiction to vacate the fee for two reasons: (1) because the assessment was made by the clerk, it was not embodied in a circuit court order, and (2) defendant's notice of appeal did not indicate that he was appealing any fines or fees.
Gutierrez
,
¶ 72 The majority overrules Gutierrez without even mentioning stare decisis principles. Presumably, the majority believes that if you do not use the word "overruled" a discussion of stare decisis is unnecessary. When a court holds in one case the exact opposite of what it held in a previous case, it has overruled the case whether or not it uses the word "overruled." Thus, stare decisis is implicated here.
¶ 73 The doctrine of
stare decisis
expresses the policy of courts to stand by precedent and to avoid disturbing settled points.
People v. Sharpe
,
¶ 74 Although the majority does not discuss
stare decisis
, we can infer from its analysis what it believes the "good cause" would be to overrule
Gutierrez
. The majority claims that "the legal landscape has changed dramatically since
Gutierrez
was decided" (
supra
¶25) and argues that
Gutierrez
was undermined by two subsequent decisions of this court,
People v. Castleberry
,
¶ 75 The majority claims that
Gutierrez
was "premised" on the void sentence rule and therefore
Castleberry
's abolition of the void sentence rule undermined
Gutierrez
's jurisdictional analysis.
Supra
¶24. In truth,
Gutierrez
had nothing at all to do with the void sentence rule, and therefore
Castleberry
is not relevant to
Gutierrez
's jurisdictional analysis.
Gutierrez
clearly stated that it agreed with the defendant that the assessment was void because the "
circuit clerk acted beyond its authority in imposing
" it. (Emphasis added.)
Gutierrez
,
¶ 76 The appellate court has correctly recognized in multiple cases that
Castleberry
has no bearing at all on whether clerk-imposed fines are void. How, then, did a majority of this court conclude that
Gutierrez
was based on the void sentence rule when it so clearly was not? The majority claims that
Gutierrez
was premised on the void sentence rule because it cited
People v. Thompson
,
¶ 77 It is worth noting, too, that this court has already indicated what it viewed of the argument that
Castleberry
undermined
Gutierrez
. In
Warren
,
*75
*520
¶ 78 As bad as the majority's reliance on
Castleberry
is, its reliance on
Hardman
is worse. The majority has to know that
Hardman
has nothing at all to do with
Gutierrez
's jurisdictional analysis. The majority notes that
Hardman
"discussed"
Gutierrez
and references paragraph 55 of
Hardman
(
Hardman
,
¶ 79 How, then, does the majority make
Hardman
relevant to this case? The majority focuses on the following sentence: "And because there was no circuit court order for reimbursement of a public defender fee, the appellate court could not remand for a hearing on an order that did not exist."
¶ 80 What
Hardman
was referring to was a
court order
. Whether or not a
court order
exists is of crucial importance on the question of whether a case may be remanded for imposition of a public defender fee, because such a remand is appropriate only if the court or the State is seeking such a fee. Again, the sentence in
Hardman
reads, "And because
there was no circuit court order
for reimbursement of a public defender fee, the appellate court could not remand for a hearing on an order that did not exist." (Emphasis added.)
Hardman
,
¶ 81 When
Gutierrez
used the phrase "void orders of the circuit clerk," of course
*521
*76
it was not saying that circuit clerks could enter
court orders
.
Gutierrez
,
¶ 82 Neither
Castleberry
nor
Hardman
has the slightest application here, and thus the majority has not demonstrated good cause to depart from
stare decisis
. Not only has the legal landscape not "changed dramatically" (
supra
¶25) with regard to
Gutierrez
's jurisdictional analysis, it has not changed
at all
. Rather, the court has simply changed its mind and is now accepting arguments that it previously rejected. In his passionate defense of
stare decisis
principles in his dissent in
People v. Mitchell
,
¶ 83 IV. Courts Have Inherent Authority to Correct Mistakes of the Circuit Clerk
¶ 84 Let us now assume for the sake of argument that everything that the State claims is true. In other words, the circuit clerk did not assess any fines against defendant, and all that happened here is that an employee incorrectly entered some data into the clerk's accounts receivable. Or, as the majority put it, the clerk's action was "not the entry of a judgment but was, instead, the erroneous recording of the circuit court's judgment."
Supra
¶ 30. Even if we fully concede these points, the appellate court
still
had the authority to correct the clerk's errors. It is a well-established legal principle that the courts have broad authority to correct the clerk's records. As this court explained in
In re Estate of Young
,
" Whether it is a misprision of the clerk or a malfeasance , the court has power at all times, upon notice given, to reform its records, so as to make them speak the truth. No reason suggests itself why such amendments may not be made at any time , as long as anything definite and certain remains as a basis for the amendment." (Emphases added.)
See also
Moore v. Shook
,
¶ 85 The United States Supreme Court has also recognized this power as inherent in all courts: "The power to amend its records,
to correct mistakes of the clerk
or other officer of the court, inadvertencies of counsel, or to supply defects or omissions in the record,
even after the lapse of the term
, is inherent in courts of justice * * *." (Emphases added.)
Gagnon v. United States
,
"The position of counsel that the writing of the record is a ministerial act and that the clerk is a ministerial officer of the court is correct, but he is not independent of the court and his entry of the orders made by the court is subject to judicial control. He is not privileged to enter orders as he sees fit, contrary to the direction of the court."
See also
Moore
,
¶ 86 Thus, it is beyond dispute that the circuit court has the authority to correct the clerk's mistakes and may do so at any time. As noted above, the legislature has codified this principle in section 16(5) of the Clerks of Courts Act, which provides that the clerk's fee book is "subject * * * at all times to be corrected by the court." 705 ILCS 105/16(5) (West 2016). And if the circuit court has that authority, then the appellate court has that authority while it has jurisdiction over the case. Illinois Supreme Court Rule 366(a)(1)
4
provides that a reviewing court may "exercise all or any of the powers of amendment of the trial court," Rule 366(a)(3) provides that a reviewing court may "
order or permit the record to be amended by correcting errors
or by adding matters that should have been included," and Rule 366(a)(5) provides that a reviewing court may "enter any judgment and
make any order that ought to have been given or made
, and make any other and further orders and
grant any relief
, including a remandment, a partial reversal, the order of a partial new trial, the entry of a remittitur, or the enforcement of a judgment,
that the case may require
." (Emphases added.) Ill. S. Ct. R. 366(a) (eff. Feb. 1, 1994); see also
Gegenhuber v. Hystopolis Production, Inc.
,
¶ 87 The State undoubtedly recognizes that, if the trial court has the power to vacate the fines, then an appellate court having jurisdiction over the case also has the power to vacate the fines. In Gutierrez , the State argued that the appropriate remedy for a defendant subjected to an illegal *524 *79 assessment by the clerk is to file a motion in the trial court to have the assessment vacated. In this case, the State has abandoned that position and argues that a defendant's only remedy in this situation is to contact the clerk's office and request that its records be corrected. 5 The State undoubtedly realized that it had painted itself into a corner by conceding the trial court's authority to vacate the assessment because this necessarily concedes the same power to a reviewing court having jurisdiction over the case.
¶ 88 Clearly, then, the majority's focus on the fact that the assessments were not in the circuit court's final order is misplaced. Even if we ignore the effects of section 16(5) of the Clerks of Courts Act, defendant may raise this issue because it is of the type that may be raised at any time and at any stage of court proceedings. See
People v. Caballero
,
¶ 89 The majority claims that we have an anomalous circumstance in which a defendant filed an appeal seeking to uphold the judgment entered by the circuit court.
Supra
¶20. To be clear, defendant is not seeking to uphold the trial court's judgment; he is simply not contesting it. Rather, he is contesting the unauthorized assessments entered by the circuit clerk. This is not an "anomalous circumstance." It is merely a recognition of the principle expressed in
Caballero
that certain issues may be raised at any time. In
People v. Buffkin
,
*80
*525
¶ 90 The majority's only response to the inherent authority argument is to double down on its mistaken view of this case. The majority claims that recognition of the position I set forth here would be allowing a direct appeal from a clerical error and that this would permit the appellate court to exercise original
mandamus
jurisdiction.
Supra
¶ 29. Nothing could be further from the truth. The court's authority to correct mistakes of the clerk is
not
limited to
mandamus
proceedings. The circuit clerk is not just any public official, and he is not independent of the court. Rather, he is "the instrument the law has designated, for convenience and the dispatch of business, to record the determination and sentence of the court" (
Hall
,
¶ 91 V. Conclusion
¶ 92 This court put these issues to rest six years ago in Gutierrez , and the majority overrules that decision without even acknowledging stare decisis principles. The majority's argument that Gutierrez was undermined by Castleberry and Hardman does not withstand a moment's scrutiny, and there is no legitimate reason not to follow our precedent.
¶ 93 It is doubtful that any court has endorsed a more enfeebled notion of appellate court power than that set forth by the majority today. The majority holds that when faced with illegal and void fines assessed by a clerical employee in the trial court's administrative arm, a reviewing court having jurisdiction over the case is powerless to act. This is directly contrary to section 16(5) of the Clerks of Courts Act, which provides that a clerk's assessments are considered part of the record. It is also contrary to longstanding authority from this court that (1) attempts by clerks to perform judicial functions are void and unenforceable and (2) the power to correct mistakes of the circuit clerk is inherent in courts of justice. Whether viewed as illegal assessments that are void or simply as clerical errors, the improperly imposed fines could be challenged at any time, and the appellate court had jurisdiction to vacate them. I therefore do not join the majority opinion.
¶ 94 CHIEF JUSTICE KARMEIER joins in this dissent.
The statutory provision mandating this fine requires that $495 is to be remitted to the unit of government whose law enforcement officers investigated the case that led to the conviction and $5 is to be deposited into the Circuit Court Clerk Operation and Administration Fund. 730 ILCS 5/5-9-1.14 (West 2012).
Rule 329 is applicable to criminal appeals pursuant to Illinois Supreme Court Rule 612 (eff. Feb. 6, 2013).
The State claims that even this usage of the term is incorrect because the entry of the disputed fines into the clerk's accounts receivable did not purport to direct, command, or instruct anyone to do anything. As explained in detail above, an important part of the clerk's job is to assess fees and costs, and the clerk assessed these fines in the same way that it assesses things that it is allowed to assess. An assessment is the " imposition of something , such as a tax or fine, according to an established rate" (emphasis added) (Black's Law Dictionary 133 (9th ed. 2009) ), and the majority concedes that the fines were "charged to defendant" ( supra ¶ 5).
In
People v. Enoch
,
The majority agrees with the State that defendants should try to work out these problems with the clerk. Supra ¶31. It is difficult to see how the State and the majority can make this argument with a straight face. This court and the appellate court have been telling circuit clerks for decades that they cannot impose fines and have gotten nowhere. But the State and the majority believe that a circuit clerk will be completely open to a criminal defendant's claim that the clerk doesn't know how to do his or her job. Presumably, the clerk's response to a defendant who complains about the assessments will be that the fines are mandatory. The clerk would not have assessed the fines if it did not believe it had the authority to do so. The almost certain result of today's opinion is that the vast majority of fines assessed by circuit clerks will simply remain in place.
Reference
- Full Case Name
- The PEOPLE of the State of Illinois, Appellant, v. Ricardo VARA, Appellee.
- Cited By
- 16 cases
- Status
- Unpublished