Diaz v. Government of the Virgin Islands

46 V.I. 409, 2004 U.S. Dist. LEXIS 25945
CourtDistrict Court, Virgin Islands
DecidedDecember 7, 2004
DocketD.C. Crim. App. No. 2003/007
StatusPublished
Cited by1 cases

This text of 46 V.I. 409 (Diaz v. Government of the Virgin Islands) is published on Counsel Stack Legal Research, covering District Court, Virgin Islands primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Diaz v. Government of the Virgin Islands, 46 V.I. 409, 2004 U.S. Dist. LEXIS 25945 (vid 2004).

Opinion

MEMORANDUM OPINION

(December 7, 2004)

After having been disciplined administratively for stabbing a fellow inmate at the Golden Grove Adult Correctional Facility (GGACF), the appellant was charged and found guilty of criminal assault. The appellant now asks this Court to decide whether his criminal conviction for the stabbing incident, following administrative penalties, violated constitutional prohibitions against double jeopardy. This Court holds that it does not.

I. STATEMENT OF FACTS AND PROCEDURAL HISTORY

The facts of this case are not in dispute. While serving a five-year sentence at the GGACF, Wilfredo Diaz [“Diaz”] stabbed another inmate at the facility. Pursuant to the institution’s rules and regulations, [411]*411disciplinary charges were imposed by the Disciplinary Committee, and Diaz was placed in segregation for a total of 55 days. Subsequently, a criminal information was filed charging Diaz with third degree assault and possession of a dangerous weapon, pursuant to title 14, sections 297 and 2251(a) of the Virgin Islands Code. Diaz filed a pretrial motion to dismiss the criminal charges on double jeopardy grounds. That motion was denied, and Diaz was tried and convicted by a jury. He was sentenced as a habitual offender to a total of 20 years imprisonment. This appeal followed.

II. DISCUSSION

A. Jurisdiction and Standard of Review

This Court has appellate jurisdiction to review the judgments and orders of the Territorial Court in all criminal cases in which the defendant has been convicted, other than on a plea of guilty. See V.I. CODE Ann. tit. 4, § 33.1 The trial court’s determination of a double jeopardy claim presents a legal question subject to plenary review. See United States v. Rice, 109 F.3d 151, 36 V.I. 343 (3d Cir. 1997).

B. Double Jeopardy

The Fifth Amendment to the U.S. Constitution provides that no person shall “be subject for the same offense to be twice put in jeopardy of life or limb.” U.S. CONST. AMDT. V.2 This prohibition extends to multiple prosecutions or multiple punishments for the same offense. See Rice, 109 F.3d at 153 (citing United States v. Ursery, 518 U.S. 267, 135 L. Ed. 2d 549, 116 S. Ct. 2135 (1996); Witte v. United States, 515 U.S. 389, 132 L. Ed. 2d 351, 115 S. Ct. 2199 (1995)). The double jeopardy determination begins with whether the defendant has previously been placed in jeopardy of guilt in a criminal context. See id.; see e.g., Serfass v. United States, 420 U.S. 377, 387-88, 43 L. Ed. 2d 265, 95 S. Ct. 1055 (1975). Thus, double jeopardy concerns are generally not implicated where the first proceeding threatens a civil sanction, rather than loss of liberty. See Rice, 109 F.3d at 153; see also, Hudson v. United States, 522 [412]*412U.S. 93, 99, 139 L. Ed. 2d 450, 118 S. Ct. 488 (1997) (protections aimed at guarding against multiple criminal punishment). This is not to say, however, that civil penalties may never reach the level necessary for a finding that a party has been held in jeopardy. Rather, where the prior penalty occurs in a civil context, the reviewing court must look to the purpose and extent of that penalty and may find jeopardy attached to bar a subsequent criminal prosecution only where the civil statute is determined to have such a punitive purpose and effect that it is transformed into a criminal penalty, implicating the double jeopardy clause. See Hudson, 522 U.S. at 99; see also, Department of Revenue of Montana v. Kurth Ranch, 511 U.S. 767, 128 L. Ed. 2d 767, 114 S. Ct. 1937 (1994) (holding state tax of $181,000 imposed on persons arrested for drug possession and distribution had an “unmistakable punitive character” and “was fairly characterized as punishment”); Ursery, 518 U.S. at 288 (discussing factors to determine whether civil penalty is effectively criminal). In determining whether a civil penalty constitutes former jeopardy for purposes of the Fifth Amendment, this Circuit applies the following two-prong test, as enunciated by the U.S. Supreme Court: (1) whether the sanction was intended to be civil and remedial or criminal and punitive, and (2) whether the statutory scheme was so punitive in purpose, effect, or fact as to negate the legislature’s intention to establish a civil remedy. See Rice, 109 F.3d 155-56 (quoting Ursery, 518 U.S. at 288). The following factors may guide that determination:

1) [wjhether the sanction involves an affirmative disability or restraint; (2) whether it has historically been regarded as a punishment; (3) whether it comes into play only on a finding of scienter; (4) whether its operation will promote the traditional aims of punishment-retribution and deterrence; (5) whether the behavior to which it applies is already a crime; (6) whether an alternative purpose to which it may rationally be connected is assignable for it; and (7) whether it appears excessive in relation to the alternative purpose assigned.

Hudson, 522 U.S. at 99-100 (noting that factors are guideposts, and no one factor is dispositive; rather, focus is on the determination that penalty is effectively criminal) (citations and internal quotation marks omitted). A .defendant claiming double jeopardy must establish by the “clearest proof’ that the government has provided a sanction so punitive as to [413]*413transform a civil remedy into a criminal penalty, notwithstanding the legislature’s intended civil remedy. Ursery, 518 U.S. at 278; see also, Hudson, 522 U.S. at 100-01.

Under this lens, courts have routinely declined to find that discipline imposed pursuant to prison rules and regulations present a bar to subsequent criminal prosecution stemming from the same conduct. See e.g., United States v. Newby, 11 F.3d 1143, 1145 (3d Cir. 1993) (holding that a prison disciplinary hearing is not a prosecution for purposes of the double jeopardy clause, and sanctions pursuant to prison regulations did not constitute “punishment” which barred later criminal prosecution) (citing United States v. Stuckey, 441 F.2d 1104 (3d Cir.), cert. denied, 404 U.S. 841 (1971) (holding criminal prosecution not barred, where defendant placed in segregation for 15 days as part of prison discipline for stabbing fellow inmate); United States v. Rising, 867 F.2d 1255, 1259 (10th Cir. 1989) (“administrative punishment imposed by prison officials does not render a subsequent judicial proceeding, criminal in nature, violative of the double jeopardy clause”); Kerns v. Parratt,

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Bluebook (online)
46 V.I. 409, 2004 U.S. Dist. LEXIS 25945, Counsel Stack Legal Research, https://law.counselstack.com/opinion/diaz-v-government-of-the-virgin-islands-vid-2004.