delivered the judgment of the court, with opinion.
Chief Justice Fitzgerald and Justices Freeman, Thomas, Kilbride, Karmeier, and Burke concurred in the judgment and opinion.
OPINION
The issues in this appeal are whether this court should abandon the one-act, one-crime doctrine of People v. King,
BACKGROUND
In September 2003, defendant, Maurice A. Artis, entered a plea of guilty in the circuit court of Will County to two counts of aggravated criminal sexual assault, perpetrated during the course of residential burglary and home invasion (720 ILCS 5/12 — 14(a)(4) (West 2002)), and one count each of home invasion (720 ILCS 5/12— 11(a)(2) (West 2002)), residential burglary (720 ILCS 5/19 — 3(a) (West 2002)), and unlawful restraint (720 ILCS 5/10 — 3(a) (West 2002)).
The State’s factual basis for the guilty plea was that in the early morning hours of April 1, 2003, defendant broke into the home of A.W. When A.W. confronted defendant, he demanded that she give him $100, which she did. Stating that $100 was not enough, defendant forced A.W. into her bedroom, where he sexually assaulted her. He then tied her to a chair, but she was able to free her hands and call 9-1-1.
The trial court sentenced defendant to concurrent terms of 20 years’ imprisonment on the aggravated criminal sexual assault convictions, to be served consecutively to concurrent terms of 15 years for home invasion, 12 years for residential burglary, and an extended-term sentence of 6 years for unlawful restraint. Defendant filed postplea motions, which were denied. The appellate court affirmed defendant’s convictions for aggravated criminal sexual assault based on home invasion, and his convictions for residential burglary and unlawful restraint. The court vacated the convictions for aggravated criminal sexual assault based on residential burglary and for home invasion. The court also vacated the extended-term sentence for unlawful restraint and reduced the sentence to the maximum nonextended term of three years.
In the appellate court, defendant argued for the first time that the conviction for aggravated criminal sexual assault based on residential burglary should be vacated because it was based upon the same act of penetration as the sexual assault conviction based on home invasion. Defendant reasoned that the latter conviction was the more serious and, thus, under the one-act, one-crime doctrine, the conviction based upon residential burglary should be vacated. Defendant also argued that his conviction for home invasion should be vacated as a lesser-included offense of aggravated criminal sexual assault committed during the course of home invasion. The State conceded before the appellate court that one of the sexual assault convictions should be vacated based on one-act, one-crime principles; however, the State argued that the sexual assault conviction based upon residential burglary was the more serious conviction and that, in any case, the State should be allowed to elect which conviction should be vacated, based upon prosecutorial discretion.
The appellate court rejected the State’s argument as to the relative seriousness of the sexual assault convictions, noting that (1) home invasion is a Class X offense with a possible sentencing range of 6 to 30 years, whereas residential burglary is a Class 1 offense with a possible sentence of 4 to 15 years, and (2) the elements of the offense of home invasion, as compared with those of residential burglary, demonstrate that home invasion is a more serious offense than residential burglary. The court concluded, based upon existing case law, that the State lacked prosecutorial discretion to elect to vacate what the court viewed as the more serious charge.
ANALYSIS
I. Standard of Review
Where, as here, the issues raised are ones purely of law, our review is de novo. People v. Daniels,
II. One-Act, One-Crime Doctrine
The one-act, one-crime doctrine was articulated by this court in People v. King,
“Prejudice results to the defendant only in those instances where more than one offense is carved from the same physical act. Prejudice, with regard to multiple acts, exists only when the defendant is convicted of more than one offense, some of which are, by definition, lesser included offenses. Multiple convictions and concurrent sentences should be permitted in all other cases where a defendant has committed several acts, despite the interrelationship of those acts. ‘Act,’ when used in this sense, is intended to mean any overt or outward manifestation which will support a different offense. We hold, therefore, that when more than one offense arises from a series of incidental or closely related acts and the offenses are not, by definition, lesser included offenses, convictions with concurrent sentences can be entered.” King,66 Ill. 2d at 566 .
The State argues that this court should abolish the one-act, one-crime doctrine because the rationale for the doctrine no longer exists. That rationale, according to the State, is found in this court’s decision in People v. Schlenger,
Prior to Schlenger, this court had consistently held that a defendant was not prejudiced by multiple convictions and concurrent sentences for offenses committed during the same transaction. King,
The State also argues that (1) the doctrine is not constitutionally mandated; (2) it interferes with the trial court’s sentencing discretion; (3) applicable statutes authorize multiple concurrent convictions and sentences arising out of the same conduct when that conduct establishes more than one offense; (4) the doctrine produces confusing results and is not amenable to consistent application; and (5) it consumes resources that are better spent elsewhere in the criminal justice system.
Defendant, on the other hand, argues that the doctrine is sound and that the State has failed to show it should be abandoned under the principles of stare decisis. He further argues that the doctrine is rooted in principles of double jeopardy, is reasonable and workable in practice, and protects the substantial rights of defendants.
Initially, we address defendant’s argument that the State has forfeited its contention that the one-act, one-crime doctrine should be abandoned, by conceding in the appellate court that one of defendant’s convictions for aggravated criminal sexual assault must be vacated under one-act, one-crime principles. In the alternative, defendant argues that the State should be estopped from urging the abandonment of the King rule because of its tacit agreement in the appellate court that King is still good law.
The State argues that, as the appellee in the appellate court, it may make any argument supported by the record to sustain the trial court’s judgment. Since the trial court imposed sentence on each of defendant’s convictions for aggravated criminal sexual assault, according to the State, its argument in favor of abrogating the King doctrine supports that judgment.
We reject defendant’s forfeiture and estoppel arguments. It is well settled that where the appellate court reverses the judgment of the trial court, and the appellee in that court brings the case to this court as appellant, that party may raise any issues properly presented by the record to sustain the judgment of the trial court, even if the issues were not raised before the appellate court. Gallagher v. Lenart,
Turning to the merits, we agree with the State that the King doctrine is not constitutionally mandated. Its genesis in Schlenger, as this court acknowledged in King, was to prevent prisoners from being prejudiced in their parole opportunities by multiple convictions and sentences carved from a single physical act. Citing Blockburger v. United States,
This court reaffirmed and clarified the King rule in People v. Rodriguez,
Although the genesis of the one-act, one-crime doctrine arose from concerns about adverse effects on parole opportunities, the fact that parole has been abolished does not inevitably lead to the conclusion that the doctrine should be abandoned. In the two decades since King was decided, this court has had occasion to address the impact of a one-act, one-crime violation on a defendant, quite apart from any effect on parole. In so doing, this court has found a one-act, one-crime violation to qualify for review under the second prong of the plain-error rule. Under that portion of the rule, a court may disregard forfeiture where a clear or obvious error occurs and that error is so serious that it affected the fairness of the defendant’s trial and challenged the integrity of the judicial process. See People v. Piatkowski,
In People v. Davis,
“Despite our conclusion that defendant has waived the improper-conviction issue, in the exercise of our supervisory authority, we vacate defendant’s conviction on the lesser offense of possession. We do so out of an awareness that the effects of the improper conviction are not confined to this trial and sentence. Defendant may be subject to future prejudice as a result of the improper convictions. In the unfortunate event of a future encounter with the criminal justice system, the improper conviction could likely affect decisions with respect to the setting of bond and sentencing, as well as parole opportunities. This is so regardless of whether an improper sentence has also been imposed. Significantly, the improper conviction appears on defendant’s presentence investigation report as well as on the court’s record sheet.
Because of the prejudicial effect on defendant, we vacate the erroneous conviction and sentence of unlawful possession of cannabis. Further, as we are unable to discern what portion of defendant’s sentence impermissibly pertains to the lesser offense, we remand this cause to the trial court for resentencing.” Davis,156 Ill. 2d at 160 .
Though Davis involved convictions for a greater- and a lesser-included offense, the same rationale has been applied where a defendant was convicted of two non-lesser-included offenses that were based upon a single physical act. For example, in Harvey, defendant Barefield was charged with four counts of unlawful possession of four stolen motor vehicles and one count of aggravated possession of the same four stolen vehicles. Barefield was convicted of all five counts and received concurrent sentences on each conviction. On appeal, Barefield argued, inter alia, that his four convictions for simple possession of the motor vehicles should be vacated because those offenses were based on the same physical act that formed the basis for the aggravated possession conviction. The appellate court found that Barefield had forfeited the issue and that, in any event, there was no one-act, one-crime violation, noting that the two statutes at issue specifically stated that a conviction under either statute would not be deemed to constitute a lesser-included offense of the other. Harvey,
In addressing Barefield’s one-act, one-crime argument, this court agreed with the appellate court that Barefield had forfeited the issue because he had raised it for the first time on appeal. Nonetheless, the court observed that plain errors affecting substantial rights may be reviewed on appeal, despite forfeiture. The court further noted that “an alleged one-act, one-crime violation and the potential for a surplus conviction and sentence affects the integrity of the judicial process, thus satisfying the second prong of the plain error rule.” Harvey,
This court has also applied the King doctrine in a juvenile case. In In re W.C.,
In light of this court’s treatment of one-act, one-crime violations as adversely affecting the integrity of the judicial process under the second prong of the plain-error rule, we decline to abandon the King doctrine. Accordingly, we find it unnecessary to address the State’s other arguments for the rule’s abrogation.
III. Prosecutorial Discretion
The State argues that if this court determines not to abandon the one-act, one-crime doctrine, the State should be permitted to exercise prosecutorial discretion to elect which of defendant’s aggravated criminal sexual assault convictions should survive. The State notes that the appellate court has, in some cases, allowed the State the discretion to choose the surviving conviction where the multiple offenses have the same legislative classification. The State urges this court to adopt this rule, describing it as a corollary of (1) prosecutorial discretion to nol-pros a charge and (2) the discretion granted the State to frame the number of charges for one-act, one-crime purposes. The State wishes to retain defendant’s conviction for aggravated criminal sexual assault based on residential burglary and have his sexual assault conviction based upon home invasion vacated, along with the lesser-included offense of residential burglary.
Defendant, on the other hand, argues that the State’s request to exercise its prosecutorial discretion to vacate the more serious offense is contrary to established law. Rather, he argues, the State’s discretion should be limited to those situations in which it is not possible to determine which offense is the most serious. Defendant argues that the appellate court correctly looked to the aggravating factors of home invasion and residential burglary for the purpose of determining which of the aggravated criminal sexual assault offenses is the most serious.
A nolle prosequi is the formal entry of record of a prosecuting attorney of his or her unwillingness to prosecute a case. People v. Norris,
This court has “always held” that under the one-act, one-crime doctrine, sentence should be imposed on the more serious offense and the less serious offense should be vacated. People v. Lee,
In determining which offense is the more serious, a reviewing court compares the relative punishments prescribed by the legislature for each offense. See People v. Duszkewycz,
The appellate court in the instant case used the aggravating factors of residential burglary and home invasion to determine which of defendant’s aggravated criminal sexual assault convictions would survive, concluding that the aggravating factor of home invasion involved a more culpable mental state than residential burglary.
We conclude that we should continue to adhere to Garcia and hold that where there are multiple convictions for aggravated criminal sexual assault based upon the same physical act, none of the offenses are more serious than any other. As the Garcia court stated, it is not possible to tell which is the more serious offense because none of the offenses involve a more culpable or less culpable state. In that event, rather than remanding to the trial court to determine which conviction must be vacated, the State would like to make that decision.
In the appellate court, the State relied on four appellate court cases to support its argument that it should be allowed to use its prosecutorial discretion in cases where multiple offenses have the same legislative classification. In People v. Schultz,
In People v. Rayford,
People v. Eubanks,
The McColler court’s reading of Rodriguez was mistaken. In Rodriguez, the defendant was charged with eight counts of aggravated criminal sexual assault, one count of home invasion, and two counts of intimidation. Some of the sexual assault counts were based on the defendant’s displaying or threatening to use a dangerous weapon and others were based on the defendant’s committing the offense during a home invasion. The jury returned three general verdicts of guilty, one for each offense. The appellate court affirmed the defendant’s convictions for aggravated criminal sexual assault and intimidation, but vacated the home invasion conviction as a lesser-included offense of aggravated criminal sexual assault. Rodriguez,
It is apparent from a reading of Rodriguez that it was not this court’s intent to state or imply that the severity of convictions for aggravated criminal sexual assault for one-act, one-crime purposes may be determined by looking at their aggravating factors. The reference to the aggravating factors was made in the context of addressing the appellate court’s belief that the defendant must have been convicted only of aggravated criminal sexual assault based on home invasion. Further, we note that this court’s decision in Garcia was filed more than a year after Rodriguez was decided.
The State also relies on Holman, where the defendant was convicted of four counts of intentional murder and three counts of felony murder, all involving one victim. On appeal to this court, the parties agreed that three of the four convictions for intentional murder must be vacated, as well as two of the felony murder convictions based on burglary. The defendant argued that the remaining felony murder conviction based on armed robbery should be vacated and the remaining intentional murder conviction retained. The State disagreed, arguing that the felony murder conviction should stand because the aggravating factor on which the State relied in seeking the death penalty was that the murder took place in the course of an armed robbery. This court acknowledged that the cause would have to be remanded for a new sentencing hearing and that because any of the murder convictions might support a death sentence under the facts of the case, the State had the right to elect which of the convictions should be retained. Holman,
The appellate court in the instant case distinguished the above cases, noting that Holman involved a remand for a new sentencing hearing and this court wanted the State to have the ability to elect which convictions should be retained. The court also noted that there was no discussion in Eubanks as to whether the vacated conviction involved the more serious charge and the McColler court concluded that it was in fact vacating the conviction on the less serious offense. Instead, the appellate court noted, in the instant case, the State wanted to vacate the more serious conviction. The court concluded that under the relevant case law, the State lacked discretion to do so.
The State argues that the appellate court erred in distinguishing this court’s decision in Holman. However, Holman does not support the State’s position. All four of the defendant’s murder convictions in that case were equally serious in that they each would support a sentence of death. Because of this court’s disposition of other issues in the case, it was necessary to remand to the trial court for a new sentencing hearing. Thus, this court determined that the State should have the right on remand to elect which of the murder convictions should be retained. Holman,
Holman does not stand for the proposition that the State should be allowed to exercise its prosecutorial discretion whenever a one-act, one-crime violation occurs and it cannot be determined which of the offenses is the more serious. Rather, the Holman court’s decision to allow the State to decide on remand which conviction should be retained is consistent with the notion that the power of the prosecutor to nol-pros a charge extends throughout the trial proceedings up until the time sentence is imposed. The new sentencing hearing would be part of those proceedings.
The State argues that it would be unfair to it to allow defendant to “circumvent the People’s discretion not to proceed on counts in the trial court because there, defendant did not object to judgment being entered on those crimes.” However, defendant did not circumvent the State’s discretion; rather, the State chose not to exercise its discretion in the trial court. The record of defendant’s guilty plea proceeding shows that the prosecutor acknowledged that both counts of aggravated criminal sexual assault were based on a single physical act and that sentence should be imposed on only one count. In fact, prior to allowing his client to plead guilty, defendant’s trial counsel sought and received the prosecutor’s concession that, although defendant would plead guilty to both counts, sentence should be imposed on only one of the sexual assault convictions. Instead, at the sentencing hearing, the prosecutor requested that concurrent sentences be imposed on both counts. The fact that defense counsel failed to bring the matter to the trial court’s attention at the sentencing hearing did not prevent the State from using its power of nolle prosequi in the trial court.
We conclude that the better course is to continue to adhere to the principle that when it cannot be determined which of two or more convictions based on a single physical act is the more serious offense, the cause will be remanded to the trial court for that determination.
IV Supervisory Authority
In the alternative, the State requests that this court use its supervisory authority to reinstate defendant’s conviction for aggravated criminal sexual assault based on residential burglary and remand for resentencing on both sexual assault convictions because the two sexual assaults were based upon different acts. The State admits that it forfeited this argument because it conceded in the appellate court and in its petition for leave to appeal to this court that one of defendant’s convictions for aggravated criminal sexual assault should be vacated under one-act, one-crime principles. The State argues, however, that this court’s supervisory authority may override its procedural default.
The State has indeed forfeited this argument. In the appellate court, the State conceded that, under the one-act, one-crime doctrine, one of defendant’s sexual assault convictions must be vacated. Further, in its petition for leave to appeal to this court, the State did not argue that the convictions were based upon different acts. Its arguments were that the appellate court erred in not allowing the State to exercise its prosecutorial discretion to choose the surviving sexual assault conviction and that this court should abandon the one-act, one-crime rule. We note that the rules of forfeiture in criminal proceedings are applicable to the State as well as to the defendant. People v. Williams,
In support of its argument for the exercise of this court’s supervisory authority, the State cites People v. Normand,
Here, the State had the opportunity to argue to the appellate court that there was no one-act, one-crime violation and that defendant was properly convicted of both sexual assault offenses. Instead, the State chose to concede that one of defendant’s convictions must be vacated under one-act, one-crime principles. Further, the State failed to raise the issue in its petition for leave to appeal. We find no basis for ignoring the State’s forfeiture or for exercising our supervisory authority under these circumstances.
CONCLUSION
We decline the State’s request to abandon the one-act, one-crime doctrine. We hold that the appellate court erred in finding defendant’s aggravated criminal sexual assault conviction based on home invasion to be the more serious offense and in vacating the sexual assault conviction based on residential burglary. We remand this cause to the trial court for a determination as to which sexual assault conviction will be retained and for resentencing in accordance with section 5 — 8—4 of the Corrections Code (730 ILCS 5/5 — 8—4 (West 2002)). We affirm the remainder of the appellate court’s judgment.
Appellate court judgment affirmed in part and reversed in part; cause remanded.
