THE PEOPLE OF THE STATE OF ILLINOIS, Appellant, v. CORNELIUS SHINAUL, Appellee.
No. 120162
SUPREME COURT OF THE STATE OF ILLINOIS
February 17, 2017
2017 IL 120162
OPINION
¶ 1 Defendant Cornelius Shinaul, who was 17 years old at the time, was arrested on February 9, 2009, for various firearm possession offenses. On April 8, 2009, he was charged with nine felony counts—eight aggravated unlawful use of a weapon (AUUW) counts and one unlawful possession of a firearm count. Following a Rule 402 conference (
¶ 2 On October 28, 2013, defendant brought a petition for relief under
¶ 3 The circuit court held a hearing on both defendant‘s petition and the State‘s motion. At no time did defendant challenge whether the State could bring its motion in this proceeding. Rather, defendant argued that the nol-prossed charges were time-barred. Addressing the parties’ arguments, the circuit court agreed that Aguilar voided defendant‘s conviction and that defendant
¶ 4 The appellate court determined it lacked jurisdiction to consider the State‘s appeal. 2015 IL App (1st) 140477, ¶ 9. In dismissing the appeal, the appellate court rejected the State‘s argument that
¶ 5 The State filed a petition for rehearing, arguing that even if the appellate court lacked jurisdiction under Rule 604(a)(1), it had jurisdiction pursuant to
ANALYSIS
¶ 7 The threshold question to be resolved in this case is whether the appellate court erred in dismissing the State‘s appeal for lack of jurisdiction. For the same reasons determined by the appellate court, defendant urges affirmance of the appellate court‘s dismissal on the basis that the circuit court‘s order was nonappealable. The State first argues that the order from which it is appealing is a final and appealable judgment as a matter of
¶ 8 Whether the appellate court has jurisdiction to consider an appeal presents a question of law, which we review de novo. People v. Salem, 2016 IL 118693, ¶ 11. A civil remedy that extends to criminal cases,
¶ 9 It is undisputed that defendant‘s section 2-1401 petition correctly asserted that his conviction as part of the negotiated plea should be vacated in light of this court‘s decision in People v. Aguilar, 2013 IL 112116. Further, the State properly filed its motion to reinstate the prior nol-prossed charges by proceeding under this court‘s alternative method of reinstating once nol-prossed charges.2 See People v. Hughes, 2012 IL 112817, ¶¶ 24-25 (identifying two mechanisms by which the State can reinstate once nol-prossed charges: the State may file a new information or indictment, or the State can alternatively move to vacate the nolle prosequi and reinstate the original charges). The question, then, is whether the circuit court‘s denial of the State‘s motion was a final and appealable order.
¶ 10
¶ 12 Generally, if an order merely strikes a complaint or a count of a complaint but grants leave to amend, or dismisses less than all the parties or issues, it is not an appealable final order. Richter v. Prairie Farms Dairy, Inc., 2016 IL 119518, ¶ 25; Doner v. Phoenix Joint Stock Land Bank of Kansas City, 381 Ill. 106, 110 (1942). That is not the case here. To the contrary, there is no dispute that the circuit court‘s order leaves no cause pending or undecided, nor does the order merely strike the State‘s motion but grant leave to amend, nor does the order dismiss less than all the parties or issues. Rather, the order granted defendant‘s motion to vacate his conviction and denied the motion to reinstate the nol-prossed charges on the merits. Once the circuit judge resolved all the pending issues in its written order, the matter terminated—on the merits—between the parties, thereby allowing the State to seek review, as of right, of the circuit court‘s ruling.
¶ 13 Because this court has determined that the appellate court had jurisdiction under
¶ 14 In this case, defendant attacked his conviction under the plea agreement because the offense to which he pled
¶ 15 This court has held that absent “any applicable constitutional or statutory limitations which a defendant may raise,” the State may request the court to reinstate once nol-prossed charges. Hughes, 2012 IL 112817, ¶ 25. Here, defendant repeats his circuit court argument that even if the plea agreement is no longer enforceable, the criminal statute of limitations (
¶ 16 Although the criminal statute of limitations is subject to tolling (see People v. Coleman, 206 Ill. 2d 261, 290 (2002) (fraudulent concealment may toll the statute of limitations if certain elements are met)), the State cites no authority, and we find none, for the proposition that the
¶ 17 The criminal statute of limitations serves two primary purposes: to avoid the use of stale evidence and to provide an incentive for swift governmental action in criminal cases. United States v. Ewell, 383 U.S. 116, 122 (1966); People v. Strait, 72 Ill. 2d 503, 506 (1978). Limitations are “designed to protect individuals from having to defend themselves against charges when the basic facts may have become obscured by the passage of time and to minimize the danger of official punishment because of acts in the far-distant past.” Toussie v. United States, 397 U.S. 112, 114-15 (1970). Such statutes “represent legislative assessments of relative interests of the State and the defendant in administering and receiving justice.” United States v. Marion, 404 U.S. 307, 322 (1971). Since protection of the defendant is a primary purpose of the statute of limitations in criminal cases, the statute must be liberally construed to protect the interests of the defendant. People v. Ross, 325 Ill. 417, 421 (1927). Absent express language in the statute providing an exception, we will not depart from the plain language and read into the statute exceptions, limitations, or conditions that the legislature did not express. Evanston Insurance Co. v. Riseborough, 2014 IL 114271, ¶ 15. As stated, there is no provision in the Code that permits the tolling of the statute of limitations in the circumstances before this court. While the statute of limitations may benefit some wrongdoers (Ross, 325 Ill. at 421-22), we decline to create a prophylactic rule or read into the statute of limitations a nonexistent exception in order to benefit the State. To do so would be precisely contrary to the central purpose of the statute of limitations and inconsistent with this court‘s general principles of statutory interpretation.
¶ 18 The State, in effect, argues that denying reinstatement of the nol-prossed charges after the statute of limitations has expired could have a chilling effect on the plea bargaining process, in that the State may be fearful of nol-prossing charges in light of the possibility that the conviction under a statute later declared unconstitutional may be vacated. Notwithstanding that concern, we recognize that prosecutors in other jurisdictions have contracted with defendants to avoid the statute of limitations defense. See United States v. Levine, 658 F.2d 113, 120-21 (3d Cir. 1981) (citing cases for the proposition that a defendant can knowingly and intelligently waive the statute of limitations, thus sanctioning a later indictment that, absent such a waiver, would be untimely); United States v. Meeker, 701 F.2d 685, 688 (7th Cir. 1983) (“The purposes of a time bar are not offended by a knowing and voluntary waiver of the defense by the defendant.“); see also United States v. Podde, 105 F.3d 813, 821 (2d Cir. 1997). Without expressing a view on whether such waivers would be valid, we note that the State does not advance a waiver claim before this court. Accordingly, we find that the statute of limitations serves as an absolute bar to the State‘s motion to reinstate the charges it nol-prossed.
CONCLUSION
¶ 20 For the reasons given, we reverse the judgment of the appellate court and
Appellate court judgment reversed.
Circuit court judgment affirmed.
¶ 23 JUSTICE THEIS, dissenting:
¶ 24 I disagree with the majority‘s holding that the statute of limitations serves as an absolute bar to the State‘s motion to reinstate the charges it nol-prossed as part of a negotiated plea agreement. Today‘s holding allows defendants to circumvent negotiated plea agreements without any consequences to their voluntary choices and without ensuring the protection of the public. The result reached is not compelled by law and is contrary to the contract principles that guide our analysis. For these reasons, I respectfully dissent.
BACKGROUND
¶ 26 On April 8, 2009, defendant was charged with eight counts of aggravated unlawful use of a weapon (AUUW) and one count of unlawful possession of a firearm. Specifically, he was charged with: knowingly carrying a firearm on his person or alternatively possessing the firearm on a public street, when the firearm was uncased, loaded, and immediately accessible (counts I and V) (
¶ 27 In June 2009, pursuant to a fully negotiated plea agreement, defendant was convicted on count I of the information for AUUW (
¶ 28 In October 2013, after having completed his probation, defendant filed a petition for relief from judgment under section 2-1401, seeking to vacate his conviction and withdraw his guilty plea on the basis that the statute under which he was convicted was facially unconstitutional and void under this court‘s decision in People v. Aguilar, 2013 IL 112116.
¶ 29 At the hearing, in addressing whether the State could reinstate the nol-prossed charges, defendant argued, without articulating any basis or citing any authority, that the nol-prossed charges should be time-barred and were also unconstitutional under the second amendment. Without considering either of these arguments, the circuit court instead found that allowing the State to reinstate the nol-prossed charges would violate the one-act, one-crime doctrine. The appellate court dismissed the appeal, finding that it lacked appellate jurisdiction. Thus, at no point in the lower court proceedings has the issue of whether the statute of limitations bars the State‘s reinstatement of the nol-prossed charges ever been considered.
ANALYSIS
¶ 31 In considering the issue for the first time in this court, the majority holds that the statute of limitations prevents the State from prosecuting the charges it dismissed as part of a negotiated plea agreement. In support of its holding, it relies on the fact that the State cited no authority, and the court found none, that would permit the tolling of the statute of limitations under these facts. Supra ¶ 16.
¶ 32 I disagree with the analytical approach taken by the majority because it entirely fails to consider the effect of defendant‘s actions on the continued viability of the plea agreement. By skipping over an important step in the analysis, the majority arrives at an erroneous conclusion. The issue in this case is whether, after a defendant exercises his right to vacate his bargained-for conviction because the offense to which he pleaded was void from its inception, the State may then reinstate charges that were dismissed pursuant to that negotiated plea agreement. More specifically, we must determine whether the State‘s obligation to dismiss certain charges under the negotiated plea agreement was discharged when defendant prevailed in vacating his conviction.
¶ 33 The State argues that, under these circumstances, requiring it to keep its part of the bargain flies in the face of principles of contract law where defendant‘s actions essentially frustrated the purpose of the agreement, leading to an “unexpected windfall to defendant.” Accordingly, it maintains that once defendant‘s conviction was vacated and he no longer had a felony conviction on his record, the State was no longer bound to the plea agreement and was entitled to reinstate the other eight constitutionally valid charges it had originally brought.
¶ 34 Although this court has not had prior occasion to answer the question squarely presented in this appeal, we have consistently recognized that when interpreting negotiated plea agreements, we apply contract analysis. People v. Donelson, 2013 IL 113603; In re Derrico G., 2014 IL 114463. This court has discussed the fact that when a defendant enters a negotiated plea in exchange for specific benefits, both the State and the defendant must be bound by
¶ 35 We have not considered, however, what, if any, remedy applies under contract principles when, through no fault of either party, an unforeseeable intervening event destroys the basis of the contract and creates a situation where performance by one party no longer gives the other party what induced it to enter into the contract. Under a similar scenario, the Tenth Circuit in United States v. Bunner, 134 F.3d 1000 (10th Cir. 1998), applied the frustration of purpose doctrine.
¶ 36 The frustration of purpose doctrine provides as follows:
“Where, after a contract is made, a party‘s principal purpose is substantially frustrated without his fault by the occurrence of an event the non-occurrence of which was a basic assumption on which the contract was made, his remaining duties to render performance are discharged, unless the language or the circumstances indicate the contrary.” Restatement (Second) of Contracts § 265 (1981).
The doctrine requires that the frustrated purpose “be so completely the basis of the contract that, as both parties understand, without it the transaction would make little sense.” Restatement (Second) of Contracts § 265 cmt. a (1981). Additionally, the frustration “must be so severe that it is not fairly to be regarded as within the risks that [the party seeking rescission] assumed under the contract.” Id. Lastly, “the non-occurrence of the frustrating event must have been a basic assumption on which the contract was made.” Id.
¶ 37 Applying these principles here, a basic assumption underlying the plea agreement was that defendant would have a constitutionally valid felony conviction on his record to protect the public. Otherwise, the transaction would make no sense. Secondly, an intervening change in the law several years later, which rendered the conviction void, completely undermined the basis for the plea agreement and was a risk neither party could have foreseen. Any benefit the parties thought they were getting was illusory because the bargain was illegal. Indeed, the circuit court could not have entered judgment on the plea because it was an unenforceable plea agreement. Although defendant did not technically violate any explicit term of the plea agreement, by choosing to vacate his conviction, he in essence unilaterally modified the agreement and destroyed the basis of the State‘s bargain.
¶ 38 As the Bunner court explained, once the underlying purpose of the agreement was frustrated and the basis of the State‘s bargain destroyed, the State‘s remedy was to either (1) “perform according to the letter of the plea agreement” or (2) “seek discharge of its duties” and return the parties to the positions they occupied before defendant entered his negotiated guilty plea. Bunner, 134 F.3d at 1005. In this case, the State is seeking the latter
¶ 39 Under this construct, upon restoration of the status quo ante, the statute of limitations does not bar the State from prosecuting the charges that had been nol-prossed under the plea agreement. The majority‘s reliance on Hughes, 2012 IL 112817, to conclude otherwise is misplaced. Supra ¶ 9. In Hughes, the defendant was charged with numerous sexual offenses. Prior to trial, the circuit court granted the State leave to enter a nolle prosequi on several counts of the indictment. The State‘s decision to nolle those counts was not part of a plea bargain. Based on the remaining pending charges, the State instituted civil commitment proceedings, and after a trial, defendant was declared a sexually dangerous person. Upon a reversal on appeal, the State sought to proceed again with the criminal prosecution and entered into a plea agreement with defendant on one of the charges that the State had nol-prossed. Hughes, 2012 IL 112817, ¶¶ 5-7. We explained that when the State nol-prosses a charge, it leaves the matter “in the same condition as before the prosecution commenced” and, therefore, does not toll the statute of limitations. Id. ¶ 23. Thus, generally, based on Hughes, the State cannot refile or reinstate a nol-prossed charge after the statute of limitations has run where the defendant has asserted a challenge on that basis.
¶ 40 Nevertheless, as distinct from the State‘s unilateral nolle in Hughes, in this case, the State‘s obligation to nolle was a condition of a negotiated plea agreement, which was discharged. See McCutcheon, 68 Ill. 2d at 112 (recognizing the distinction between a dismissal that was conditioned on a plea agreement and a dismissal that is unconditional). When the State unilaterally dismisses a charge, it leaves the matter in the same position as before the prosecution commenced, where the statute of limitations was running. Here, when the State‘s obligation to dismiss under the plea agreement is discharged, the parties are restored to the position they held after the charges were filed but prior to the entry of the plea agreement. At that point in time, the statute of limitations had not expired. Consequently, defendant cannot now claim that the statute of limitations has run.
¶ 41 Restoring the parties to the same position they held after the charges were filed and before the plea agreement was entered does not frustrate the purpose of the limitations period under these circumstances. To hold otherwise would allow defendant to escape the consequences of a felony conviction and circumvent the underlying purpose of the bargain without allowing the State to rescind its part of the bargain. Rather, when defendant successfully challenged his conviction, the bargain became defective. The parties should be treated no differently than had defendant been allowed to withdraw his plea. In that case, we would have held defendant was on notice that if the plea was withdrawn or challenged on appeal, the State was entitled to reinstate the charges. See
CONCLUSION
¶ 44 I would hold that under contract principles the State was entitled to reinstate the eight charges that had been nol-prossed under the negotiated plea agreement after defendant prevailed on his petition to vacate his conviction. Accordingly, I respectfully dissent.
