STATE OF CONNECTICUT v. PEDRO L. MIRANDA
(SC 19228)
Supreme Court of Connecticut
August 18, 2015
Rogers, C. J., and Palmer, Zarella, Eveleigh, McDonald, Espinosa and Robinson, Js.
Argued February 10—officially released August 18, 2015
******************************************************
The ‘‘officially released’’ date that appears near the beginning of each opinion is the date the opinion will be published in the Connecticut Law Journal or the date it was released as a slip opinion. The operative date for the beginning of all time periods for filing postopinion motions and petitions for certification is the ‘‘officially released’’ date appearing in the opinion. In no event will any such motions be accepted before the ‘‘officially released’’ date.
All opinions are subject to modification and technical correction prior to official publication in the Connecticut Reports and Connecticut Appellate Reports. In the event of discrepancies between the electronic version of an opinion and the print version appearing in the Connecticut Law Journal and subsequently in the Connecticut Reports or Connecticut Appellate Reports, the latest print version is to be considered authoritative.
The syllabus and procedural history accompanying the opinion as it appears on the Commission on Official Legal Publications Electronic Bulletin Board Service and in the Connecticut Law Journal and bound volumes of official reports are copyrighted by the Secretary of the State, State of Connecticut, and may not be reproduced and distributed without the express written permission of the Commission on Official Legal Publications, Judicial Branch, State of Connecticut.
******************************************************
Procedural History
Substitute information charging the defendant with two counts of the crime of capital felony, and with one count each of the crimes of murder, felony murder and kidnapping in the first degree, brought to the Superior Court in the judicial district of Hartford and tried to the jury before Dewey, J.; verdict and judgment of guilty of one count each of capital felony, murder, felony murder and kidnapping in the first degree, from which the defendant appealed to the Appellate Court, Lavine, Beach and Borden, Js., which reversed in part the trial court’s judgment and remanded the case to that court with direction to vacate the defendant’s conviction of felony murder and murder, and the state, on the granting of certification, appealed to this court. Affirmed.
Alice Osedach, assistant public defender, for the appellee (defendant).
Opinion
ROBINSON, J. The sole issue in this certified appeal is whether the vacatur remedy prescribed in State v. Polanco, 308 Conn. 242, 61 A.3d 1084 (2013), applies to the double jeopardy violation1 caused by cumulative
The record reveals the following relevant facts and procedural history.3 In connection with the killing of a single victim, a jury found the defendant guilty of capital felony in violation of
The defendant appealed from the judgment of conviction to the Appellate Court, claiming, inter alia, that his cumulative convictions and sentences for capital felony, murder, and felony murder violated constitutional protections against double jeopardy because they arose from the killing of a single victim.6 In his brief to the Appellate Court, the defendant asserted that, in accordance with State v. Chicano, 216 Conn. 699, 584 A.2d 425 (1990), cert. denied, 501 U.S. 1254, 111 S. Ct. 2898, 115 L. Ed. 2d 1062 (1991), overruled in part by State v. Polanco, 308 Conn. 242, 261, 61 A.3d 1084 (2013), the appropriate remedy was to merge his murder and felony murder convictions into his controlling capital felony conviction, and to vacate his murder and felony murder sentences. In its brief, the state agreed with the defendant’s claim and his suggested remedy.
After briefing, but prior to the parties’ oral argument before the Appellate Court, this court issued its decision in Polanco, which expressly overruled Chicano in part and held that when a defendant is convicted of greater and lesser included offenses in violation of double jeopardy protections, the conviction for the lesser included offense must be vacated—not merged. State v. Polanco, supra, 308 Conn. 255. The Appellate Court subsequently ordered the parties to be prepared to discuss at oral argument the potential impact of Polanco on the defendant’s appeal. During oral argument before the Appellate Court, the parties agreed that, because murder is a lesser included offense of capital felony, the Polanco holding rendered it necessary to vacate the defendant’s murder conviction. The parties disagreed, however, about whether Polanco also affected the defendant’s felony murder conviction. The defendant contended that the vacatur remedy set forth in Polanco should logically extend to his felony murder conviction, whereas the state contended that the merger remedy set forth in Chicano remained viable because felony murder is not a lesser included offense of capital felony.
In a unanimous opinion, the Appellate Court first agreed with the parties’ position that Polanco required it to vacate the defendant’s murder conviction. State v. Miranda, supra, 145 Conn. App. 505–506. The Appellate Court then turned to the defendant’s felony murder conviction, and observed that this court had stated in Polanco that it was not aware of any reason why the vacatur remedy should not be applied ‘‘with equal force to other scenarios in which cumulative convictions violate the double jeopardy clause . . . .’’ (Internal quotation marks omitted.) Id., 506, quoting State v. Polanco, supra, 308 Conn. 249 n.3. The Appellate Court disagreed with the state’s proffered reason why the vacatur remedy should not extend to the defendant’s felony murder conviction—namely that, unlike his murder conviction, it was uncertain whether his felony murder conviction could be reinstated if the controlling capital felony conviction was ever overturned on a ground that solely undermined the controlling conviction. State v. Miranda, supra, 506–507. Citing State v. Polanco, supra, 506–507, the Appellate Court concluded that, ‘‘if substituting a conviction of a lesser included offense is proper [when] the record establishes that the jury necessarily found, beyond a reasonable doubt, all of the essential elements required to convict the defendant . . . then, a fortiori, it is proper to reinstate a vacated conviction when the jury explicitly found the defendant guilty of the vacated offense.’’ (Citation omitted; footnote omitted; internal quotation marks omitted.) State v. Miranda, supra, 506–507. Accordingly, the Appellate Court reversed in part the trial court’s judgment and remanded the case with direction to vacate the defen-dant’s convictions of murder and felony murder. Id., 520. This certified appeal followed. See footnote 2 of this opinion.
On appeal, the state claims that the Appellate Court improperly concluded that vacatur is the appropriate remedy for the defendant’s cumulative felony murder conviction that violated his double jeopardy protections.7 As an initial matter, the state acknowledges that, under Connecticut law, the imposition of cumulative punishments for the homicide offenses of capital felony and felony murder violates constitutional protections against double jeopardy if those offenses arise from the killing of a single victim. See, e.g., State v. John, 210 Conn. 652, 696–97, 557 A.2d 93, cert. denied, 493 U.S. 824, 110 S. Ct. 84, 107 L. Ed. 2d 50 (1989). Moreover, the state recognizes that, under the United States Supreme Court’s decisions in Ball v. United States, 470 U.S. 856, 105 S. Ct. 1668, 84 L. Ed. 2d 740 (1985), and Rutledge v. United States, 517 U.S. 292, 116 S. Ct. 1241, 134 L. Ed. 2d 419 (1996), a cumulative conviction can be a form of punishment in and of itself because it may lead a defendant to suffer adverse collateral consequences.8 With these concessions in mind, the state narrowly focuses its argument on the type of remedy that exists for the defendant’s cumulative felony murder conviction.
Specifically, the state argues that ‘‘this court should limit the reach of Polanco to only [double jeopardy] scenarios involving greater and lesser included offenses . . . .’’ The state contends, and the defendant agrees, that the present case does not involve greater and lesser included offenses because ‘‘capital felony and felony murder each require proof of elements that the other does not.’’9 Consequently, the state insists that Chicano still governs the defendant’s case and ‘‘the appropriate remedy remains merger, rather than vacatur . . . .’’ Further, the state argues that maintaining the merger approach set forth in Chicano would avoid a risk that the defendant might ‘‘escape
In response, the defendant argues that the Appellate Court properly concluded that the vacatur remedy set forth in Polanco extends to his cumulative felony murder conviction. Quoting State v. Polanco, supra, 308 Conn. 258, the defendant asserts that ‘‘the jurisprudential underpinnings to this court’s approval of the merger approach in Chicano have . . . been repudiated,’’ and that the merger approach ‘‘is now at odds with the remedy utilized almost uniformly by the Circuit Courts of Appeals.’’ (Internal quotation marks omitted.) The defendant further contends that the state’s concern of being unable to resurrect the felony murder conviction is baseless. Noting that, in Polanco, this court expressly approved of the practice of resurrecting a vacated conviction of a lesser included offense in the event that a conviction for a greater offense is overturned on nonoverlapping grounds, the defendant argues that ‘‘the vacatur remedy is no more final than the merger remedy.’’ (Internal quotation marks omitted.) The defendant asserts that there is no barrier to using this resurrection practice in other scenarios in which a controlling conviction is overturned for reasons that would not affect a conviction that previously had been vacated because of a double jeopardy violation. We agree with the defendant, and conclude that the Appellate Court properly determined that vacatur was the appropriate remedy for his cumulative felony murder conviction.
We begin by recognizing that, in Polanco, we invoked our supervisory powers to readopt vacatur as a remedy for a cumulative conviction that violated double jeopardy protections. State v. Polanco, supra, 308 Conn. 248–49, 255–56. We also provided a detailed history of this court’s case law on remedies for violations of the double jeopardy protection against unauthorized multiple punishments, as well as the parallel evolution of such jurisprudence in the United States Court of Appeals for the Second Circuit and in the United States Supreme Court. See id., 249–54. We noted that, ‘‘[f]or several years prior to Chicano, it was this court’s policy, when multiple punishments [were] imposed for the same offense . . . [to] set aside the judgment of conviction for one of the offenses, thereby
‘‘In Chicano, which involved a defendant’s cumulative convictions for felony murder and manslaughter in the first degree—a single crime for double jeopardy purposes—this court considered the state’s request . . . to abandon its established vacatur remedy in favor of the Second Circuit’s merger approach. . . . Relying exclusively on the reasoning [set forth in prevailing opinions from the Second Circuit at the time], this court ultimately was persuaded that the merger of convictions approach should be adopted. . . . Subsequently . . . this court . . . extended the merger remedy to cumulative convictions of greater and lesser included offenses.’’ (Citations omitted.) State v. Polanco, supra, 308 Conn. 252–53.
‘‘In Rutledge [v. United States, supra, 517 U.S. 292], the Supreme Court expressly found unpersuasive the policy rationale underlying the Second Circuit’s adoption of the merger of convictions approach . . . the very rationale on which this court had relied in Chicano. Following Rutledge, the Second Circuit repudiated the merger approach . . . .’’ (Citation omitted.) State v. Polanco, supra, 308 Conn. 258. Other jurisdictions adjusted where necessary, and ‘‘the remedy established in Chicano is now at odds with the remedy utilized almost uniformly by the Circuit Courts of Appeals.’’ Id. As a result of these contemporary developments, in Polanco, this court readopted the vacatur remedy and, thereby, returned to our pre-Chicano approach, consistent with that of the federal system. Id., 259–60.
Although the holding in Polanco was limited to cases involving greater and lesser included offenses—in light of the issue presented—this court remarked in dictum that it was ‘‘aware of no reason why our holding, of logical necessity, would not apply with equal force to other scenarios in which cumulative convictions violate the double jeopardy clause . . . .’’ Id., 249 n.3. In the present appeal, we are confronted with one of those prophesied ‘‘other scenarios,’’ for the defendant had been subjected to cumulative capital felony and felony murder convictions in violation of double jeopardy protections.
We conclude that the remedy set forth in Polanco should extend to scenarios like the defendant’s, thus making it appropriate to vacate his cumulative felony murder conviction. To begin, our conclusion finds support in persuasive contemporary decisions of various Circuit Courts of Appeal. Although Polanco principally relied on federal appellate decisions that eschewed the merger remedy for
Perhaps more importantly, although the merger approach of Chicano was intended as a remedy for all manner of unlawful cumulative convictions; see State v. Chicano, supra, 216 Conn. 722–25; that remedy has proven unwieldy in practice. In Polanco, this court noted that ‘‘at oral argument . . . there was some ques-tion as to how a conviction for a lesser included offense, which has been merged with a conviction on the greater offense, appears on a defendant’s criminal record. On the basis of the state’s representations, it appears that there has been some inconsistency among our judicial districts on how courts memorialize the conviction for the lesser offense. Still, it is clear that the conviction appears, in at least some capacity and in some instances, on the criminal record.’’ State v. Polanco, supra, 308 Conn. 260 n.10; see also Ball v. United States, supra, 470 U.S. 865 (‘‘[a] second conviction [for the same offense], even if it results in no greater sentence, is an impermissible punishment’’).
These inconsistent results are not altogether surprising, and the present appeal illustrates just how challenging it can be to implement the merger approach.11 Indeed, the state’s acknowledgment at oral argument before this court that the violative cumulative conviction ‘‘is not eliminated from existence’’12 under the merger approach seems confusingly incongruent with its brief, which asserts that felony murder ‘‘would not exist as a separate conviction’’ for the defendant if it were merged. To this end, in scenarios not involving greater and lesser included offenses, the mechanics of the merger arrangement are particularly confounding, because by definition one conviction could not nest entirely inside the other.13
In sum, we are not convinced that the opaque remedy of merger can be implemented in a manner that consistently protects defendants from the potential collateral consequences of having an unauthorized cumulative homicide conviction. See Rutledge v. United States, supra, 517 U.S. 302. Instead, ‘‘we think it wise to adhere to an approach that the federal courts seem to conclude is less likely to give rise to collateral consequences,’’ namely, the vacatur approach. (Emphasis in original.) State v. Polanco, supra, 308 Conn. 256 n.5. Extending this vacatur remedy beyond scenarios involving greater and lesser included offenses will therefore promote inter-jurisdictional and intra-jurisdictional harmony, and better safeguard against unconstitutional multiple punishments.
Because we think it is appropriate to continue to end our use of the merger approach, we briefly address the state’s concern that the defendant might ‘‘escape punishment entirely if he were to later succeed in reversing his controlling [capital felony] conviction.’’ Generally, we see no substantive obstacle to resurrecting a cumulative conviction that was once vacated on double jeopardy grounds—provided that the reasons for overturning the controlling conviction would not also undermine the vacated conviction. See, e.g., United States v. Silvers, 90 F.3d 95, 99 (4th Cir. 1996) (‘‘[t]his practice [of reinstating a previously vacated conviction] does not violate the [d]ouble [j]eopardy [c]lause because, in essence, the defendant is not subjected to multiple punishment; rather, he is placed in exactly the same position in which he would have been had there been no [erroneous conviction of the controlling offense] in the first instance’’). This holds true regardless of whether the previously vacated conviction was for a lesser included offense of the controlling conviction, or was cumulative in some other manner. In either instance, a jury necessarily found that all the elements of the cumulative offense were proven beyond a reasonable doubt. Put differently, although the cumulative conviction goes away with vacatur, the jury’s verdict does not.14
On this point, the experience of the State of Washington is especially illustrative. In the case underlying State v. Schwab, 163 Wn. 2d 664, 669, 185 P.3d 1151 (2008) (en banc), a defendant was convicted of second degree felony murder and first degree manslaughter in connection with the killing of a single victim. On direct appeal, those cumulative homicide convictions were held to be a double jeopardy violation, leading the Washington Court of Appeals to remand the case with direction for the trial court to vacate the first degree manslaughter conviction. Id. Later, on collateral review, the same defendant succeeded in overturning his remaining second degree felony murder conviction in light of intervening case law. Id., 670. As a result, that defendant’s collateral review petition was granted, and his case was remanded to the trial court for additional proceedings. Id. On remand, the trial court determined that there was no bar to reinstating the vacated first degree manslaughter conviction, and the Washington Court of Appeals thereafter upheld that judgment. Id., 670–71. The Supreme Court of Washington subsequently concluded that this series of events complied with specialized court rules of that state, as well as double jeopardy protections more broadly. Id., 673–76
Moving beyond this illustration of how a vacated homicide conviction might later be reinstated, we return to the present case. We emphasize that, even if the defendant’s controlling capital felony conviction were to be overturned on limited grounds, it would not necessarily follow that he would escape all punishment for homicide—so long as the form of judgment reflected the jury’s verdict with respect to each of the cumulative homicide convictions and indicated that the court had vacated those cumulative homicide convictions in light of the controlling capital felony conviction. One of the cumulative convictions could be reinstated so long as the defect in the overturned controlling conviction was not shared with that cumulative conviction. As one example, if this defendant’s capital felony conviction was ever overturned because the underlying kidnapping was called into question, the conviction of the lesser included offense of murder could be reinstated.15 See State v. Polanco, supra, 308 Conn. 263; see also
Finally, we do not attempt to address every possible question that could arise from cases where cumulative convictions have been imposed in violation of double jeopardy protections, and limit our analysis to the cumulative homicide convictions presently before us. Moreover, ‘‘[t]o the extent that the creation of generally applicable rules on this topic are necessary or appropriate, that responsibility is left to the Rules Committee of the Superior Court, which is vested with the power to establish rules of procedure for our trial
The judgment of the Appellate Court is affirmed.
In this opinion the other justices concurred.
