People v. Daly

313 P.3d 571, 2011 WL 2308587, 2011 Colo. App. LEXIS 844
CourtColorado Court of Appeals
DecidedJune 9, 2011
DocketNo. 10CA0580
StatusPublished
Cited by10 cases

This text of 313 P.3d 571 (People v. Daly) is published on Counsel Stack Legal Research, covering Colorado Court of Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
People v. Daly, 313 P.3d 571, 2011 WL 2308587, 2011 Colo. App. LEXIS 844 (Colo. Ct. App. 2011).

Opinions

Opinion by

Judge BERNARD.

We address here the applicability of the doctrine of abatement ab initio-abatement "from the beginning"-in a criminal case. This is a court-created common law doctrine, see United States v. Estate of Parsons, 367 F.3d 409, 414 (5th Cir.2004), which requires criminal convictions to be vacated and charges to be dismissed when defendants die while their cases are pending.

In this case, defendant was convicted at trial of a felony, and he died while his direct appeal was pending. Citing authority from other jurisdictions, the Attorney General asks us to abandon the doctrine of abatement ab initio. Relying on Colorado precedent, we decline this invitation, and we conclude that this case should eventually be remanded to the trial court to abate defendant's conviction.

However, because defendant was ordered to pay restitution to the victim of his crime at the sentencing hearing, this case presents an additional issue of first impression in Colorado: should the doctrine of abatement ab initio be applied when its effect would be to erase the civil judgment created by a restitution order? We hold that this civil judgment should not be abated.

I. Background

Defendant, Markham G. Daly, was conviet-ed of the class four felony of stalking on January 21, 2010. On March 8, 2010, the trial court sentenced him to serve a probationary sentence monitored by the intensive supervision program. The court also ordered him to pay restitution to the victim of his crime.

He filed his notice of appeal with this court on March 22, 2010. It stated that he intended to raise issues involving both his conviection and sentence.

On August 183, 2010, defendant's counsel filed a motion to dismiss this appeal. It stated that defendant had died on April 29, 2010, and a copy of his death certificate was attached.

We issued an order requiring the prosecution to show cause why, instead of dismissing the appeal, the case should not be remanded [573]*573to the trial court to set aside defendant's conviction and dismiss the charges against him. The prosecution replied that (1) the doctrine of abatement ab initio is not constitutionally required; (2) courts from some jurisdictions do not follow it; and (8) abating a conviction in a case, such as this one, in which the defendant has been ordered to pay restitution undermines the rights of crime victims.

In response, defendant's counsel argued that the doctrine of abatement ab initio should be applied to all of defendant's case because (1) the doctrine has a long pedigree in Colorado; (2) permitting defendant's con-viection and sentence to stand would deny him his appellate rights; (8) the prosecution's reliance on authority from other jurisdictions was misplaced; and (4) the victim could pursue a separate civil case against defendant's estate to obtain redress for her financial losses.

IL Analysis

A. General Principles

1. Statutory Construction

When construing a statute, we first look to the statutory language. We give words and phrases their plain and ordinary meanings. We read the statute as a whole, and we interpret it in a manner that gives all its parts plain and sensible effect. We avoid absurd constructions. If the statute is unambiguous, we need look no further, and we do not need to employ other tools of statutory construction. Seguna v. Maketa, 181 P.3d 399, 401 (Colo.App.2008). Our primary goal is to determine and give effect to the legislature's intent. Crandall v. City & County of Denver, 238 P.3d 659, 662 (Colo.2010).

2. The Present Status of the Doctrine of Abatement in Colorado Criminal Cases

The doctrine of abatement ab initio was first recognized in Colorado in Overland Cotton Mill Co. v. People, 32 Colo. 263, 265, 75 P. 924, 925 (1904). There, after a defendant in a criminal case died while his conviction was pending appeal, our supreme court held that "the proceedings [against him] are abated by operation of law." Id. This was so because

[tlhe purpose of enforcing a penal statute is to punish the person found guilty of violating its provisions. The representatives of [the] deceased are not responsible for the alleged violation of the statute by him during his lifetime. They cannot be required to satisfy the judgment rendered against him. It is only the person adjudged guilty who can be punished, and a judgment cannot be enforced when the only subject-matter upon which it can operate has ceased to exist.

Id. In reaching this result, the supreme court cited several cases from other jurisdictions. At least one, March v. State, 5 Tex.App. 450, 1879 WL 7380, at *4 (1879), clearly endorsed the doctrine of abatement ab initio.

The supreme court followed Overland in Crowley v. People, 122 Colo. 466, 468, 223 P.2d 387, 387-88 (1950). The supreme court concluded that the defendant's death, "following the perfection of his appeal to the county court ... put an end to an infliction or enforcement of the punishment imposed." Id. at 468, 223 P.2d at 388.

Crowley leaned heavily on a federal case, United States v. Mitchell, 163 F. 1014, 1017 (C.C.D.Or.1908), aff'd sub nom. United States v. Dunne, 173 F. 254 (9th Cir.1909). Crowley, 122 Colo. at 468, 223 P.2d at 388. The court in Mitchell employed the doctrine of abatement ab initio, concluding that, when a defendant dies while his appeal is pending, "the entire cause is abated." Id. at 1017. The quotation employed by the supreme court in Crowley echoed this concept: "(Bly the death of [the defendant], the cause abated entirely, so that no enforcement of the payment of the fine imposed can be made out of his estate." Crowley, 122 Colo. at 468, 223 P.2d at 388 (quoting Mitchell, 163 F. at 1017).

In People v. Lipira, 621 P.2d 1389, 1390 (Colo.App.1980), a division of this court concluded that the term "abate," as used in Overland, means that a defendant's death renders the whole proceeding a nullity. This means that "there should be no determination of the issues on appeal and that the [574]*574judgment of conviction should be set aside and the indictment dismissed." Id. Because the division cited Crowley and Mitchell, we hold that this conclusion was a product of, and mandated by, Crowley.

IAipira was analyzed in People v. Valdes, 911 P.2d 703, 703-04 (Colo.App.1996). The division noted that appeals of right in criminal cases play an important role in the criminal justice system.

[AJn appeal is an integral part of our system of adjudicating guilt or innocence and defendants who die before the conclusion of their appellate review have not obtained a final adjudication of guilt or innocence. Ordinarily, the interests of justice require that defendants not stand convicted without resolution of an appeal.

Id. at 704. Further, the division noted that, once a defendant dies, "the state's interest in protecting society has been satisfied and there is no further interest in punishing the wrongdoer." Id.

These justifications for the doctrine of abatement establish its boundaries.

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Cite This Page — Counsel Stack

Bluebook (online)
313 P.3d 571, 2011 WL 2308587, 2011 Colo. App. LEXIS 844, Counsel Stack Legal Research, https://law.counselstack.com/opinion/people-v-daly-coloctapp-2011.