State v. Lucas Dwight
State v. Lucas Dwight
Opinion
¶ 1. Defendant Lucas Dwight appeals the trial court's restitution order requiring him to pay dental expenses resulting from defendant's conviction for simple assault. Defendant raises two main issues: (1) whether the court erred in awarding restitution for expenses that complainant's father paid on complainant's behalf; and (2) whether the ordered repayment schedule, which considered defendant's earning capacity, was impermissibly punitive. We affirm.
¶ 2. The following facts are undisputed. Connor Richards, a student at the University of Vermont, was assaulted in May *1165 2016. He sustained substantial injury to his mouth, including losing four teeth. Defendant was charged with aggravated assault for the attack, which was later amended to simple assault pursuant to 13 V.S.A. § 1023(a)(1). In May 2016, defendant pled nolo contendere to the charge of simple assault. The court entered a judgment of guilty and sentenced defendant to four to twelve months, all suspended except for three days on work crew, and defendant was placed on probation for fifteen months. The probation conditions included anger-management counseling, no contact with complainant, and restitution as ordered by the court.
¶ 3. The court held two restitution hearings to determine the amount of restitution and defendant's ability to pay. See 13 V.S.A. § 7043(c) (requiring, when ordering restitution, court must hold hearing if parties contest restitution amount and make findings regarding restitution amount and defendant's ability to pay); 28 V.S.A. § 252(b)(6) (permitting court to order restitution as probation condition and requiring court to "fix the amount [of restitution] thereof, which shall not exceed an amount the defendant can or will be able to pay, and shall fix the manner of performance"). The court found that as of August 2016, the date of the first restitution hearing, complainant had incurred $21,441.15 in dental expenses due to the assault that were not covered by insurance or the State of Vermont Restitution Unit. Complainant's father paid for these expenses by credit card. Complainant's father "told his son that he would be required to make a choice-have his severely damaged teeth and gums repaired, or go to school." Complainant has taken out a $28,000 loan for school expenses, an expense previously paid for by his parents. The court ordered defendant to pay $21,441.15 in restitution to complainant.
¶ 4. In assessing defendant's ability to pay, the court found that as of February 2017, the date of the second restitution hearing, defendant was a high school graduate with no college or trade school education. Defendant worked seasonally, mowing lawns in summer and snowplowing in winter. A paystub dated November 18, 2016, showed he earned $14.00 per hour, worked 35.25 hours per week, and earned a gross income of $493.50 per week, and his year-to-date earnings were $10,785.25. Defendant reported his monthly income was $1,012.00, and his monthly expenses were $1,155.00. The court noted that defendant "appears to be a very fit and healthy young individual" and that "defendant offered no reason why" he could not work forty hours per week. The court calculated that if defendant worked forty hours per week at $14.00 per hour, he would earn $2,424.00 per month. If he earned the weekly wage on his paystub every week, he would earn $2,136.00 per month. The court concluded that defendant "should be required to work a standard work week in order to make the restitution amount meaningful," and "[g]iven the number of hours worked per week by the defendant and the absence of any reason for not working a standard work week, ... the defendant is earning less than he could through reasonable effort." Relying on this calculation of defendant's earning potential, the court ordered defendant to pay $500 by March 1, 2017, $200 by April 1, 2017, and $200 by May 1, 2017. Starting June 1, 2017, defendant was required to pay $300 per month. Defendant timely appealed.
¶ 5. On appeal, defendant argues that because complainant's father paid the dental expenses, the loss was father's, not complainant's, placing it outside the reach of the restitution statute. He also argues that the purpose of restitution is to compensate the victim, rather than to punish *1166 the defendant, and the restitution payment schedule was unnecessarily and impermissibly punitive.
¶ 6. An order to pay restitution as a condition of probation falls within the sentencing discretion of the court.
State v. Hughes
,
I. Expenses Paid by Father
¶ 7. Our first question is whether the court erred in ordering defendant to pay restitution to complainant for the dental expenses when complainant's father, not complainant, paid the expenses. This is a question of law that we review de novo.
¶ 8. The restitution statute requires the court to consider restitution "in every case in which a victim of a crime ... has suffered a material loss." 13 V.S.A. § 7043(a)(1). This statute is narrowly drawn.
State v. Stewart
,
¶ 9. There is no question that if complainant had paid the dental expenses directly, such as through a bank account or by a credit card in his name, then the expenses would qualify for restitution under the statute. 1 The dental expenses were incurred by the direct victim of the crime; they were proximately caused by defendant's criminal act; and the expenses meet the statutory definition of a material loss. See 13 V.S.A. § 7043(a)(2) (defining material loss); cf.
*1167
Stewart
,
¶ 10. The question is whether the fact that father paid for the expenses, rather than complainant, renders the dental expenses ineligible for restitution. It does not. The loss incurred was complainant's loss, not father's. Complainant incurred the dental expenses, and uninsured medical expenses constitute material losses without regard to who paid them or whether they have been paid at all. 13 V.S.A. § 7043(a)(2) (defining "material loss" to mean "uninsured property loss, uninsured out-of-pocket monetary loss, uninsured lost wages, and uninsured medical expenses"). The court did not err in ordering defendant to pay restitution for complainant's dental expenses.
II. Repayment Schedule
¶ 11. Next we address the repayment schedule. First, we review whether it was within the court's discretion to consider defendant's future earning capacity in ordering restitution. This is a question of law that we review de novo.
Blake
,
¶ 12. The restitution statute prescribes how a court orders restitution. 13 V.S.A. § 7043. Before issuing the restitution order, the court must make findings regarding the "amount of the material loss incurred by the victim."
¶ 13. "The primary objective in interpreting statutes is to give effect to the intent of the legislature."
State v. Jarvis
,
*1168
Brown v. W.T. Martin Plumbing & Heating, Inc.
,
¶ 14. We conclude that the Legislature intended the court to consider not only a defendant's immediate ability to pay, but also his or her earning capacity. While the statute directs a court to consider the defendant's "current ability to pay"-a focus on the defendant's current income, not future income or capacity for income-the statute also contemplates that the defendant may not be able to pay the restitution order immediately. 13 V.S.A. § 7043(d)(2), (e)(1). Where that is the case, the Legislature explicitly directed the court to establish a payment schedule based not only on the defendant's current ability to pay, but also on his or her "reasonably foreseeable ability to pay."
¶ 15. Other state courts have interpreted similar restitution statutes in the same way. Alaska's courts interpreted a statute that required courts to " 'take into account the financial resources of the defendant' " as demanding "inquiry" into defendant's "past earning capacity and potential in the future as a wage earner, based on her experience, training, and any other relevant factors."
Karr v. State
,
*1169
¶ 16. Further, implicit in the court's authority to order restitution is the court's authority to address whether it is reasonable to expect the restitution order will be carried out, including the power to consider the defendant's reasonably foreseeable earning capacity. See
In re Girouard
,
¶ 17. The dissent suggests that in affirming the court's authority to consider a defendant's reasonably foreseeable earning capacity, we hold that the court has equal power to impute income in the restitution context that it holds in the child-support context. See 15 V.S.A. § 653(5)(A)(iii) (authorizing court to consider "the potential income of a parent who is voluntarily unemployed or underemployed" when ordering child support). We do not. We hold here that when the statute authorizes the court to consider a defendant's "reasonably foreseeable ability to pay," this includes a defendant's reasonably foreseeable earning capacity. As in this case, a defendant's reasonably foreseeable earning capacity includes the income the defendant could earn at the same rate of pay the defendant currently receives if she or he were working full time in the occupation in which she or he is already employed. Whether that authority extends any further-such as to holding a defendant responsible for higher wages than she or he earns based on a credential for a higher-paying profession in which the defendant is not currently employed-we do not decide.
¶ 18. Having addressed as a matter of a law whether the court may consider a defendant's earning capacity in ordering restitution, we review whether the court abused its discretion in ordering this restitution payment schedule. See
Unifund CCR Partners
,
¶ 19. Defendant argues that in this case, the court's assessment of ability to pay was unnecessarily and impermissibly punitive. "The purpose of restitution is to compensate the victim, rather than to punish the defendant."
State v. Bohannon
,
¶ 20. Here the trial court found that if it based the restitution payment schedule on defendant's current ability to pay, without considering his earning capacity, it would take defendant twelve years to repay the victim. The court did not find this acceptable, given complainant's loss and defendant's earning capacity. The court concluded that "the defendant should be required to work a standard work week in order to make the restitution amount meaningful." Defendant understands this language to indicate the court's intention to punish him through "meaningful" restitution.
4
We understand this language to indicate the court's intention to ensure defendant pays restitution within a reasonable period of time. This reasoning is fully consistent with the rehabilitative and deterrent goals of restitution, and it is not punitive. See
State v. Breeden
,
¶ 21. We conclude that the court did not err in awarding restitution for expenses that complainant's father paid on complainant's behalf. We also hold that it is within the court's discretion to consider reasonably foreseeable earning capacity in determining an appropriate restitution schedule, and here the court's ordered schedule was not punitive.
Affirmed.
¶ 22. I join in affirming the trial court's determination of the material loss subject to a restitution order, but respectfully dissent from the majority's conclusion that the Legislature has authorized courts to impute income to convicted offenders based on their potential earning capacity. I rest my analysis on the plain language of the restitution statute, the structure of the statute, the lack of connection between the compensatory and rehabilitative purposes of restitution and the majority's approach, the fact that the Legislature has expressly authorized such imputation in other statutes and has not done so here, and the nature of restitution hearings. Finally, even if the trial court had the authority to impute income, the evidence in this case does not support the court's assessment.
¶ 23. The plain language of the restitution statute focuses on the defendant's actual, as opposed to potential, ability to pay. See
*1171
State v. Brunner
,
¶ 24. The structure of the restitution statute reinforces this conclusion. After restitution is ordered, and prior to sentencing, a court must order that the offender give the court "full financial disclosure," including copies of the offender's most recent tax returns. 13 V.S.A. § 7043(o). The statute says nothing about disclosing educational background, physical limitations, or work search information-the kinds of data necessary to evaluate potential earning capacity. Every restitution order must require the offender to keep the Restitution Unit notified of employment changes,
¶ 25. Neither the compensatory nor the rehabilitative purpose of restitution supports the majority's approach. Insofar as the purpose of restitution is to compensate the victim, "a restitution order in a criminal case is not the same as, and is no substitute for, an award of damages" in a civil action.
State v. Blake
,
¶ 26. Imputing income in a restitution order is not a proper way to promote the rehabilitative purposes of restitution. We
*1172
have recognized that the goals of restitution are not entirely compensatory and include rehabilitation.
Blake
,
¶ 27. Moreover, the Legislature has demonstrated that it knows how to authorize imputing income in an ability-to-pay determination, and has not done so here. See
Town of Milton Bd. of Health v. Brisson
,
¶ 28. This is the reason several of the decisions relied upon by the majority undermine its analysis: in those cases, as in Vermont's child support statute, the legislatures
did
include language authorizing the imputation of income based on assessed earning capacity. For example, as the majority acknowledges, in
*1173
Bain v. State the Florida Court of Appeals applied a restitution statute that expressly requires the court to consider " 'the present and potential future financial needs and
earning ability
of the defendant' " and places the burden on the defendant to demonstrate " 'the absence of
potential future financial resources
.' "
¶ 29. Finally, I don't believe restitution hearings, as currently constituted, are well suited to support an evaluation of a defendant's earning capacity. As noted above, the prehearing discovery required of a defendant relates to financial disclosures. Conclusions about an offender's potential ability to pay require consideration of a defendant's characteristics in relation to a job market. If not established on the basis of a defendant's established earnings history, earning capacity determinations in this setting are apt to be highly speculative.
¶ 30. This is a case in point. Here, the trial court made a leap from the fact that defendant is able-bodied and young, to an assertion that he could work forty hours per week at his present rate of $14 per hour, even though defendant has only a high school education and does landscaping work, which is weather dependent. The court's assumption that defendant could find additional work at the $14/hour rate to supplement or supplant these earnings was not based on any evidence in the record about other employment available in the local labor market that would provide full time work at a $14/hour rate; instead, the court assumed that defendant could and penalized him for failing to adequately rebut the court's presumption, saying: "The defendant offered no reason why he could not obtain a job which provides the opportunity to work a standard work week or why he would be unable to take a second job so as to work approximately forty hours per week." Even if the Legislature had authorized the trial court to impute income in setting a restitution repayment schedule, the record in this case does not support the trial court's assessment.
¶ 31. For the above reasons, I dissent.
At oral argument, defendant questioned whether complainant's dental expenses were "uninsured medical expenses," given that complainant's insurance company said the dental expenses were not medically necessary. This argument was not raised in the briefing, and we do not consider it here. See
In re Boardman
,
The Alaska legislature amended this statute in 1992 to take out the "financial resources" clause and add a clause authorizing the court to take into account the defendant's "present and future ability to pay." 1992, Alaska Sess. Laws No. 71, §§ 3-4.
The dissent argues that these cases either undermine our analysis or fail to support it.
Post
, ¶ 28. We acknowledge that some of these cases construed statutes that more explicitly authorized the court to consider earning capacity. See, e.g.,
Bain
,
Defendant also focuses on the fact that prior to the second restitution hearing, defendant and the State agreed that $150 per month was a reasonable monthly amount, given defendant's financial situation. However, the State made clear that although it found $150 per month reasonable, complainant did not; therefore, the State was not asking for, nor had it agreed to, $150 per month. The State then asked for a $300 monthly repayment at the second restitution hearing. Nothing about these facts indicates the court's decision to order $300 monthly payments was punitive. Moreover, the authority to set a restitution repayment schedule rests with the court, not the parties. Any agreement between the State and a defendant regarding a repayment schedule does not bind the court.
If defendant's employment earnings increase, 13 V.S.A. § 7043(l), or defendant wins the lottery, receives a tax refund, or has unclaimed property in the custody of the Vermont Treasurer,
The majority's approach is at odds with the rehabilitative purpose of restitution for another reason: "If restitution is ordered in an amount that is clearly impossible for the offender to pay, the offender's rehabilitation will be inhibited and not furthered."
Karr v. State
,
I recognize that the majority does not take the position that the standards applicable to imputation of income in the child support context are fully applicable in restitution hearings. My point here is more basic: in the child support context the Legislature has expressly authorized courts to impute income and has provided some guidance as to how they should do so. The restitution statute contains no such language. And despite the majority's statement that it is not addressing whether a court can impute income in the restitution context due to underemployment relative to a defendant's qualifications, ante , ¶ 17, the majority's broad construction of "ability to pay" to include a defendant's potential ability to pay if the defendant worked full time at an earnings level the court believes the defendant can attain implicitly answers that question in the affirmative.
Other cases cited by the majority don't undermine its position but also don't support it; the statutory language at issue in the various cases is sufficiently different from Vermont's that the courts' analyses are inapposite. For example, the Alaska statute in effect at the time the Alaska Supreme Court decided
Karr
provided for consideration of the "financial resources of the defendant and the nature of the burden its payment will impose" on dependents of the defendant.
Reference
- Full Case Name
- STATE of Vermont v. Lucas DWIGHT
- Cited By
- 2 cases
- Status
- Published