Appellant contends that he had a right to be present and allocute when he was resentenced pursuant to a remand from this court to correct an illegal sentence. We hold that if, at a resentencing to correct an illegal sentence, the trial judge has discretion as to the convictions to be vacated or the sentence to be imposed, the defendant has a due process right to be present and allocute. This is so regardless of whether the resentencing is pursuant to a remand order of this court or a motion filed under Rule 35 of the Superior Court Rules of Criminal Procedure. Because the trial court in this case did not, as a matter of law, have discretion to resentence appellant other than as it did, appellant’s absence from the resentencing hearing was not a violation of due process. Therefore, we affirm.
I. Background
Appellant was convicted in 1991 of first-degree felony murder, two counts of armed robbery, and possession of a firearm during a crime of violence. The evidence at trial established that while appellant committed an armed robbery of one person, one of his two companions shot and killed a second person after attempting to rob her at gunpoint, and his other cohort robbed and assaulted yet a third victim with another gun. Appellant was sentenced to three concurrent terms of five to fifteen years, one for each of the two armed robbery convictions and one for possession of a firearm during a crime of violence or dangerous offense. Those sentences were to run consecutively to a twenty-year to life term for felony murder. On direct appeal, this court affirmed appellant’s convictions in an unpublished opinion. See Mooney v. United States, No. 92-CF-32 (D.C. Oct. 6, 1993).
On February 13, 2001, appellant filed a pro se “Motion to Correct or Modify Sentence Pursuant to Title 23 D.C.Code Section 110 (1981),” in which he argued that his consecutive sentences for felony murder and armed robbery violated the Double Jeopardy Clause of the Fifth Amendment. The trial court treated this motion as a motion to correct an illegal sentence pursuant to Superior Court Criminal Rule 35(a), and concluded that the sentence did not violate the Fifth Amendment.
We did not immediately respond to the government’s motion to remand. Instead, we appointed counsel for appellant and directed that the parties file supplemental briefing on the issue of merger of the two armed robbery convictions and the felony murder conviction. On September 29, 2003, we issued a Memorandum Opinion and Judgment remanding the case for re-sentencing.
Mooney v. United States,
No. 01-CO-87,
Prior to the resentencing hearing, appellant’s counsel filed an unopposed motion to return appellant to the District of Columbia 1 for resentencing, claiming that because the case had been remanded, appellant was “before the Court for resen-tencing as though he had not previously been sentenced in this case; therefore, pursuant to D.C.Crim. R. 32, 2 his presence is required for a sentencing hearing.” The motion also requested a status hearing to “establish the procedure for re-sentencing” and noted that counsel had “discussed this motion with Asst. U.S. Attorney Robert Okun, who does not oppose it.” Subsequently, on February 3, 2004, the trial court issued an order for appellant to be returned for a status hearing on April 1, 2004.
Despite the trial court’s order, appellant was not brought to the courthouse for the status hearing. Discussing the nature of the resentencing hearing that was to take place, appellant’s counsel asserted that it was “essentially a re-sentencing de novo,” and that therefore appellant should be present. The government argued that it was not a new resentencing, but “merely a correction of sentence,” and, therefore, pursuant to Superior Court Criminal Rule 43(c)
3
, the defendant did not have a right
After considering the parties’ written submissions, the trial court ruled that because it chose to vacate appellant’s two armed robbery convictions, and preserve the felony murder with the mandatory minimum sentence of twenty years to life, effectively reducing the overall sentence by five years, appellant did not have a right to be present. The trial court supported this conclusion by reference to our opinion in
Wells v. United States,
II. Due Process Right to be Present at Resentencing and Rules 35 and 43
“[A] defendant is constitutionally ‘guaranteed the right to be present at any stage of the criminal proceeding that is critical to its outcome if his [or her] presence would contribute to the fairness of the procedure.’ ”
Kimes v. United States,
Some of our cases have excused a defendant’s absence from a resentencing hearing relying primarily on the exception contained in Rule 43(c)(4) when the defendant is to be resentenced “for reduction or correction of sentence under Rule 35.” For example, in
Wells,
a case on which the trial court relied and which appellee cites on appeal, the defendant filed a Rule 35 motion to vacate his sentence, and, specifically, to set aside his arson conviction, which he argued merged with his conviction for felony murder.
See
Our cases make clear, on the other hand, that a defendant’s presence is constitutionally required where the trial court is vested with discretion in resentencing. Although these cases do not arise in a Rule 35 context, they substantively address the same question as the cases just discussed: whether a defendant must be allowed to be present and allocute at a resentencing. In
Warrick v. United States,
Following the remand, the trial court, without a hearing, entered a judgment of conviction of burglary with intent to steal and vacated the conviction of burglary with intent to commit assault.
See Warrick v. United States,
The court first reviewed the history and importance of the defendant’s right to be present and allocute, stating:
The law is clear that a defendant must be present in person at the time sentence is originally imposed and that he must be afforded the right of allocution. ... A criminal defendant’s right to be present at the time sentence is imposed, and to be heard as to what the punishment shall be, is a fundamental one which implicates the due process clause. Indeed, it is a “leading principle that pervades the entire law of criminal procedure ... that after indictment [is] found, nothing shall be done in the absence of the prisoner.” Although a defendant may, in extreme circumstances, forfeit his right to be present by engaging in disruptive behavior, the “dictates of humanity” require that he be accorded the opportunity to be present in the first instance.
The requirement that the defendant be present when sentence is passed has deep common law origins. It not only serves the defendant’s interest by facilitating allocution, but the state has an independent interest in requiring a public sentence in order to assure the appearance of justice and to provide a ceremonial ritual at which society pronounces its judgment.
The positive law of this jurisdiction also provides unambiguous protection for these constitutionally based rights. Super. Ct.Crim. R. 43(a) requires a defendant’s presence at the imposition of sentence. Once he is present, D.C.Code § 23-103 (1981) and Super. CtCrim. R. 32(c)(1) both provide that the defendant has a right to allocute in an effort to mitigate his punishment.
Similarly, in
Kerns v. United States,
Beyond the procedural route that had brought the matter to the trial court for resentencing, the Kerns court focused on the discretion afforded to the trial court in resentencing the defendant, stating that “[ujnlike Wells, this case presents a situation in which the trial judge on remand has discretion in resentencing appellant once the illegality is removed. Even though the judge on remand is likely to impose a sentence similar to that imposed initially by the trial judge, it is not inevitable....” Id. at 1337-38 (footnote omitted). The court continued, “[ajppellant may be able to persuade the remand judge that [the original sentencing judge’s] sentencing scheme indicated that he intended the maximum sentence to be no more than three times the minimum sentence imposed, or even that a different sentence with lesser penalties was appropriate. In any event, appellant must be afforded the opportunity to make his arguments before he is sentenced.” Id. at 1338.
We engaged in the same reasoning in
Frye,
where the defendant was convicted of attempted aggravated assault while armed and assault with a dangerous weapon.
See
the court retained discretion to consider whether the length of incarceration previously imposed remained appropriate in light of the lengthy term of supervised release required. At a new sentencing hearing, appellant could have argued that a decrease in the time of incarceration was warranted because of the lengthy term of supervised release thathad to follow. Thus, we do not agree that the circumstances left the trial court without discretion or appellant without any meaningful way to contribute to the fairness of the procedure.
Id. at 1103. Therefore, we concluded, the defendant was entitled to be present and to allocute. 9
The federal circuits also recognize that where the trial court is vested with discretion on remand for resentencing, the defendant has a constitutional right to al-locute, but that where there is no such discretion, the defendant’s presence is not required.
See United States v. Faulks,
Although, in this case, the trial court treated appellant’s § 23-110 motion as a Rule 35 motion to correct sentence,
10
that characterization does not end the inquiry on the question of the defendant’s right to be present and allocute at resentencing. Following Supreme Court precedent, we have stated that “a defendant is constitutionally ‘guaranteed the right to be present at any stage of the criminal proceeding that is critical to its outcome if his [or her] presence would contribute to the fairness of the procedure,’ ”
Kimes,
III. The Resentencing in this Case
In this case, appellant’s arguments, as well as the trial court’s consideration of appellant’s request to be present at resentencing, are based on an understandable misapprehension of the discretion with which the trial court was vested by our remand order. Our opinion remanding the case stated that the trial court should vacate
either
the two armed robbery convictions
11
or
the felony murder conviction and “resentence Mr. Mooney accordingly.”
12
We did not, as we sometimes do, direct the trial court as to which conviction(s) to vacate; nor did we instruct the trial court, as we sometimes do, to resentence “in accordance with its original sentencing plan.”
See Garris v. United States,
Appellant argued to the trial court that because it had “broad discretion” to resen-tence appellant
de novo,
he had a right to be present and allocute. The government countered that because appellant’s § 23-110 motion was functionally equivalent to a Rule 35 motion, his presence was not required, pursuant to Rule 43(c)(4). The government did not contest that the court had a choice as between the armed robberies and the felony murder convictions, but argued that because the remand order instructed that resentencing be according to the original sentencing plan, the trial court’s discretion was limited to imposition of the minimum sentence of twenty years to life mandated by statute. The government’s latter argument was based on a mistaken premise, as the remand order was not so limited. As a result, the trial
The trial court recognized that the difference in the consequences flowing from the choice as between the armed robbery convictions or the felony murder conviction was great. 13 If the trial court vacated appellant’s two armed robbery convictions, as it did, appellant would be left with, at least, a mandatory minimum sentence of twenty years to life on the felony murder conviction, reducing his original sentence by five years. On the other hand, if the trial court were to vacate the felony murder conviction, as the remand order purported to permit it to do, appellant could have been sentenced, at the most lenient end of the spectrum, to two concurrent five to fifteen year terms on the armed robbery convictions, to run concurrently with the five to fifteen year sentence for possession of a firearm during a crime of violence or dangerous offense, which would have reduced appellant’s sentence by twenty years and made him eligible for immediate release. Even if the trial court were unlikely to so drastically reduce appellant’s sentence, the trial court could have sentenced appellant to three consecutive five to fifteen year terms for the two armed robberies and the one firearm possession count, in which case his minimum sentence would have been reduced by ten years. If those options had been available to the court, appellant would have had a right to be present and allocute.
But none of these hypothetical sentences was legally available. The purpose of resentencing in a case like this is to correct the illegality
14
of a sentence that
That is what the trial judge did in this case, vacate the lesser-included offense of armed robbery in favor of the conviction for felony murder. Moreover, the felony-murder offense of which appellant was convicted carries a mandatory minimum sentence of twenty years, see D.C.Code §§ 22-2401, -2404 (1991 Supp.), which is the sentence that the trial judge imposed. As the trial judge had no discretion to sentence appellant other than as he did, due process did not require appellant’s presence or safeguard his right to allocute. For this reason, the judgment of conviction on remand is
Affirmed.
Notes
. At the time, appellant was incarcerated in Jonesville, Virginia.
. Superior Court Criminal Rule 32(c) provides:
(c) Sentencing. (1) Allocution. Before pronouncing sentence, the Court shall inquire on the record whether the defendant and defendant’s counsel have had the opportunity to read and discuss any presentence investigation report made available pursuant to subdivision (b)(3)(A) or summary thereof made available pursuant to subdivision (b)(3)(B). The Court shall afford the defendant or the defendant’s counsel an opportunity to comment and, at the discretion of the Court, to introduce testimony or other information relating to any alleged factual inaccuracy contained in the presen-tence investigation report. The Court shall also afford counsel an opportunity to speak on behalf of the defendant and shall address the defendant personally and ask if the defendant wishes to make a statement in the defendant’s own behalf and present any information in mitigation of punishment. The prosecutor shall have an equivalent opportunity to address the Court and present information pertinent to sentencing.
.Superior Court Criminal Rule 43 reads in full:
Rule 43. Presence of the defendant.
(a) Presence required. The defendant shall be present at the arraignment, at the time of the plea, at every stage of the trial including the impaneling of the jury and the return of the verdict, and at the imposition of sentence, except as otherwise provided by this Rule.
(b) Continued presence not required. The further progress of the trial to and including the return of the verdict shall not be prevented and the defendant shall be considered to have waived the right to be present whenever a defendant, initially present,
(1) Is voluntarily absent after the trial has commenced (whether or not the defendant has been informed by the Court of the obligation to remain during the trial), or
(2)After being warned by the Court that disruptive conduct will cause the removal of the defendant from the courtroom, persists in conduct which is such as to justify exclusion from the courtroom.
(c) Presence not required. A defendant need not be present:
(1) When represented by counsel and the defendant is a corporation or other person not an individual;
(2) When the offense is punishable by fine or by imprisonment for not more than one year or both, and the Court, with the written consent of the defendant, permits arraignment, plea, trial, and imposition of sentence in the defendant’s absence;
(3) When the proceeding involves only a conference or hearing upon a question of law; or
(4) When the proceeding involves a reduction or correction of sentence under Rule 35.
. Superior Court Criminal Rule 35(a) & (b) provide:
Rule 35. Correction or reduction of sentence or collateral; setting aside forfeiture.
(a) Correction of sentence. The Court may correct an illegal sentence at any time and may correct a sentence imposed in an illegal manner within the time provided herein for the reduction of sentence.
(b) Reduction of sentence. A motion to reduce a sentence may be made not later than 120 days after the sentence is imposed or probation is revoked, or not later than 120 days after receipt by the Court of a mandate issued upon affirmance of the judgment or dismissal of the appeal, or not later than 120 days after entry of any order or judgment of the Supreme Court denying review of, or having the effect of upholding, a judgment of conviction or probation revocation. The Court shall determine the motion within a reasonable time. After notice to the parties and an opportunity to be heard, the Court may reduce a sentence without motion, not later than 120 days after the sentence is imposed or probation is revoked, or not later than 120 days after receipt by the Court of a mandate issued upon affirmance of the judgment or dismissal of the appeal, or not later than 120 days after entry of any order or judgment of the Supreme Court, denying review of, or having the effect of upholding, a judgment of conviction or probation revocation. Changing a sentence from a sentence of incarceration to a grant of probation shall constitute a permissible reduction of sentence under this paragraph.
. We note that our Rule 35 reflects federal Rule 35 as it existed prior to 1987.
See
5
. In
United States v. Connolly,
the Ninth Circuit considered a mandatory increase in a defendant’s sentence — the addition of a three-year special parole term pursuant to controlling statutes — which had been ordered by the trial court without giving the defendant an opportunity to allocute, although he was present and represented by counsel at the proceedings.
See
In
McClintic,
the defendant filed a motion attacking his sentence and for correction of sentence under Rule 35.
See
In
McCray,
the defendant was convicted of escape and sentenced by the federal district court to a term of three years with parole eligibility to be determined under the prevailing statute and with the sentence to run consecutively to a sentence defendant was then serving for a violation of Colorado law.
See
The defendant appealed the second order, claiming that the trial judge had impermissi-bly increased the term of his escape sentence out of his presence.
See id.
The government countered that it was the first order that was void because it was entered without the pres
. Bennett had also been convicted of first-degree (premeditated) murder.
See Bennett,
. We noted that to point out this difference at the original sentencing hearing would have been counterproductive for the defendant as he was then being sentenced for burglary based on intent to assault.
. The court affirmed, however, concluding that the error was harmless because
(1) the sentence correction affects only a mandatory release provision; (2) the trial court was aware of the requirement to impose a release term at the time of sentencing, being mistaken only as to its term; and (3) in denying the motion to reduce, the trial court made clear that the original sentence was lenient — leaving no reasonable possibility that the court would have reduced the term of incarceration further.
Frye,
. This was completely within the trial court’s authority to do.
See, e.g., Brown v. United States,
. We note that the conclusion that both armed robberies merged with the felony murder is driven by the wording of the indictment in this case and not required by double jeopardy concerns. Where two different persons are robbed, as here, even though the underlying felony conviction (armed robbery) merges into the felony murder conviction related to the
same
victim,
see Green v. United States,
. The remand order stated:
[B]ecause the indictment in the instant case named both robberies as predicate offenses to the felony murder charge, the government concedes that appellant’s two robbery convictions merge with the felony murder conviction. For this reason, we remand the matter to the trial court to vacate either the two armed robbery convictions or the felony murder conviction and resentence Mr. Mooney accordingly. Bonhart v. United States,691 A.2d 160 , 164 (D.C.1997); Price v. United States,531 A.2d 984 , 989 n. 7 (D.C.1987); Whalen v. United States,445 U.S. 684 ,100 S.Ct. 1432 ,63 L.Ed.2d 715 (1980).
Mooney v. United States,
No. 01-CO-87,
. The trial court noted that, unlike
Wells,
the remand order had given it "the option”— incorrectly, as we hold
infra
— "of vacating the felony murder conviction and resentencing the defendant on armed robbery convictions.” The trial court recognized that "[w]hile that procedure might ... require the presence of the defendant, the defendant's presence is not required if the armed robbery convictions are vacated,” citing this court's decisions in
Warrick v. United States,
In conclusion, the trial court again noted that
[i]t is arguable that a defendant needs to be present if the Court vacates the felony murder conviction and resentences the defendant on the armed robbery convictions .... The Court, however, need not reach the issue of whether the defendant would need to be present if the Court vacated the felony murder conviction. If the Court vacates the armed robbery convictions, the court need only leave the felony murder sentence intact.
. The "illegality” does not imply trial court error as we have established that the trial court should enter convictions on all guilty verdicts returned by the jury, subject to review by this court on appeal on "issues other than the validity of the sentence alone.”
Garris,
. The Double Jeopardy Clause also protects against successive prosecutions for the same offense, precludes the government from re-prosecuting after an acquittal, and safeguards a defendant’s legitimate expectation in the finality of the sentence imposed.
See Whalen,
. "If the premeditated murder conviction remains as the murder conviction, the felony murder convictions will be vacated but the underlying felonies will stand. If the felony murder conviction[] remains as the murder conviction, the underlying felony of that murder will be vacated...."
Green,
. In cases where a verdict of guilty on the greater offense necessarily implies a finding of guilt on the lesser-included offense, "[t]he rationale for this remedy is that ... the jury should have been charged to consider the lesser included offense only if it had already determined that the appellant was not guilty of the main offense.”
Franklin,
