United States v. Santiago-Rodriguez
United States v. Santiago-Rodriguez
Opinion of the Court
MEMORANDUM & ORDER
Before the Court are Luis R. Santiago-Rodriguez’s (“Santiago”) motion to dismiss for vindictive prosecution, the United States’s response, Santiago’s reply, and the government’s sur-reply. (Docket Nos. 24, 29, 32 & 37.) For the reasons that follow, the Court DENIES Santiago’s motion.
I. Procedural and Factual Background
Santiago was indicted on August 16, 2013 and charged with one count of theft of government property (in violation of 18
The United States explains its basis for filing the superseding indictment as follows: Santiago’s indictment was one of seventy-two emanating from “Operation Easy Money,” a collaborative investigation spearheaded by the Office of Inspector General (“OIG”) for the SSA and the Federal Bureau of Investigation (“FBI”), among other federal agencies. Each indictment — like Santiago’s original indictment — contained one count of theft of government property, one count of concealment or failure to disclose event to the SSA, and a forfeiture allegation. In addition to these counts, some indictments also contained a count charging a false statement or representation to the SSA — • as Santiago’s superseding indictment did. These counts were only charged against individuals who had been subjected to a “Continuing Disability Review” (“CDR”), a process that required claimants to make additional comprehensive statements to the SSA regarding their medical condition and limitations. The SSA initially provided a file to the United States Attorney’s Office for Santiago that did not contain a 454 form evidencing his CDR. After Santiago filed the motion to dismiss on November 7, 2013, the SSA provided a certified copy of Santiago’s file to a paralegal at the United States Attorney’s Office. This file contained evidence that Santiago had been subjected to a CDR. Thus, it was only at that point that the United States had a basis to charge Santiago with a count of false statement or representation to the SSA. (Docket No. 29 at pp. 2-4.)
Santiago counters
II. Legal Discussion
A vindictive prosecution is. an attempt to penalize a defendant for validly exercising his or her constitutional or statutory rights; and it constitutes a violation of a defendant’s Fifth Amendment right to due process. United States v. Goodwin, 457 U.S. 368, 372, 102 S.Ct. 2485, 73 L.Ed.2d 74 (1982). If a defendant establishes a vindictive prosecution, a federal court may dismiss the indictment. United States v. Stokes, 124 F.3d 39, 45 (1st Cir. 1997) (citing Goodwin, 457 U.S. at 376, 380 n. 12, 102 S.Ct. 2485). A defendant may support a claim of vindictive prosecution either “(1) by producing evidence of actual vindictiveness or (2) by demonstrating circumstances that reveal a sufficient likelihood of vindictiveness to warrant a presumption of vindictiveness.” United States v. Jenkins, 537 F.3d 1, 3 (1st Cir. 2008) (internal citations omitted). If raised, the prosecution can rebut a presumption of vindictiveness “by showing objective reasons for its charges.” Id.
Santiago contends that the prosecution exhibited vindictiveness by superseding his indictment which, by adding an additional count, increased Santiago’s exposure in terms of years of imprisonment. (Docket No. 24 at p. 1.) The prosecution did this, Santiago contends, in retaliation for Santiago’s exercise of his constitutional rights— moving to dismiss the indictment on speedy trial grounds. (Id. at p. 2.) Santiago relies on a Sixth Circuit Court' of Appeals decision for the- proposition that a superseding indictment filed on the heels of a defendant’s successful pre-trial motion triggers a presumption of vindictiveness. See United States v. LaDeau, 734 F.3d 561 (6th Cir. 2013). Santiago also eites the Supreme Court’s holding in North Carolina v. Pearce, 395 U.S. 711, 89 S.Ct. 2072, 23 L.Ed.2d 656 (1969), and its progeny, which held that whenever a judge imposes a more severe sentence upon a defendant after a new trial, vindictiveness can be presumed unless the reasons for doing so are objectively apparent. Id. at 726, 89 S.Ct. 2072. As further support for a presumption. of vindictiveness here, Santiago points to Lovett v. Butterworth, which found a due process violation where the prosecutor obtained an indictment charging the defendant with felony breaking and entering after the defendant appealed his misdemeanor conviction and sought a trial de novo. 610 F.2d 1002, 1005 (1st Cir. 1979)
Though due process analysis also applies when the prosecution, rather than the judge, acts to seek an increased punishment, Lovett, 610 F.2d .at 1005, “cases involving increased charges or punishments after trial are to be sharply distinguished from cases in which the prosecution increases charges in the course of pretrial proceedings,” United States v. Gallegos-Curiel 681 F.2d 1164, 1167 (9th Cir. 1982) (emphasis added) (citing United States v. Goodwin, 457 U.S. 368, 102 S.Ct. 2485, 73 L.Ed.2d 74 (1982)). See also United States v. Marrapese, 826 F.2d 145, 148 (1st Cir. 1987) (finding that the- appellant’s superseding indictment did not present the same “likelihood of vindictiveness” as cases in which the; Supreme Court found a presumption of vindictiveness); United States v. Brown, 298 F.3d 392, 405 (5th Cir. 2002) (affirming Goodwin’s reasoning that a
Heeding the First Circuit Court of Appeals’s advice, the Court declines to apply a presumption of vindictiveness here! The circumstances of this case, unlike the cases Santiago cites, do not “demonstrate a sufficient likeliness of vindictiveness to warrant” such a presumption. Jenkins, 537 F.3d at 3. The superseding indictment in LaDeau (1) was based on evidence that was in the prosecution’s possession at the time of the initial indictment, and (2) exposed the defendant to a significantly greater sentence of incarceration. LaDeau, 734 F.3d at 564. Santiago’s superseding indictment, in contrast, (1) was based on evidence that the prosecution did not possess until after Santiago moved to dismiss his original indictment, and (2) does not increase Santiago’s exposure.
Even if these circumstances were to warrant a presumption of vindictiveness, the Court finds that the United States has rebutted the presumption “by showing objective reasons for its charges.” Jenkins, 537 F.3d at 3. As explained above, the prosecutor offered evidence that it did not possess the 454 form necessary for the additional count until after Santiago moved to dismiss his indictment on speedy trial grounds. Moreover, there is no evidence
III. Conclusion
For the reasons stated above, Santiago’s motion to dismiss the indictment for vindictive prosecution is DENIED.
IT IS SO ORDERED.
. The United States effectively conceded the merits of the motion to dismiss on speedy trial grounds. (See Docket No. 37 at p. 8.)
. Santiago places much emphasis in his pleadings on the merits of his. defense. The Court finds these arguments inapposite to the vindictive prosecution determination, and thus does not consider them here.
.Santiago does not contend that the government specifically possessed the 454 form— just information that the CDR had occurred.
. Other circuits take similarly cautious approaches to allegations that pre-trial changes to indictments amount to vindictive prosecution. The Ninth Circuit has held that "the doctrine of vindictive prosecution does not apply, when ... there has been no increase in the severity of the charge or sentence imposed.” United States v. Kinsey, 994 F.2d 699, 701 (9th Cir. 1993); see also United States v. Dohm, 62 F.3d 1426, *3 (9th Cir. 1995) (unpub’d)(ñnding no increase in severity of sentence where counts were grouped pursuant to United States Sentencing Guidelines ("USSG”) §§ 2B5.1 & 3D 1.2(d)). The Fifth Circuit requires a reviewing court to "examine the prosecutor’s actions in the context of the entire proceedings.” United States v. Krezdorn, 718 F.2d 1360, 1364 (5th Cir. 1983). ”[I]f there is any indication that the prosecutor had a legitimate reason ... for increasing the charges, then no presumption of vindictiveness is created.” United States v. Aggarwal, 17 F.3d 737, 744 (5th Cir. 1994) (internal citation omitted). ■
. The Court agrees with the United States’s characterization of the sentencing issues in this case: both of the Title 42 counts against Santiago — 42 U.S.C. § 408(a)(3) and § 408(a)(4)' — have the same statutory maximum term of incarceration (five years) and would be grouped as closely related counts pursuant to U.S.S.G. § 3D1.2.
Reference
- Full Case Name
- United States v. Luis R. SANTIAGO-RODRIGUEZ
- Status
- Published