2021 IL App (1st) 200984
Ill. App. Ct.2021Background
- Zachary Smith was tried in a bench trial and convicted of one count of Armed Habitual Criminal (AHC) and three counts of Unlawful Use of a Weapon by a Felon (UUWF); he received a six-year term on AHC and a concurrent two-year term on UUWF.
- On direct appeal this court vacated Smith’s UUWF conviction under the one-act, one-crime rule because the AHC and UUWF convictions arose from the same act of gun possession.
- Smith successfully obtained relief under 735 ILCS 5/2-1401 to vacate his AHC conviction because one of the predicate offenses (an AUUW conviction) was later held facially unconstitutional and could not serve as a predicate after In re N.G. and Aguilar.
- Smith petitioned for a Certificate of Innocence (COI) under 735 ILCS 5/2-702 based on incarceration on the now-vacated AHC conviction; the State opposed, arguing Smith was not innocent of all offenses charged because of the UUWF guilty findings.
- The circuit court granted the COI; the State appealed. The appellate majority reversed, holding subsection (g)(3) of the COI statute requires the petitioner be innocent of the offenses charged in the indictment, and prior guilty findings precluded a COI here.
Issues
| Issue | Plaintiff's Argument (State) | Defendant's Argument (Smith) | Held |
|---|---|---|---|
| Whether Smith is eligible for a COI under 735 ILCS 5/2-702 when he was found not guilty (or had a conviction vacated) of the charge that produced his incarceration but was also found guilty on other charges in the same indictment | Smith must prove by a preponderance that he is innocent of the offenses charged in the indictment; guilty findings on any charged offenses bar a COI | COI should be available where petitioner is innocent of the charge for which he was incarcerated (i.e., the vacated AHC); only innocence of the offense that produced incarceration is required | Reversed COI: §2-702(g)(3) requires innocence of the offenses charged in the indictment/information; guilty findings on charged offenses preclude a COI |
| Whether the State forfeited the argument that Smith must be innocent of all charged offenses | The State preserved the argument in its written response and at oral argument | Smith contended the State waived/forfeited the argument | Court held the State did not forfeit the argument; it was raised below and preserved for appeal |
| Whether vacatur of a conviction (e.g., by one-act/one-crime merger) eliminates the underlying guilty finding for COI purposes | State argued guilty findings remain relevant even if a conviction was later vacated for reasons unrelated to statutory invalidity | Smith argued vacated convictions lose their legal character and should not count against COI eligibility | Court held a guilty finding at trial that produced a conviction (even if that conviction was vacated for reasons like merger) prevents a COI unless the underlying offense or predicate was deemed unconstitutional |
| Whether the COI statute allows a ‘‘partial’’ COI when petitioner was wrongfully incarcerated on one charge but properly incarcerated on others | State: statute does not permit partial COIs if petitioner was convicted of offenses charged in the indictment | Smith: statute should be read to permit COI limited to offenses for which the petitioner was actually incarcerated and later vacated | Court followed People v. Moore reasoning: §2-702 does not permit issuance of COI unless petitioner is innocent of all charged offenses in the indictment |
Key Cases Cited
- People v. Aguilar, 2013 IL 112116 (Illinois Supreme Court decision holding certain AUUW provision facially unconstitutional)
- In re N.G., 2018 IL 121939 (Illinois Supreme Court explaining that a statute held facially unconstitutional is void ab initio and convictions under it cannot stand)
- People v. Artis, 232 Ill. 2d 156 (discussing one-act, one-crime and merger principles)
- People v. Wunnenberg, 87 Ill. App. 3d 32 (vacated convictions lose their legal character and should not be treated as unvacated convictions)
- People v. Palmer, 2021 IL 125621 (COI analysis focusing on innocence as charged and prosecuted at trial)