Commonwealth of the Northern Mariana Islands v. Vincente Flores Kaipat

94 F.3d 574, 96 Cal. Daily Op. Serv. 6342, 96 Daily Journal DAR 10485, 1996 U.S. App. LEXIS 22012, 1996 WL 481502
CourtCourt of Appeals for the Ninth Circuit
DecidedAugust 27, 1996
Docket95-17239
StatusPublished
Cited by19 cases

This text of 94 F.3d 574 (Commonwealth of the Northern Mariana Islands v. Vincente Flores Kaipat) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Commonwealth of the Northern Mariana Islands v. Vincente Flores Kaipat, 94 F.3d 574, 96 Cal. Daily Op. Serv. 6342, 96 Daily Journal DAR 10485, 1996 U.S. App. LEXIS 22012, 1996 WL 481502 (9th Cir. 1996).

Opinion

RYMER, Circuit Judge:

We must decide whether a statute of the Commonwealth of the Northern Mariana Islands (CNMI) that earmarks civil and criminal fines imposed by the courts for a judicial building fund deprived Vincente Flores Kai-pat of due process of law in violation of the Fourteenth Amendment to the United States Constitution when he was fined by a judge of the CNMI superior court.

Kaipat was found guilty of various traffic offenses and was sentenced to a term of imprisonment, probation, and a fine. He challenged the fine on the ground that it was used as a source of funding for a new judicial complex pursuant to the Judicial Building Fund Act of 1990, 1 CMC § 3405, thereby creating an improper incentive for the court to levy fines and calling into question the impartiality of the trial judge in violation of Kaipat’s right to due process. The CNMI Supreme Court affirmed the trial court’s denial of Kaipat’s motion to reconsider the fine in a published opinion. Commonwealth v. Kaipat, No. 94-041 (CNMI Sup.Ct. Aug. 3, 1995).

We have not previously considered the due process implications of a statute earmarking funds that are generated by fines imposed by courts for criminal offenses, but the United States Supreme Court has provided bookends in Turney v. Ohio, 273 U.S. 510, 47 S.Ct. 437, 71 L.Ed. 749 (1927) (due process violated by fine imposed by mayor-judge whose compensation as judge was derived from, and whose city coffers — for which he was responsible — largely depended on, revenue from fines), and Dugan v. Ohio, 277 U.S. 61, 48 *575 S.Ct. 439, 72 L.Ed. 784 (1928) (due process not violated by fine imposed by mayor-judge whose compensation did not come from fines and who had no executive responsibility for city finances). 1 While there is little doubt that the CNMI legislature could have come up with a more felicitous way of funding construction of its courthouse, we conclude that this case is closer to Dugan than to Tumey, and that Kaipat has not shown a violation of his federal constitutional rights since the judge had no pecuniary interest in the fine and held no other position that could reasonably warrant a fear of partisan influence on his judgment.

As we have jurisdiction over Kaipat’s timely appeal, 48 U.S.C. § 1824(a) and 1 CMC § 3103, we affirm.

I

The Judicial Building Fund Act of 1990, 1 CMC § 3405, 2 creates a special fund within the Department of Finance known as the “Judicial Building Fund.” It provides that all criminal and civil fines collected by Commonwealth courts and paid to the treasury are to be deposited and credited to the Fund. 1 CMC § 3405(a). The Fund was established “to pay the expenses to renovate and furnish existing Commonwealth judicial facilities in an aggregate amount not to exceed $250,000, and to construct and furnish a suitable building or buildings for the judicial branch of government.” 1 CMC § 3405(b). The Governor is charged with expending the Fund and “eonsult[ing] closely with the Chief Justice as to the needs and requirements of the judicial branch for the construction of the judicial facilities.” 1 CMC § 3405(e). Other funds may also be used by the Governor to build the facilities, and any funds left over after expenses and debts for the judicial complex have been paid will revert to the General Fund. 1 CMC § 3405(d), (e).

*576 Kaipat was sentenced on March 11, 1994, following his conviction by the court on two counts of driving under the influence of alcohol; two of reckless driving; two of refusal to submit to a breath test; and one count each of eluding a police officer, disobeying a traffic sign, speeding, unsafe passing, and following a vehicle too closely. 3 For these offenses a defendant may be sentenced to time in custody and may be fined up to $5,350. 9 CMC §§ 5202, 5251, 5304, 5309, 7104-7106, 7111, 7112. Kaipat was sentenced to 60 days imprisonment, with 30 days suspended for one year; he was given two years probation; he was fined in the amount of $1,000; he was required to perform 100 hours of community service; his driver’s license was suspended for one year; and he was ordered to undergo counseling at the Commonwealth Health Center.

When Kaipat moved for reconsideration of the monetary portion of his sentence, claiming that it violated his due process rights, the superior court denied the motion after considering the standards that different courts have applied in determining whether a judge’s interest in the outcome of a case implicates due process. First, it noted that some courts have held that only a “direct, personal, substantial, pecuniary interest” violates due process. 4 The court concluded that under this standard, § 3405 does not create such an interest for judges to levy fines because the Judicial Building Fund was created solely for the purpose of constructing improved judicial facilities, not for paying any funds to any judge, and no judge has any control over expenditures from the Fund. The superior court next observed that other courts have focused on Tumey’s “possible temptation to the average man as a judge” standard. 5 The court concluded that § 3405 passes muster under this standard as well because actual construction of the new judicial complex depends on other funds, not on the comparatively much smaller sums deposited in the Judicial Building Fund. Finally, the superior court considered the “appearance of justice” test employed by the Court in In re Murchison, 349 U.S. 133, 136, 75 S.Ct. 623, 625, 99 L.Ed. 942 (judge could not try case for which he served as one-man grand jury); see also Pepsico, Inc. v. McMillen, 764 F.2d 458, 460 (7th Cir.1985) (construing Judicial Code to require recusal of judge after contact about prospective employment with law firms representing parties in pending ease on ground of appearance of impropriety), and found that a neutral observer, fully informed as to the relationship between the Judicial Building Fund and the new judicial complex at the time of Kaipat’s sentencing, would not entertain significant doubts that he would receive impartial justice in this case.

The CNMI Supreme Court affirmed, on somewhat different reasoning. In its view, the Tumey “direct, personal, substantial, pecuniary” standard has not been extended to other bases of recusal for judges, Aetna Life Ins. Co. v. Lavoie, 475 U.S. 813, 106 S.Ct. 1580, 89 L.Ed.2d 823 (1986) (bias and prejudice); and Tumey, Ward and Dugan

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94 F.3d 574, 96 Cal. Daily Op. Serv. 6342, 96 Daily Journal DAR 10485, 1996 U.S. App. LEXIS 22012, 1996 WL 481502, Counsel Stack Legal Research, https://law.counselstack.com/opinion/commonwealth-of-the-northern-mariana-islands-v-vincente-flores-kaipat-ca9-1996.