All opinions are subject to modification and technical correction prior to official publication in the North Carolina Reports and North Carolina Court of Appeals Reports. In the event of discrepancies between the electronic version of an opinion and the print version appearing in the North Carolina Reports and North Carolina Court of Appeals Reports, the latest print version is to be considered authoritative.
STATE OF NORTH CAROLINA
v.
DUDLEY WEBB
On writ of certiorari issued 2 April 2003 pursuant to
N.C.G.S. § 7A-32(b) to review an order entered 4 March 2003 and
an amended order entered 19 March 2003 by Judge Orlando F.
Hudson, Jr., in Superior Court, Durham County, declaring N.C.G.S.
§ 7A-455.1 unconstitutional and enjoining the Clerk of Superior
Court for said county from collecting the appointment fee and
entering civil judgments pursuant to N.C.G.S. § 7A-455.1(b).
Heard in the Supreme Court 11 September 2003.
Roy Cooper, Attorney General, by Norma S. Harrell,
Special Deputy Attorney General, for the State-
appellant.
Robert Brown, Jr., Public Defender; Heather H. Freeman,
Assistant Public Defender; and C. Scott Holmes, for
defendant-appellee.
Seth H. Jaffe, Counsel; and Kurtz & Blum, PLLC, by
Howard A. Kurtz and Paula K. McGrann, on behalf of the
American Civil Liberties Union of North Carolina Legal
Foundation, Inc., amicus curiae.
EDMUNDS, Justice.
On 10 December 2002, an order for the arrest of Dudley
Cedrick Webb (defendant) was issued, alleging that he had
violated the terms of his probation. Defendant requested and
received appointed counsel as an indigent and, pursuant to
N.C.G.S. § 7A-455.1, thereupon became obligated to pay a fifty
dollar appointment fee regardless of the outcome of hiscriminal proceedings. Defendant filed a motion in Superior
Court, Durham County, to declare the statute unconstitutional,
alleging that this appointment fee violated the Fourteenth
Amendment of the United States Constitution.
After conducting a hearing in which arguments for both
sides were presented, the trial court found that the appointment
fee violated not only the United States Constitution but also
Article I, Section 23 of the North Carolina Constitution. On
19 March 2003, the trial court entered an amended order declaring
N.C.G.S. § 7A-455.1 unconstitutional and enjoining the clerk of
superior court from collecting the appointment fee or entering
judgments for the fee. On 2 April 2003, this Court issued a writ
of supersedeas staying enforcement of the trial court's order.
We affirm the decision of the trial court, as modified.
Section 7A-455.1 requires any indigent defendant who
requests the appointment of counsel to pay a non-refundable fifty
dollar appointment fee regardless of the outcome of the criminal
proceedings. N.C.G.S. § 7A-455.1(a), (b) (Supp. 2002). Forty-
five dollars of the appointment fee is allocated to the Indigent
Persons' Attorney Fee Fund and the remaining five dollars goes to
the Court Information Technology Fund. N.C.G.S. § 7A-455.1(f).
Section 7A-455.1 became effective 1 December 2002. Act of
Dec. 1, 2002, ch. 126, sec. 24A.9(c), 2002 N.C. Sess. Laws 291,
495. Although the fee is payable at the time of appointment,
[i]nability, failure, or refusal to pay the appointment fee
shall not be grounds for denying appointment of counsel, for
withdrawal of counsel, or for contempt. N.C.G.S. § 7A-455.1(d). If this appointment fee is paid prior to the final determination
of the action at the trial level, it is credited against any
attorney's fees due. However, if the appointment fee is paid
after final determination of the case, it is added to any
attorney's fees due and is collected in the same manner as
attorney's fees. N.C.G.S. § 7A-455.1(b). If no attorney's fees
are owed after final determination of the action, the appointment
fee is reduced to judgment and constitutes a lien. Id. Thus,
under this statute, a defendant who pays the appointment fee
before the resolution of his or her case obtains an appreciable
benefit.
Although there is a strong presumption that acts of
the General Assembly are constitutional, it is nevertheless the
duty of this Court, in some instances, to declare such acts
unconstitutional. Stephenson v. Bartlett, 355 N.C. 354, 362,
562 S.E.2d 377, 384 (2002). In determining the constitutionality
of N.C.G.S. § 7A-455.1 under the Constitution of North Carolina,
the dispositive issue is whether the appointment fee is a cost
imposed in violation of Article I, Section 23, which provides
that [i]n all criminal prosecutions, every person charged with
[a] crime has the right . . . not [to] be compelled to . . . pay
costs, jail fees, or necessary witness fees of the defense,
unless found guilty. N.C. Const. art. I, § 23. We are guided
by the basic principle of constitutional construction of
'giv[ing] effect to the intent of the framers.' Perry v.
Stancil, 237 N.C. 442, 444, 75 S.E.2d 512, 514 (1953) (quoting
11 Am. Jur. Constitutional Law § 61 (1937)). Constitutionalprovisions should be construed in consonance with the objects and
purposes in contemplation at the time of their adoption. To
ascertain the intent of those by whom the language was used, we
must consider the conditions as they then existed and the purpose
sought to be accomplished. Id. Accordingly, we review the
history of this provision.
Prior to 1868, criminal defendants in North Carolina
were obliged to pay costs even if acquitted. John V. Orth, The
North Carolina State Constitution: A Reference Guide 66
(Greenwood Press 1993) [hereinafter Orth] (citing State v.
Hodson, 74 N.C. 151 (1876)). In that year, the people of North
Carolina ratified a new Constitution, which provided that [i]n
all criminal prosecutions, every [person] has the right . . . not
[to] be compelled . . . to pay costs, jail fees, or necessary
witness fees of the defen[s]e, unless found guilty. N.C. Const.
of 1868, art. I, § 11. This provision, sparing the accused some
of the expenses associated with establishing his or her
innocence, was included in the 1868 Constitution because no basis
existed for requiring an accused to bear the costs incurred by
the State in its unsuccessful prosecution. Orth. Thereafter,
costs of prosecution incurred in the conduct of the prosecution
and making it effectual in a verdict devolved upon the accused
only upon conviction. State v. Wallin, 89 N.C. 578, 580 (1883).
Article I, Section 11 of the 1868 Constitution was incorporated
into the 1971 Constitution without material variance as Article
I, Section 23. The State contends that the appointment fee is not a
cost of prosecution, but instead consists in part of an
attorney's fee and in part of an administrative fee, together
intended to defray the costs of providing counsel to indigents,
and collectively constitutional. Under this theory, the
appointment fee properly may be charged to any criminal
defendant, acquitted or convicted.
We begin our analysis by considering whether a portion
of the appointment fee can be considered an attorney's fee.
Attorney's fees are charge[s] to a client for services performed
for the client. Black's Law Dictionary 125 (7th ed. 1999)
(emphasis added). The forty-five dollars of the appointment fee
that is paid to the Indigent Persons' Attorney Fee Fund does not
fall within this definition because it is not directly related to
the individual defendant who is resisting prosecution or
defending against a particular criminal charge. Instead, the
appointment fee has a more general purpose. North Carolina, like
every other jurisdiction, has a constitutional duty to provide
court-appointed counsel to an indigent defendant upon request.
Gideon v. Wainwright, 372 U.S. 335, 9 L. Ed. 2d 799 (1963); see
also N.C.G.S. §§ 7A-450(b), -498.1 (2003). The expense to the
State of providing such counsel is an unavoidable consequence[]
of a system of government which is required to proceed against
its citizens in a public trial in an adversary proceeding.
Schilb v. Kuebel, 404 U.S. 357, 378, 30 L. Ed. 2d 502, 518 (1971)
(Douglas, J., dissenting). The appointment fee helps support
that part of the criminal justice system that enables the Stateconstitutionally to prosecute indigent defendants who qualify for
court-appointed counsel. Article I, Section 23 does not insulate
acquitted defendants from bearing the burden of paying for their
own counsel, but it does shield an acquitted defendant from
having to pay for a system designed to reimburse the State for
expenses necessarily incurred in the conduct of the
prosecution. State v. Wallin, 89 N.C. at 580. Because the
appointment fee functions to reimburse the State for expenses
associated with keeping its system that provides for court-
appointed counsel operational, we believe that this portion of
the appointment fee is a cost of prosecution. Therefore, the
appointment fee cannot be characterized as being, in part, an
attorney's fee.
We next consider the State's characterization of the
appointment fee as, in part, an administrative fee. The State
relies on Schilb v. Kuebel, 404 U.S. 357, 30 L. Ed. 2d 502, for
the proposition that administrative fees are separate from costs
of prosecution and, as such, can be imposed upon acquitted
defendants. However, Schilb is distinguishable as to this issue.
Under the statute in question in that case, the State of Illinois
retained a small portion of bail posted by some criminal
defendants, whatever the outcome of the case. In declining to
nullify the statute, the United States Supreme Court noted that
defendants had the choice of posting a property bond, a cash bond
in the full amount, or a percentage of the cash bond, and that a
portion was retained only when the defendant elected to post a
percentage of the cash bond. Schilb v. Kuebel, 404 U.S. at 366,30 L. Ed. 2d at 512. Thus, only those Illinois defendants who
sought the benefit of posting a percentage were required to pay
the administrative costs. Schilb v. Kuebel, 404 U.S. at 370-71,
30 L. Ed. 2d at 514. In contrast, an indigent defendant in North
Carolina who seeks court-appointed counsel has no alternative
that would allow him or her to avoid paying the appointment fee.
Consequently, we do not believe that Schilb controls.
We find more useful direction by analogizing this part
of the appointment fee to the facilities fee, which is a cost
imposed upon a defendant who is convicted or enters a plea of
guilty or nolo contendere in a criminal action. N.C.G.S. § 7A-
304(a)(2) (2003). The facilities fee reimburses counties for
providing, maintaining, and constructing adequate courtroom and
related judicial facilities. Id. Even though the facilities
fee is purely administrative in nature, because it is considered
a cost of prosecution, it is not assessed unless the defendant is
convicted. Id.
We believe that the five dollars of the appointment fee
allocated to the Court Information Technology Fund is effectively
indistinguishable from the facilities fee. The appointment fee
operates to supplement funds otherwise available to the Judicial
Department for court information technology and office automation
needs, thus defraying expenses incurred by the State in the
operation and maintenance of the court system. N.C.G.S. § 7A-
343.2 (2003). Accordingly, it should be assessed in the same
manner as the facilities fee and any other cost of prosecution--
against convicted defendants only. We recognize that our historical consideration of this
issue has some limitations because the State was not required to
provide counsel to indigent defendants at the time of the 1868
Constitution. However, Article I, Section 11 of that
Constitution was adopted to relieve acquitted defendants from
bearing the burden of paying costs of prosecution. The
subsequent United States Supreme Court decision in Gideon v.
Wainwright, 372 U.S. 335, 9 L. Ed. 2d 799, requiring that states
provide court-appointed counsel for indigent criminal defendants,
did not affect the purposes for which that section was enacted.
Inclusion thereafter of virtually identical language in Article
I, Section 23 of the 1971 Constitution convincingly demonstrates
North Carolina's continuing dedication to the principle that
acquitted defendants should not be required to pay the costs of
their prosecution. Thus, requiring acquitted defendants to pay
the appointment fee, which we have determined is a cost of
prosecution, would defeat the intent and purpose of either
Constitution's provision.
The results yielded by our historical review is
consistent with a plain meaning analysis. Issues concerning the
proper construction of the Constitution of North Carolina 'are in
the main governed by the same general principles which control in
ascertaining the meaning of all written instruments.' State ex
rel. Martin v. Preston, 325 N.C. 438, 449, 385 S.E.2d 473, 478
(1989) (quoting Perry v. Stancil, 237 N.C. at 444, 75 S.E.2d at
514). In interpreting our Constitution--as in interpreting a
statute--where the meaning is clear from the words used, we willnot search for a meaning elsewhere. Id. at 449, 385 S.E.2d at
479.
The plain meaning of words may be construed by
reference to 'standard, nonlegal dictionaries.' C.D. Spangler
Constr. Co. v. Indus. Crankshaft & Eng'g Co., 326 N.C. 133, 152,
388 S.E.2d 557, 568 (1990) (quoting Jamestown Mut. Ins. Co. v.
Nationwide Mut. Ins. Co., 266 N.C. 430, 438, 146 S.E.2d 410, 416
(1966)). Where appropriate, including earlier in this opinion,
this Court has consulted Black's Law Dictionary. See, e.g., Hieb
v. Lowery, 344 N.C. 403, 410, 474 S.E.2d 323, 327 (1996).
Black's Law Dictionary defines costs as [f]ees and charges
required by law to be paid to the courts or some of their
officers, the amount of which is fixed by statute or court rule;
e.g.[,] filing and service fees. Black's Law Dictionary 346
(6th ed. 1990). The appointment fee in this case embodies all
the substantive characteristics of a cost as used within this
definition and the meaning of Article I, Section 23. It is a
fixed amount, imposed by statute, required to be paid to the
courts.
The State contends that the General Assembly's use of
the term fee indicates the appointment fee is not a cost.
However, merely calling the appointment fee a fee is not
controlling where every aspect of the amount in question is one
associated with a cost. See William Shakespeare, Romeo and
Juliet act 2, sc. 2, 48-49. In fact, each amount listed on the
Criminal Bill of Costs submitted in a criminal matter is
denominated a fee, for example, process fee, general court ofjustice fee, facilities fee. These fees are, like costs, imposed
only upon convicted defendants. Furthermore, Black's Law
Dictionary's definition of costs includes fees as a synonym.
Black's Law Dictionary 346 (6th ed. 1990). Consequently, we do
not find that the use of the term fee determines the true
nature of the appointment fee.
The plain language of Article I, Section 23 prohibiting
the assessment of costs against acquitted defendants thus
encompasses the appointment fee. By requiring payment of the
appointment fee by acquitted defendants, the General Assembly
devised a statutory framework that does not comport with the
constitutional limitation prohibiting a criminal defendant from
paying costs unless found guilty, and as such it may not stand.
Accordingly, we hold that the appointment fee set out in N.C.G.S.
§ 7A-455.1 is a cost of prosecution and may not be imposed upon a
defendant in a criminal matter until that defendant has been
convicted or pled guilty or nolo contendere.
We next consider whether the unconstitutional portions
of N.C.G.S. § 7A-455.1 can be severed so that the rest of the
statute remains enforceable. These portions are those requiring
payment at the time of appointment, N.C.G.S. § 7A-455.1(a),
regardless of the outcome of the proceedings, and the relevant
provisions granting a credit to any defendant who pays the
appointment fee prior to the final determination of the action,
N.C.G.S. § 7A-455.1(b).
The following test is used to determine whether
severability is permissible: The test for severability is whether the
remaining portion of the legislation can
stand on its own and whether the General
Assembly would have enacted the remainder
absent the offending portion. See, e.g.,
Jackson v. Guilford Cty. Bd. of Adjust., 275
N.C. 155, 168, 166 S.E.2d 78, 87 (1969)
(When the statute, . . . [can] be given
effect had the invalid portion never been
included, it will be given such effect if it
is apparent that the legislative body, had it
known of the invalidity of the one portion,
would have enacted the remainder alone.).
Additionally, the inclusion of a severability
clause within legislation will be interpreted
as a clear statement of legislative intent to
strike an unconstitutional provision and to
allow the balance to be enforced
independently. Fulton Corp. v. Faulkner, 345
N.C. 419, 421, 481 S.E.2d 8, 9 (1997).
Pope v. Easley, 354 N.C. 544, 548, 556 S.E.2d 265, 268 (2001).
We note that Session Law 2002-126, which added the
appointment fee to Chapter 7A of the North Carolina General
Statutes, contains a severability clause that provides that [i]f
any section or provision of this act is declared unconstitutional
or invalid by the courts, it does not affect the validity of this
act as a whole or any part other than the part so declared to be
unconstitutional or invalid. Ch. 126, sec. 31.6, 2002 N.C.
Sess. Laws at 511. The inclusion of section 31.6 evinces an
unmistakable legislative intent that the remaining portions of
section N.C.G.S. § 7A-455.1 should continue in effect, if
possible. See In re Appeal of Springmoor, Inc., 348 N.C. 1, 13,
498 S.E.2d 177, 184-85 (1998).
First, we must consider whether the portion of N.C.G.S.
§ 7A-455.1(b) requiring payment of the appointment fee
regardless of the outcome of the proceedings can be severed.
Although we determined above that payment of the appointment feeby an acquitted defendant is unconstitutional under Article I,
Section 23, payment of costs of prosecution, including the
appointment fee, by a convicted defendant is consistent with that
section. The General Assembly, by enacting this statute,
intended to recoup some of the expenses incurred in providing
court-appointed counsel to indigent defendants. Severing the
offending portion enables the State to continue collecting the
appointment fee from convicted defendants, thereby fulfilling the
intent of the legislature. Accordingly, the portion of N.C.G.S.
§ 7A-455.1(b) requiring payment regardless of the outcome of the
proceedings shall be severed in order to allow the State to
assess the appointment fee against convicted defendants as
constitutionally allowed under Article I, Section 23.
Next, we consider whether the statutory provision in
N.C.G.S. § 7A-455.1(a) requiring payment at the time of
appointment must be severed. To require payment of the
appointment fee at the time of appointment is inconsistent with
our holding today that the appointment fee is a cost. Pursuant
to section 7A-304, costs in criminal actions are assessed only
after a defendant is convicted or enters a plea of guilty or nolo
contendere. N.C.G.S. § 7A-304(a). [N]o costs may be assessed
when a case is dismissed. Id. The pretrial release services
fee and the State Bureau of Investigation laboratory fee, both
pertaining to services rendered before a defendant is convicted,
are assessed only after conviction. N.C.G.S. § 7A-304(a)(5),
(7). Neither of these pre-trial costs must be paid prior to the
final determination of the action. Moreover, the General Assembly effectively acknowledged
that the appointment fee would be prepaid infrequently when it
provided that counsel could not be denied for failure to pay the
appointment fee in advance. N.C.G.S. § 7A-455.1(d). Requiring
the State to collect the appointment fee only after a final
determination of guilt does not obstruct the objective of
N.C.G.S. § 7A-455.1. Therefore, the portion of N.C.G.S. § 7A-
455.1(a) requiring payment at the time of appointment shall
also be severed.
Our holding today also mandates the severance of the
provisions in N.C.G.S. § 7A-455.1(b) that grant a credit against
any attorney's fees owed for any defendant who pays the
appointment fee in advance. Because the provision requiring
payment at the time of appointment has been severed, no costs are
imposed, or can be imposed, until after there is a conviction.
Accordingly, the provisions entitling a defendant to a pre-
payment credit shall also be severed.
The purposes of N.C.G.S. § 7A-455.1 do not depend on
requiring payment at the time of appointment and providing a pre-
payment credit to those defendants who pay in advance. Allowing
the State to collect the appointment fee from convicted indigent
defendants upon final disposition permits the State to recoup a
portion of its expenses associated with providing a system that
enables indigent defendants to be prosecuted. Therefore, we hold
that because the remaining provisions of N.C.G.S. § 7A-455.1 can
be enforced independently of the unconstitutional portions of the
section, the unconstitutional provisions of N.C.G.S. § 7A-455.1shall be severed and the balance of the section enforced. In
accordance with our holding, the State is still permitted to
collect the appointment fee from convicted defendants.
Finally, we address the constitutionality of N.C.G.S.
§ 7A-455.1, as modified by the severance, under the Constitution
of the United States. The State contends the appointment fee
does not have an unconstitutional chilling effect on an indigent
defendant's exercise of the Sixth Amendment right to counsel.
Defendant responds that the appointment fee constitutes a
cumbersome procedural obstacle that effectively chills the right
to counsel. He also contends that the statute fails to provide
adequate notice and an opportunity to be heard. We find
defendant's arguments unpersuasive.
Because we held above that the appointment fee is a
cost of prosecution that can be assessed only against convicted
defendants, the federal constitutional issues raised with regard
to acquitted indigent defendants are now moot. Further, any
federal constitutional issues raised with regard to payment of
the appointment fee by convicted indigent defendants are readily
resolved.
The United States Supreme Court has rejected the notion
that an indigent defendant's right to counsel is
unconstitutionally chilled by the imposition of the costs of
attorney's fees. Fuller v. Oregon, 417 U.S. 40, 40 L. Ed. 2d 642
(1974). This Court has also rejected the same argument. See
State v. Cummings, 346 N.C. 291, 318, 488 S.E.2d 550, 566 (1997)
(Informing defendant that he may be required to reimburse theState for the costs of his attorney . . . does not 'chill' his
right to have counsel provided.), cert. denied, 522 U.S. 1092,
139 L. Ed. 2d 873 (1998). Where a valid purpose exists for the
imposition of attorney's fees, other than merely penalizing
indigent defendants who choose to exercise their fundamental
right to counsel, no chilling effect arises. Fuller v. Oregon,
417 U.S. at 54, 40 L. Ed. 2d at 655. In addition, conditionally
requiring indigent defendants who received the benefit of court-
appointed counsel to repay attorney's fees, as opposed to non-
indigent defendants, is not invidious discrimination based on
wealth because the debt arose only because counsel was provided
by the State in the first place. Id.
While Fuller was concerned with the recoupment of
attorney's fees from convicted defendants, we believe the
reasoning in that case applies to the appointment fee at issue
here. Use of a portion of the costs paid by a convicted
defendant to help the State defray some of the expenses
associated with providing counsel to indigent defendants is a
valid purpose that does not penalize those who seek court-
appointed counsel. In Fuller, recoupment occurred only when the
defendant could pay. Somewhat similarly, under N.C.G.S. § 7A-
455.1, the appointment fee is either reduced to a lien or added
to other costs when the defendant cannot pay, so payment of the
fee occurs only when the defendant has the means. The fact that
an indigent who accepts state-appointed legal representation
knows that he might someday be required to repay the costs of
these services in no way affects his eligibility to obtaincounsel. Fuller v. Oregon, 417 U.S. at 53, 40 L. Ed. 2d at 654.
Thus, requiring convicted indigent defendants to pay costs,
including the appointment fee at bar, does not unconstitutionally
chill the exercise of the right to counsel.
A convicted defendant is entitled to notice and an
opportunity to be heard before a valid judgment for costs can be
entered. State v. Crews, 284 N.C. 427, 201 S.E.2d 840 (1974).
Costs are imposed only at sentencing, so any convicted indigent
defendant is given notice of the appointment fee at the
sentencing hearing and is also given an opportunity to be heard
and object to the imposition of this cost. Therefore, the
constitutional requirement of notice and an opportunity to be
heard are satisfied. Accordingly, the imposition of the
appointment fee on convicted indigent defendants passes federal
constitutional muster.
On 2 April 2003, we ordered that all superior and
district court judges refrain from entering orders prohibiting
the collection of the appointment fee or the entry of a judgment
for the appointment fee until this Court determined the
constitutionality of N.C.G.S. § 7A-455.1. State v. Webb, 357
N.C. 55, 579 S.E.2d 583 (2003). Therefore, the State had notice
of the possibility that the appointment fee would be declared
unconstitutional and had the opportunity to plan and budget for
potential refunds. Smith v. State, 349 N.C. 332, 342, 507
S.E.2d 28, 34 (1998) (Frye, J., concurring). In light of our
holding today, any indigent defendant who paid the appointment
fee between 2 April 2003 and the date of this opinion, who wasacquitted or whose case was dismissed, is entitled to a refund by
the State. In addition, any defendant who received the pre-
payment credit by paying the appointment fee prior to the final
determination and made such payment between 2 April 2003 and this
opinion is entitled to retain the benefit of the credit.
The decision of the trial court is affirmed as
modified.
AFFIRMED AS MODIFIED.
*** Converted from WordPerfect ***