State v. DavisState v. Davis
Lead Opinion
We granted certiorari to review the Court of Appeals’ decision that the forfeiture of defendant Wallace Davis’s car, pursuant to Utah Code Ann. § 58-37-13(l)(e) (1994), constituted punishment for double jeopardy purposes and barred a subsequent criminal prosecution under Utah Code Ann. § 58-37-8(2)(a)(i) for possession of a controlled substance. State v. Davis,
On January 18, 1994, West Valley police officers stopped Davis for a vehicle license violation. Because there was an outstanding warrant for Davis’s arrest, the officers arrested him and impounded his vehicle. One quarter gram of cocaine was found in the vehicle. The State seized and held his vehicle for forfeiture. Davis opposed the forfeiture on the ground that it violated the Excessive Fines Clause of the Eighth Amendment. At the forfeiture proceeding, held on May 11, 1994, the trial court rejected Davis’s argument and ordered the vehicle forfeited. Davis did not appeal that decision.
The State filed criminal charges against Davis on April 12, 1994, for possession of cocaine. After judgment was entered in the forfeiture proceeding, Davis moved to dismiss the criminal charge, arguing that its prosecution would violate his right against double jeopardy under both the Utah and United States Constitutions. The district court found that the “Blue Book” value of Davis’s vehicle was between $2925 and $4600, and that the cost of prosecuting the actions against Davis had been approximately $2500. The district court, relying on the rationale provided by United States v. Halper,
the penalty suffered by the defendant in the forfeiture proceeding did not exceed what could reasonably be regarded as the equivalent compensation for the state[’]s loss, and the penalty is not entirely unrelated to the actual damages suffered. The forfeiture penalty assessed in the forfeiture action was not so disproportionate to the cost of investigating and prosecuting the defendant that it constitutes “punishment” rather than “rough remedial justice.” It does not violate the double jeopardy provisions of the United States or Utah [Constitutions pursuant to U.S. v. Halper ....
The Court of Appeals heard the case on interlocutory appeal. A divided panel of that court reversed the district court’s denial of Davis’s motion. The Court of Appeals held that the Double Jeopardy Clause in the Federal Constitution precluded any prosecution of Davis for possession of the cocaine found in his vehicle because forfeiture of the vehicle constituted a prior criminal punishment under Austin v. United States,
We granted the State’s petition for certio-rari. Subsequently, the United States Supreme Court decided United States v. Ursery,
The Court of - Appeals’ interpretation of the Federal Constitution is a question of law- that we review for correctness. State v. Harmon,
The Court of Appeals stated that “with respect to determining whether forfeiture constitutes punishment, we hold that it makes no difference whether the analysis applies to the Fifth or Eighth Amendment.” Davis,
The premise employed by the Court of Appeals has been rejected by United States v. Ursery, 518 U.S. 267, 278-88,
The issue in Ursery was the same as the issue here: When does an in rem forfeiture constitute punishment for double jeopardy purposes? Id. at 288,
Hudson v. United States,
First, we ... determine whether Congress, in establishing the penalizing mechanism, indicated either expressly or impliedly a preference for one label or the other. Second, where Congress has indicated an intention to establish a civil penalty, we have inquired further whether the statutory scheme was so punitive either in purpose or effect as to negate that intention.
Whether the sanction involves an affirmative disability or restraint, whether it has historically been regarded as a punishment, whether it comes into play only on a finding of scienter, whether its operation will promote the traditional aims of punishment — retribution and deterrence, whether the behavior to which it applies is already a crime, whether an alternative purpose to which it may rationally be connected is assignable for it, and whether it appears excessive in relation to the alternative purpose assigned.
Hudson disavowed a portion of the holding of an earlier ease, United States v. Halper,
Turning to the instant case, we address Davis’s contentions under the two-prong Ward standard, reaffirmed by Ursery and Hudson: (1) whether the Legislature indicated that the forfeiture measure should be treated as a civil penalty; and (2) whether it is so punitive in purpose or effect as to negate that intention. The version of the statute in effect at the time of Davis’s prosecution was Utah Code Ann. § 58-37-13 (1994).
Lacking an express indication of the intended nature of the statute, we must derive it by implication. In examining this question, Ursery noted that “‘Congress’ intent ... is most clearly demonstrated by the procedural mechanisms it established for enforcing forfeitures under the statute[s].’ ” Ursery,
The only factor in the statute’s procedural mechanism that could be construed to indicate an intent to render a forfeiture proceeding criminal in nature was the requirement that the complaint be prepared and filed by the same prosecuting office that handles criminal actions. This requirement, however, assumed that the forfeitable property was likely contraband or an instrumentality of a crime. The officials responsible for handling the criminal matter would also have custody of, and familiarity with, the forfeitable property. Hence, we believe the Legislature required prosecuting officials to file the forfeiture complaint for pragmatic reasons and not because the Legislature viewed the statute as creating a criminal penalty.
Moving to the second prong of the Ward analysis, we must decide “whether the statutory scheme was so punitive either in purpose or effect as to negate [the] intention [that the statute be civil in nature].” Ward,
While Ursery provides little guidance for deciding when a forfeiture becomes so punitive that it constitutes criminal punishment, there have been a number of United States Supreme Court cases examining that question in the in personam context. See Rex Trailer Co. v. United States,
Moreover, the recent holding in Hudson places a more substantial burden on the person challenging a civil fine or forfeiture under the Federal Constitution. The only substantial argument that Davis offers in this case is that the penalty of forfeiture was disproportionate to the cost, of his crime. Not only was that cost not disproportionate under the pre-Hudson rationale offered by Halper, but the post-Hudson rationale makes clear that disproportionality of cost is only one factor among many.
Davis also argues that we should treat his state constitutional claims as an alternate ground for upholding the Court of Appeals’ ruling. See State v. South,
We therefore reverse the Court of Appeals and affirm the trial court.
Notes
. The State also argued that the in rem forfeiture and the criminal charge were effectively one proceeding, avoiding double jeopardy analysis. The Court of Appeals rejected this argument and the State has not contested that portion of the decision in its petition for certiorari or in its argument before this Court.
. The statute has subsequently been amended to include a section containing definitions and to specifically provide that if one is criminally charged, a forfeiture may proceed as part of the criminal prosecution. See Utah'Code Ann. § 58-37 — X 3(9)(c) (1998).
. The current version of the statute specifically designates a separate forfeiture proceeding as a "civil in rem” action. Utah Code Ann. § 58-37-13 (9)(c) (1998).
Dissenting Opinion
dissenting.
I disagree with the majority opinion’s conclusion that Davis has “failed to properly raise his claim under the Utah Constitution” and that he “has not adequately set forth any separate legal analysis ... [or] otherwise suggested a reason that warrants a distinct analytical treatment under the Utah Constitution.” I therefore dissent from its decision not to undertake a state analysis.
The procedural history of this case reflects the following course of events. The State filed a criminal information against Davis on April 12, 1994. On May 11, 1994, a trial court ordered his vehicle forfeited. Davis did not appeal the forfeiture. On August 9, 1994, Davis filed a motion to dismiss the criminal charges against him on the ground that, given the forfeiture, a subsequent criminal proceeding would violate the double jeopardy clauses of both the federal and state constitutions, in view of the completed forfeiture of. his vehicle. The district court denied the motion. On interlocutory appeal, a divided court of appeals reversed. State v. Davis,
On January 2, 1996, the State petitioned for certiorari on the following question:
For purposes of determining whether a civil forfeiture' constitutes “punishment” under the Double Jeopardy Clause of the Fifth Amendment, should Utah adopt the Eighth Amendment Excessive Fines analysis of Austin v. United States, [509] U.S. [602],113 S.Ct. 2801 [125 L.Ed.2d 488 ] (1993), or the Fifth Amendment Double Jeopardy analysis of United States v. Halper,490 U.S. 435 ,109 S.Ct. 1892 [104 L.Ed.2d 487 ] (1989), and Department of Revenue v. Kurth Ranch, [511] U.S. [767],114 S.Ct. 1937 [128 L.Ed.2d 767 ] (1994)?
Davis’s opposition brief, on the other hand, stated the question for review this way: “Did the court of appeals employ the correct definition for ‘punishment’ in determining if a state or federal Constitutional protection has been violated?” (Emphasis added.) We granted certiorari -without specifying the question for review.
On June 24, 1996, the U.S. Supreme Court declined to. adopt the Eighth Amendment definition of punishment and declared that in rem forfeiture, if civil in nature and application, does not constitute punishment for purposes of the federal Double Jeopardy Clause. See United States v. Ursery,
I believe this court should take this opportunity to correct the court of, appeals’ reading of State v. Lajferty,
This court’s language in Lafferty was intended to discourage the practice by some litigants of making federal constitutional arguments and then mentioning, as an afterthought, that the act in' question “also” violates state constitutional law, without further explanation. Where a party makes a separate and independent argument under state constitutional law, the court should decide the issue, even if the argument is similar to that advanced under federal law. The policy prohibiting deciding questions on constitutional grounds when they could be decided on non-constitutional ones also favors deciding state constitutional questions before federal. See West v. Thomson Newspapers,
As we have observed previously, a failure to address state constitutional questions at the appellate level can cause significant obstacles and delays to the proper adjudication of constitutional issues. West v. Thomson Newspapers,
Because the appellate court failed to decide the state constitutional issue and rested its entire decision on federal constitutional law, the U.S. Supreme Court’s decision in Ursery negated its definition of punishment, leaving the ease to be reconsidered in light of the change, and the state constitutional question still open. Because of this failure to consider the state constitutional issue, which was properly raised and briefed, the state double jeopardy doctrine question remains unaddressed.
Furthermore, the appellate court’s failure to treat the state constitutional issue caused confusion regarding the petition and grant of certiorari: the State did not think the Utah Constitution was at issue, but Davis did. We have therefore been asked to review a potentially dispositive question which has not yet been treated by the court of appeals. I
In a recent opinion, State v. Jackson,
In conclusion, I would ask the court of appeals to decide the state constitutional question originally askéd of it in this case. If the answer to the state question had turned out to be dispositive in the first place, this case might have had a shorter history.
. This point is consistent with what Justice Hans Linde has called “the original logic of federalism." If the state constitution prohibits a prosecution in violation of its double jeopardy clause, there are no grounds for arguing that state law violates the federal Constitution. Just as we routinely rely on statutory or common law principles before turning to constitutional ones to determine rights, we should clarify what state law permits before we consider claimed federal constitutional violations. See Sterling v. Cupp,