Lead Opinion
¶ 1. Petitioner appeals from the trial court’s dismissal of his request for post-conviction relief (PCR) pursuant to 13 V.S.A. § 7131. Petitioner complained that his sentence for Driving Under the Influence-Second Offense (DUI-2) was enhanced on account of an improper prior conviction for a first offense of DUI-1, claiming the earlier plea of guilty was uncounseled in violation of the Sixth Amendment, and without the recitations necessary for a valid plea under Rule 11 of the Vermont Rules of Criminal Procedure. Because petitioner was discharged from his sentence before the trial court reviewed the claim, the court dismissed the petition as moot. We affirm.
¶ 2. Following his conviction and sentence for DUI-2 on October 11, 2005, petitioner filed this petition for PCR pro se on November 1, 2005, collaterally attacking his 1992 DUI-1 conviction. At the time of filing, petitioner was on probation under a suspended sentence of eighteen months to five years for his 2005 DUI-2, and so was a person “in custody under sentence of a court” entitled to seek PCR pursuant to § 7131. See State v. Wargo,
¶ 3. The next month, on May 24, 2006, petitioner was discharged from his probation and underlying sentence for the DUI-2 conviction. Asserting lack of jurisdiction due to the expiration of the sentence, the State moved for dismissal on August 17, 2006. The trial court dismissed the action as moot on December 20, 2006, reasoning that since the sentence was over, any further court action to “undo the past and reduce sentences that petitioner has already served” would be futile, regardless of jurisdiction. Petitioner appeals, arguing that dismissal was in error because he met the jurisdictional requirements of § 7131 when the action was commenced.
¶ 4. That the court had jurisdiction when the PCR was filed does not mean the action was not moot when the trial court considered the motion to dismiss. An action “becomes moot when the issues presented are no longer live or the parties lack a legally cognizable interest in the outcome.” State v. Lee, 2007 VT
¶ 5. While not briefing the issue at any length, petitioner posits that, contrary to the court’s conclusion, he remained vested in having “one less conviction” and in getting his “license back sooner”
¶ 6. The dissent decries a lack of caselaw for this proposition, but it is stated in Boskind, and in its reference to Vaughn. Vaughn explained that, “although the district court lacked jurisdiction over . . . petitions attacking two convictions whose sentences had expired, we could review those sentences because of their collateral enhancement of the sentence that [petitioner] was still serving.”
¶ 7. That the prior conviction remains final under Vaughn and Boskind is an entirely unsurprising and logical result of defendant’s election not to appeal or pursue any timely challenge to his earlier conviction. The finality of undisputed judgments is no stranger to our law, which is replete with deadlines, and indeed is expressly favored despite belatedly perceived flaws. See Lackawanna County Dist. Att’y v. Coss,
¶ 9. The dissent advances a number of objections to the conclusion that petitioner’s claim is moot, none of which withstand scrutiny. First, the dissent posits that, as it forewarned in Boskind,
¶ 10. The avenues of redress available to a claimant seeking to challenge a prior plea are myriad. First, Boskind did nothing to alter the settled rule that petitioners asserting a denial of their Sixth Amendment right to counsel may later raise the claim directly in the enhanced penalty proceeding.
¶ 11. Second, neither Boskind nor our holding today undermines any of the several independent options otherwise available to petitioner and other defendants by which they can freely challenge the procedural validity of earlier guilty pleas. For example, defendants may assert a deficiency in a guilty plea pursuant to a timely motion to withdraw under V.R.Cr.P. 32(d). Such a motion may be made prior to or within 30 days of the entry of judgment, and “at any time” by a defendant not subject to incarceration. Id. In addition, defendants, including this petitioner, may file for post-conviction relief challenging the validity of their plea at any time while they remain “in custody under sentence,” including while on probation. 13 V.S.A. § 7131; State v. Yates,
¶ 12. Nor is it the case — contrary to the dissent’s assertion — that petitioners who choose for whatever reason to ignore these more timely procedures and defer the filing of a PCR petition until after an enhanced sentencing proceeding will invariably find the claim mooted by completion of their sentence. Petitioner here, for example, filed his original pro se petition within three weeks of sentencing and counsel was appointed less than a month later. Nevertheless, his amended petition was not filed until five months later, with no apparent effort to alert the court to a need for expedited handling, notwithstanding the clear warning in Boskind that petitioner’s potential discharge from probation, which occurred seven weeks later, would moot the matter. Had petitioner filed a more timely amended petition or a motion to expedite, there is no evident reason why the petition could not have been heard and resolved before his discharge from probation. The so-called promise in Boskind upon which the
¶ 13. The dissent further proffers several negative collateral consequences relating to defendant’s enhanced sentence that should allegedly keep the controversy alive. See In re P.S.,
¶ 14. First, the dissent notes that petitioner received a mandatory enhanced license suspension based on the earlier conviction, which remained in effect even after he completed his sentence. Assuming, for the sake of argument, that petitioner’s plea of guilty to the first DUI was so proeedurally deficient as to invalidate enhancement of his sentence for the second DUI, it does not follow that the enhanced license suspension was similarly invalid. Nor does it follow at all, despite the dissent’s assumption, that petitioner would be entitled to immediate reinstatement of his license. While petitioner may seek to “vacate, set aside or correct the sentence” pursuant to the PCR statute, 13 V.S.A. § 7131, his license suspension was no sentence. It is settled that suspension is “a civil, not a criminal, sanction.” See State v. Strong,
¶ 16. Moreover, our recognition of negative collateral consequences as an exception to mootness is limited to situations where proceeding to a decision in an otherwise dead case is “justified by a sufficient prospect that the decision will have an impact on the parties.” All Cycle, Inc. v. Chittenden Solid Waste Dist.,
¶ 17. Finally, the dissent contends that the controversy here remains live because the 1992 DUI conviction carries the
¶ 18. Contrary to the dissent’s characterization, we renege on no promise to solve a problem, should one emerge, of defendants being denied relief from enhanced sentences on account of procedurally suspect prior convictions. Petitioner’s is one case brought to our attention in the six years since Boskind where the remedy sought is moot on account of the sentence ending before his PCR was decided — here, apparently, just as likely the result of a fortuitous discharge from an indeterminate probation as from the ordinary passage of time on this docket in the trial court. Petitioner could have requested an expedited hearing, but did not. His petition might have been more clearly or more timely pled, but was not. Petitioner’s complaint was one of probably dozens, if not hundreds, of otherwise nondescript PCR and other petitions filed yearly with the superior court. Their merits are important, but it should not be the obligation of the superior courts, as the dissent would impose, to unilaterally identify and analyze, without prompting or assistance from counsel familiar with the case, that one complaint is more worthy of attention than another. In any event, it is not at all clear that in this case, or in any other, petitioner has been effectively deprived of an opportunity to correct an erroneously enhanced sentence by operation of Boskind alone.
¶ 19. Accordingly, we find no exception to the mootness doctrine, and no basis to disturb the trial court judgment.
Affirmed.
Notes
See 23 V.S.A. § 1205(m) (establishing a longer suspension period for those convicted of a second violation of § 1201).
Lackawanna settled federal law, as presaged in Vaughn, that no challenge could be maintained against a prior conviction, once its sentence had expired, through an attack on a current sentence enhancement based on that prior conviction. “[W]e hold that once a state conviction is no longer open to direct or collateral attack in its own right because the defendant failed to pursue those remedies while they were available (or because the defendant did so unsuccessfully), the conviction may be regarded as conclusively valid.” Lackawanna,
Dissenting Opinion
¶ 20. dissenting. Not long ago, we made the following statement:
If PCR decisions in cases of collateral attack on predicate DUI convictions demonstrate that defendants are serving all or most of their sentence prior to a PCR determination that the predicate convictions used for enhancement are constitutionally infirm, the Supreme Court by administration or rule may calibrate a practical remedy to a real — not theoretical — problem.
State v. Boskind,
¶21. Despite this statement, today’s majority decision demonstrates two realities: (1) this Court will not honor the commitment in the above language from Boskind; and (2) because of the mootness ruling, post-conviction relief is an even more limited remedy than the majority in Boskind understood it to be. As of today, whatever effective relief remained after Boskind now exists only in theory. While the majority decision, and most of this dissent, is about the second point noted above, I return to the first point at the end of the dissent.
¶ 22. The majority apparently recognizes that petitioner had the right to challenge the validity of his underlying DUI conviction in this PCR proceeding because, at the time he filed the PCR petition, he was still serving the enhanced sentence from the latest DUI conviction. Yet, the majority effectively nullifies that right by upholding the trial court’s rigid and flawed mootness ruling. In support of that ruling, the majority makes two remarkable pronouncements aimed at demonstrating that petitioner will not suffer any collateral consequences as the result of the dismissal of his petition. According to the majority, (1) even if petitioner were to prevail in challenging his enhanced sentence by demonstrating the unlawfulness of his predicate DUI conviction, that conviction would continue to have full force and effect apart from supporting the current enhanced sentence; and therefore, (2) the mandatory enhanced suspension of petitioner’s driver’s license resulting in part from the earlier conviction remains in effect and is not an adverse collateral consequence sufficient to preclude his petition from being dismissed as moot. Both of these pronouncements are plainly wrong,
¶ 24. Justice Johnson and I dissented in Boskind from the Court’s holding that a defendant’s challenge to the predicate conviction had to be made in a subsequent PCR proceeding unless the claim was that the prior conviction had been obtained in violation of the right to counsel. Our concern was that, as a practical matter, in most cases a defendant would have already served the enhanced sentence by the time any relief was forthcoming in the PCR proceeding, and thus defendants would be effectively precluded from obtaining any real relief. Id. at 193-94,
¶ 26. It is undisputed that petitioner finished his enhanced criminal sentence before the superior court resolved his PCR petition. Nonetheless, because petitioner had filed his petition before the enhanced sentence was served, the court retained jurisdiction over the petition. Petitioner wanted to move forward on the petition because of the obvious negative collateral consequences stemming from the allegedly unlawful predicate conviction, including the continuing potential for the conviction to enhance penalties in any subsequent criminal proceedings and the continuing suspension of petitioner’s driver’s license. Instead of recognizing these obvious collateral consequences, the superior court declared the petition moot, thereby making the Boskind remedy even more ineffective than it already was. The majority upholds this position.
¶ 27. Even if this case did not implicate the effectiveness of the remedy specified in Boskind, I would disagree with the mootness ruling. “The central question of all mootness problems is ‘whether decision of a once living dispute continues to be justified by a sufficient prospect that the decision will have an impact on the parties.’ ” All Cycle, Inc. v. Chittenden Solid Waste Dist.,
¶ 28. Thus, in a case where a defendant convicted of a state crime was seeking to overturn an eleven-year-old federal conviction based on a guilty plea, the United States Supreme Court held as follows:
Although the term has been served, the results of the conviction may persist. Subsequent convictions may carry heavier penalties, civil rights may be affected. As the power to remedy an invalid sentence exists, we think, respondent is entitled to an opportunity to attempt to show that this conviction was invalid.
United States v. Morgan,
¶ 29. The majority attempts to avoid this well-settled exception to mootness by making the extraordinary statement that because petitioner is challenging the validity of his prior DUI conviction “in the context of’ his challenge to the enhanced sentence he received in the later DUI proceeding, his prior conviction would remain intact even if he were to prevail in his PCR petition. Under this reasoning, if petitioner were allowed to proceed with his PCR petition and demonstrate the invalidity of the prior conviction, he would still be subject to all of the adverse collateral consequences of that conviction, including presumably another enhanced sentence should he be convicted of DUI in the future. This would require him to challenge once again an underlying conviction already shown to be invalid, thereby placing him on the treadmill that the majority has created for him. Not surprisingly, the majority cites no law in support of this view, which makes no sense.
¶ 30. The bottom line is that a petitioner cannot overturn an enhanced sentence without demonstrating the unlawfulness of the underlying conviction; therefore, striking the underlying conviction is a necessary predicate to overturning the enhanced sentence. Nothing in our PCR statute suggests otherwise. Section 7131 of Title 13 is patterned after the federal PCR statute, 28 U.S.C. § 2255 and provides “a ‘special statutory remedy in the nature of habeas corpus.’ ” In re Stewart,
¶ 31. Boskind does not alter that fact. In Boskind, we quoted a federal appeals court for the proposition that a petitioner “ ‘in the context of ” an attack on his current sentence in a PCR proceeding may challenge “‘the constitutionality of an expired conviction.’ ”
¶ 32. Even if we were to assume that an invalidated conviction in the context of a challenge to a later enhanced sentence technically remained a valid conviction, there are obvious collateral consequences in this case that still would preclude a finding of mootness. For one thing, declaring petitioner’s PCR action moot deprived petitioner of the opportunity of demonstrating the inval
¶ 33. But even putting aside the possibility of future enhanced sentences, there is another obvious adverse collateral consequence preventing a finding of mootness — the continued suspension of petitioner’s driver’s license. Following petitioner’s second DUI conviction in 2005, he faced a mandatory license suspension of eighteen months, 23 V.S.A. § 1208(a), and was required to complete or show substantial progress in completing a therapy program, id. § 1209a(a)(2). In contrast, the license suspension applicable for a first offense is only ninety days, id. § 1206(a), and the therapy requirement may be imposed only if a counselor deems it necessary, id. § 1209a(a)(l). Thus, if his 2005 conviction had been a first offense, petitioner most likely would have had his license reinstated after ninety days. Instead, petitioner’s license suspension was apparently still in force when the superior court rendered its PCR decision. The record does not indicate whether petitioner had completed his therapy requirement. Nothing in the updated record, however, shows that petitioner’s license has been reinstated.
¶ 34. Without citation to any relevant authority, the majority concludes that the expanded and ongoing suspension of petition
¶ 35. Neither reason withstands scrutiny. As stated above, a conviction based on an invalid plea that is successfully attacked through a PCR petition aimed at reducing a later enhanced sentence does not nonetheless remain valid. Cf. Vernlund v. State,
¶ 36. There is absolutely no legal basis or compelling rationale for the majority’s position that one could successfully challenge an enhanced sentence through a PCR petition claiming that a predicate conviction was invalid, and yet any and all consequences of the invalid conviction except for the immediate enhanced sentence — including an enhanced license suspension — would remain in effect. Certainly, if the successful collateral challenge to the predicate offense can negate the enhanced sentence, it can also negate the enhanced license suspension, which is often the most severe consequence imposed in DUI proceedings. See id. at 1219 (indicating that it would be manifestly unjust not to reduce license revocation upon dismissal of predicate offense that led to enhanced license revocation).
¶37. As indicated in the United States Supreme Court cases cited above, adverse collateral consequences of a civil nature, such
¶ 38. Yet another collateral consequence is that petitioner was required to pay a fine of $400 as a part of the consequences of his 2005 criminal conviction.
¶ 40. The majority attempts to avert this collateral consequence by holding that petitioner failed to raise it before the trial court. This lack-of-preservation rationale is unavailing here, however, because the State did not argue mootness and the trial court acted sua sponte in dismissing the case on summary judgment based on mootness. In short, petitioner had no opportunity to raise the issue that the majority faults him for not raising. Moreover, the record does not indicate whether the $400 fine was a voluntary part of a plea bargain, and, because mootness was not at issue at the time, there was no reason for petitioner to demonstrate that the matter was not moot.
¶41. For the above reasons, I do not believe either that this case was moot when the superior court ruled it was or that it is moot now. The majority responds in part that mootness is of petitioner’s own making because he never sought to expedite the PCR petition to avoid that consequence. In fact, as the majority acknowledges, petitioner acted in a timely fashion in filing the PCR, but his appointed counsel failed to seek expedited relief and we have no assurance such speedy action would have occurred. He should not be penalized by the inaction of others. More importantly, the controversy must remain live through its entire time in the courts. See LaFrance v. Envtl. Bd.,
¶ 42. This latter hurdle returns me to the second, but most important point of this dissent. The promise of Boskind was that
¶ 43. The majority’s answer to the Boskind commitment is that petitioner had other avenues to challenge the predicate conviction and that one case does not demonstrate that corrective action is necessary. The former response is beside the point. Any other available remedy had long since expired when the predicate conviction was used for enhancement. This, of course, was exactly the situation present in Boskind, where we made the commitment we are now dishonoring. If we thought that long-expired remedies eliminated the need for corrective action, we never would have made the commitment in the first instance.
¶ 44. I have an equally strong reaction to the majority’s second response. This is the first appeal of an attempt to use PCR to eliminate a predicate conviction since Boskind, and it never went beyond the pleading stage. There is no hint of unusual delay in the record. Nor is there any indication in the record of a “fortuitous discharge from an indeterminate probation,” ante, ¶ 18, as the majority suggests; rather petitioner was discharged from probation upon satisfactory completion of his sentence, as any other petitioner would be. We do not need a study of the incidence of predicate conviction challenges to see from this record that there is a problem and that the Boskind promise of an effective remedy is an illusion. If we do not take action on this record, we will never take action.
¶ 45. The most effective action to the clear problem is to overrule Boskind because it is based on the fiction that a PCR proceeding is a meaningful alternative to a challenge to the predicate conviction in an enhanced sentence proceeding. That fiction is a dangerous one that recognizes a right without a remedy. Although overruling Boskind would not apply to this
¶46. Our Constitution provides a right to a remedy “for all injuries or wrongs which one may receive in person.” Vt. Const, ch. I, art. 4. We have rarely found a violation of this Article because what it protects is so basic — recourse to the judicial process rather than any substantive right. See Gallipo v. City of Rutland,
¶ 47. I am authorized to state that Justice Johnson joins in this dissenting opinion.
Also plainly wrong, although tangential to the thrust of this dissent, is the majority’s ruling on petitioner’s ability to bring a PCR petition challenging the
This Court has stated that “[a]n exception to the mootness doctrine exists when negative collateral consequences are likely to result from the action being reviewed,” J.S.,
This information comes from the docket entries maintained by the Chittenden District Court as of November 15, 2008.
Petitioner paid the fine on May 18, 2006, the day of his release from probation, apparently because it was a condition of release and because nonpayment would have prevented his release. The law authorizes surcharges on fines, and the records of the Chittenden District Court indicate that petitioner has not paid all of the surcharges.
