United States v. Santiago-Colon
Opinion
The United States appeals the district court's order granting David Santiago-Colón's ("Santiago") motion to suppress identification evidence, giving preclusive effect to a Puerto Rico Court of Appeals's order suppressing this same evidence in a local proceeding for different offenses. According to the district court, inasmuch as Puerto Rico and the United States are a single sovereign for purposes of the Double Jeopardy Clause,
Puerto Rico
v.
Sánchez Valle
, --- U.S. ----,
I. Background
A. Factual Background
On January 13, 2013, Puerto Rico Police Department Agent Carlos Sepúlveda-Rivera ("Sepúlveda") was off-duty at La Casita, a bar in Villalba, Puerto Rico, when he got into an altercation with two men. Sepúlveda and the two men exchanged gunfire. After the men shot Sepúlveda four times, he was transported to the hospital for treatment of his injuries. Sergeant Pedro Quiles-Torres ("Quiles") interviewed Sepúlveda at the hospital later that day. During his interview, Sepúlveda provided a description of his two assailants. 1 Based on the descriptions provided by Sepúlveda and a review of the security video footage of La Casita, local law enforcement agents identified Santiago and Richard Cartagena-Suárez ("Cartagena") as the shooters. The next day, Quiles showed two photo arrays to Sepúlveda, each of them containing nine photos. One array included Santiago's photo, and the other one included Cartagena's. Sepúlveda picked Santiago and Cartagena from the photo arrays.
B. Local Case
Puerto Rico prosecutors charged Santiago with attempted first-degree murder, carrying and using a firearm without a license, and discharging or pointing a firearm, in violation of Puerto Rico law. Santiago moved to suppress Sepúlveda's identification of him on the grounds that it was obtained in contravention of the Puerto Rico Rules of Criminal Procedure. The local prosecution opposed. The local trial court held a three-day evidentiary hearing, in which four witnesses (including Sepúlveda and Quiles) testified. After the local trial court denied suppression, Santiago appealed to the Puerto Rico Court of Appeals. The Puerto Rico Court of Appeals then reversed and suppressed the identification evidence. It noted some contradictions in Sepúlveda's testimony, concluded that Sepúlveda's identification of Santiago "and the photographic line up led by Sergeant Quiles were not trustworthy pursuant to the criteria established by ... [the Puerto Rico] Supreme Court in Pueblo v. Hernández González ,"
*47
C. Federal Case
Based on the January 13, 2013 incident, a federal grand jury returned an indictment on June 4, 2015, charging Santiago with being a felon in possession of a firearm and ammunition, in violation of
The government opposed the motion, arguing that Santiago had failed to show that "the identification procedure was impermissibly suggestive under federal law" and that, in fact, the procedure was reliable. The government also noted that the Puerto Rico Court of Appeals, in reversing the trial court, failed to give due deference to the trial judge's findings of fact and therefore misapplied Puerto Rico law. Additionally, the government pointed out that Sepúlveda knew the perpetrators before the shootout and identified Santiago by his nickname, supporting the reliability of the identification.
On October 4, 2016, without holding a hearing, the district court granted Santiago's "request to suppress identification." That order was followed by an opinion entered the same day.
Santiago-Colón
,
On November 10, 2016, the district court held the pretrial conference. At the beginning of the conference, the district court stated that it believed "there[ ] [was] a basis" for filing an interlocutory appeal. The government argued that the district court's suppression of Santiago's identification was contrary to binding First Circuit precedent applying collateral estoppel principles, including
Bonilla Romero
,
The court then inquired whether the government had independent evidence to proceed to trial. The government responded that even though the court had suppressed Sepúlveda's out-of-court identification of Santiago, it "would like to proceed to trial" with the in-court identification, because Sepúlveda knew Santiago prior to the January 13th incident and before he saw the photo array. The government also indicated that it could use the security video footage allegedly showing Santiago at the crime scene. Santiago responded that he thought the district court had suppressed both the out-of-court identification (product of the photo array) as well as any in-court identification because the Puerto Rico Court of Appeals had allegedly suppressed both identifications. After reviewing again the decision from the Puerto Rico Court of Appeals, the district court concluded that the Puerto Rico Court of Appeals had suppressed both Sepúlveda's out-of-court and in-court identifications of Santiago, and resolved to do the same. The court further stated that it would "supplement" its suppression order.
The district court noted that if the government had no independent evidence to identify Santiago at trial, the "course to proceed would be for the government to file a notice of appeal," because the issue was "definitely capable of repetition," would "continue happening," and was "appealable interlocutorily." Additionally, it noted that "[t]his may be the best case to do it." Santiago agreed that the government "should go up to the First Circuit to clarify th[e] issue."
Consistent with its statements during the pre-trial conference, later that day the district court entered an order supplementing its October 4th order by clarifying that its suppression order was "based on the single sovereign doctrine and not on collateral estoppel" and "extend[ed] to both the in-court identification by ... Sepúlveda ..., as well as the photo identification." On December 2, 2016, the government filed its notice of appeal, stating that it was appealing from the order entered on November 10, 2016. On November 15,
*49
2017, the government filed a certification under
On appeal, the government claims the district court's order suppressing any in-court identification of Santiago as the shooter should be reversed because it is contrary to First Circuit precedent, which has held that whether suppression of evidence by a local court has preclusive effect in a federal proceeding is an issue of collateral estoppel, not double jeopardy. It further claims that, under collateral estoppel principles, the suppression of the identification evidence was improper because the two prosecuting authorities were not in privity. 5
II. Discussion
A. Timeliness of the Notice of Appeal and
Santiago claims that this court lacks jurisdiction to entertain this appeal because the government filed an untimely notice of appeal and failed to comply with the certification requirements under
i. Standard of Review and Applicable Law
This court must verify that it has appellate jurisdiction before addressing the merits of any appeal.
Espinal-Domínguez
v.
Puerto Rico
,
The Criminal Appeals Act establishes in relevant part that:
An appeal by the United States shall lie to a court of appeals from a decision or order of a district court suppressing or excluding evidence ..., not made after the defendant has been put in jeopardy and before the verdict or finding on an indictment or information, if the United States attorney certifies to the district court that the appeal is not taken for purpose of delay and that the evidence is a substantial proof of a fact material in the proceeding.
...
The appeal in all such cases shall be taken within thirty days after the decision, judgment or order has been rendered and shall be diligently prosecuted.
The provisions of this section shall be liberally construed to effectuate its purposes.
The government is allowed to take an interlocutory appeal from suppression and exclusion orders in certain circumstances to remedy the "imbalance created by the peculiarities of criminal procedure."
United States
v.
Watson
,
ii. Timeliness Issue
Santiago argues that the government's notice of appeal was untimely because it was filed more than thirty days after the district court entered its October 4th order. According to Santiago, on October 4, 2016, the district court granted his motion to suppress, which sought to suppress not only Sepúlveda's out-of-court identification of him (the photo array), but also sought to prevent Sepúlveda from identifying him in court. Santiago argues that the government, however, failed to file a notice of appeal, or request clarification or reconsideration of the order, until after the thirty-day window provided in
Santiago acknowledges that "when the lower court changes matters of substance, or resolves a genuine ambiguity" in an otherwise appealable order, "the period within which an appeal must be taken ... begin[s] to run anew,"
see
Fed. Trade Comm'n
v.
Minneapolis-Honeywell Regulator Co.
,
In response, the government argues that the notice of appeal was timely because it was filed within thirty days of the November 10th order, which it characterizes as a " 'supplement[al]' suppression order" that "materially amended the original October 4 orders by suppressing evidence that was not covered by the original orders."
The government states that neither the Puerto Rico Court of Appeals's opinion nor the district court's October 4th order "specifically addressed whether Agent Sepúlveda would be prohibited from identifying Santiago" at trial. According to the government, the "ambiguous" language of the Puerto Rico Court of Appeals's opinion and the district court's October 4th order, in conjunction with the district court's simultaneous scheduling of a pre-trial conference to discuss whether the government had independent evidence to proceed with its prosecution, as well as federal case law suggesting that suppression of an out-of-court identification by a witness does not necessarily preclude an in-court identification by the same witness, led it to believe that only the photo array evidence had been suppressed. The government submits that the October 4th order was so ambiguous that the district court had to re-read the Puerto Rico Court of Appeals's opinion in order to determine whether its October *51 4th order also encompassed the in-court identification. The government further argues that if the October 4th order had been clear, as Santiago claims, "it would have been unnecessary for the district court to 'issue a supplement[al] order clarifying' its original ruling" and that the order itself stated that it was a "supplement" to the October 4th order, which "extend[ed]" suppression to in-court identification.
We are persuaded by the government's arguments. The October 4th order did not specify the scope of the suppression, and the Puerto Rico Court of Appeals's opinion, on which the district court relied, was ambiguous as to whether it also precluded Sepúlveda from identifying Santiago in court. In fact, the opinion of the Puerto Rico Court of Appeals gave the impression that only the photographic lineup identification had been suppressed. 6
In addition, as the government contends, suppression of a photographic lineup identification does not necessarily require exclusion of an in-court identification provided that the prosecution can "establish by clear and convincing evidence that the in-court identification[ ] w[as] based upon observations of the suspect other than the lineup identification."
Moore
v.
Illinois
,
Furthermore, as the government argues, the district court's scheduling of a pre-trial conference to discuss whether the government had additional evidence to proceed to trial, as well as the events that transpired during that pre-trial conference, also support the government's interpretation that the October 4th order had not suppressed all of the identification evidence. At the November 10th conference, the parties disputed the scope of the October 4th suppression order. When the government stated that it believed the order had suppressed the out-of-court identification only, the district court did not clarify that it had also suppressed the in-court identification. Instead, the court decided to hear from defense counsel. In fact, even after defense counsel argued that the October 4th order "clear[ly]" suppressed both identifications, the court stated as follows:
[I]f the government wants to proceed to trial, what I need then is for the government to file a motion and inform what witnesses are going to testify and if they're going to identify him in court or not so the defense can adequately respond. And then I can either-either I'll grant it or deny it. And if I deny it and basically I'm suppressing everything, then the government can still appeal.
*52 The district court then took a brief recess to review the opinion from the Puerto Rico Court of Appeals in order to ascertain the scope of its own suppression order. It was after reviewing again the opinion from the Puerto Rico Court of Appeals that the district court stated that it would suppress both identifications. It found that a "supplement[al] order clarifying" its original order was warranted. The court deemed it appropriate to clarify that its ruling was based "on the single sovereign doctrine, not on collateral estoppel," and that its "suppression ruling would include the identification of Agent Sepúlveda of the defendant, as well as his ... photo ... identification." It is worth noting that the court stated its suppression ruling "would include," and not that it "included" or "had included," the in-court identification. Therefore, the court's chosen language supports the government's contention that the original order did not include the in-court identification. The court then proceeded to issue a supplemental order clarifying its October 4th order to these effects. See Dkt. No. 70, United States v. Santiago-Colón , 15-cv-00396 ("supplement[ing] its ruling [of October 4th] ... to the effect that that the same [was] based on the single sovereign doctrine and not on collateral estoppel" and "hold[ing] that its suppression extends to both the in-court identification by Agent Sepúlveda Rivera, as well as the photo identification"). 7
Considering the record as a whole, we hold that the November 10th order amended or materially changed the October 4th order, which had the effect of restarting the thirty-day clock. This makes timely the government's notice of appeal of the November 10th order.
See
United States
v.
Cheal
,
iii.
Santiago also argues that this court lacks jurisdiction to entertain the interlocutory appeal because the United States Attorney did not timely file a § 3731 certification with the district court certifying that the appeal was not taken to delay the proceedings and that the evidence suppressed is substantial proof of a material fact. Santiago acknowledges that this court has not addressed whether certification is a pre-condition to appellate jurisdiction but argues that we should treat it as such. He further argues that even if we were to treat non-compliance with the certification requirement as a "filing irregularity" governed by Federal Rule of Appellate Procedure 3(a) -which would leave any appropriate action, including dismissal of the appeal, to the court's sound discretion-we should not condone the government's "disregard for diligence."
In response, the government acknowledges that it filed the § 3731 certification belatedly, after Santiago pointed out the government's non-compliance with the certification requirement in his response brief, and apologizes for the late filing. 8
*53 But, the government claims that such late filing does not require dismissal of the appeal.
The government notes that "[t]he purpose of the certification requirement is to ensure that the prosecutor carefully analyzed the case before deciding to appeal" and that, despite its belated filing of the § 3731 certification, the government did comply with the substance of § 3731 before it filed its notice of appeal. It points out that the Solicitor General, who decides whether the government will seek appellate review in a given case, "considers a variety of factors, such as the limited resources of the government and the crowded dockets of the courts, before authorizing an appeal," and that this deliberative process was followed here, when the Acting Solicitor General approved filing an appeal on April 19, 2017. It further points out that the Criminal Division of the United States Attorney's Office also "thorough[ly] review[ed]" this case before the government decided to file its notice of appeal.
The government contends that most appellate courts that have addressed the issue have not treated the certification as a jurisdictional requirement. Rather, "[t]hey have held that whether dismissal is an appropriate remedy is a matter that falls within the court's discretion."
Furthermore, the government points us to
United States
v.
Crespo-Ríos
,
It is uncontested that the government filed its § 3731 certification belatedly. However, in light of Congress's mandate that
Here, we find that dismissal of the appeal is unwarranted. This case presents an important issue that, as the district court acknowledged, is "definitely capable of repetition" and would "continue happening." In fact, the United States District Court for the District of Puerto Rico is already split as to how to resolve this issue of law.
9
Moreover, this case presents a question of law and, as the district court stated, "[t]his may be the best case to [decide the issue]," which has been fully briefed. We note that although the government failed to file the required certification at the time it filed its notice of appeal, it complied with the substance and purpose of the certification requirement. As the government explained, before it filed its brief, the government engaged in the deliberative process to determine whether the issue should be taken on appeal. Compliance with the essence of this deliberative process, as well as the mandate to construe the statute liberally, were determinative factors in
Crespo-Ríos,
Finding no procedural issue that divests us of jurisdiction, we now turn to the merits of this appeal.
B. Suppression Issue
The government argues that the district court's conclusion-that because Puerto Rico and the United States are a single sovereign for purposes of the Double Jeopardy Clause, suppression rulings by Puerto Rico courts are binding in federal prosecutions-is unsupported by Sánchez Valle and contrary to longstanding First Circuit precedent.
According to the government,
Sánchez Valle
does not hold that Puerto Rico and the United States are the same for purposes of all criminal law enforcement and procedure. Instead, it narrowly held that they are a single sovereign for double jeopardy purposes, which the government posits has no bearing in this case. The government argues that the doctrine of collateral estoppel is controlling, as held in "two precedential decisions" which it
*55
claims are still binding:
Bonilla Romero
,
Santiago agrees with the government that "the doctrine of collateral estoppel controls this case rather than double jeopardy." He notes that the district court "conflate[d] the two," but argues that its ruling is nevertheless "clear." Santiago further argues that Sánchez Valle confirmed that Puerto Rico "has what amounts to an agency relationship with the federal government." Yet, because Bonilla Romero predates Sánchez Valle , the former "did not fully confront Puerto Rico's agency relationship with the United States" and thus should not be controlling. Santiago submits that, in any event, even if Bonilla Romero is still good law, it is "factually and legally distinguishable" from his case.
In
Bonilla Romero
, this court rejected Santiago's contention that suppression of evidence by a Puerto Rico court in a local prosecution necessarily requires suppression of the same evidence in a subsequent federal prosecution.
We rejected both challenges. First, regarding the double jeopardy challenge, we noted that "jeopardy 'attaches' when a trial commences; that is, when a jury is sworn or empanelled or, in a bench trial, when the judge begins to hear evidence."
Second, assuming without deciding that the doctrine of collateral estoppel applied even when jeopardy had not attached, 11 we *56 rejected the defendant's contention that "relitigation of the suppression was barred by the principle of collateral estoppel" in that case. Id. at 42-44. We noted that the doctrine of collateral estoppel requires, inter alia, "that the party to be precluded from relitigating an issue decided in a previous litigation ... either [had been] a party or [had been] in privity with a party to that prior litigation," and concluded that said requirement was not satisfied in that case because "the federal prosecutors were neither a party, nor in privity with a party, to the suppression hearing in the Puerto Rico Superior Court." 12 Id. at 43. We clarified that "the source of authority of two government entities is not dispositive of whether they are in privity." Id. at 43. Thus, "Puerto Rico's sovereignty status as a United States territory" has no bearing on the determination of whether federal prosecutors would be bound by a prior suppression of the same evidence by a Puerto Rico court. 13 Id. at 44. Instead, "we must determine whether there was a close or significant relationship between the federal and Puerto Rico prosecutors during the local suppression hearing or whether the federal authorities controlled or actively participated in that hearing such that their interests in enforcing federal law were sufficiently represented." Id.
In
Pérez-Pérez
, we reiterated Bonilla Romero's holding that application of the doctrine of collateral estoppel in criminal cases requires that "the party to be precluded ... have been the same as, or in privity with, the party who lost on that issue in the prior litigation."
Bonilla Romero directly addresses the issue presently before us. The district court, however, found that it is no longer good law in light of Sánchez Valle . It held that because under Sánchez Valle Puerto Rico and the United States are considered "one sovereign when it comes to criminally prosecuting individuals," it "must give the [Puerto Rico] court suppression findings and judgment preclusive effect" even when federal prosecutors "did not participate in the [Puerto Rico] court criminal proceedings against Santiago." We disagree.
Sánchez Valle
is a double jeopardy case. The Double Jeopardy Clause of the Fifth Amendment protects an individual from being "twice put in jeopardy of life
*57
or limb" for the same offense, U.S. Const. amend. V., if the prosecutions are brought by the same sovereign,
Sánchez Valle
,
There is no doubt that double jeopardy concerns are not implicated in this case. Santiago's local charges were dismissed before trial, and thus jeopardy never attached in the local courts. 15 Santiago concedes as much. The district court itself acknowledged that Sánchez Valle is a case about double jeopardy, but stated that it would "extend Sánchez Valle to the suppression context ... based on the fact that [Puerto Rico and the United States are] a single sovereign." According to the district court, although there is no indication in Sánchez Valle that the Supreme Court intended to extend its analysis of the "notion to sovereignty" outside of the double jeopardy context, it did not preclude it either. The district court's holding, however, runs head-on into the law of the circuit rule.
"The law of the circuit rule (a branch of the stare decisis doctrine) holds that 'newly constituted panels in a multi-panel circuit court are bound by prior panel decisions that are closely on point.' "
United States
v.
Wurie
,
Here, there has been no en banc decision from this court contradicting our holding in Bonilla Romero . There has also been no statutory overruling. Nor is there a Supreme Court opinion directly on point contradicting our precedent. We are thus left to consider the only remaining exception to the law of the circuit rule-whether Sánchez Valle , although not directly controlling, offers a sound reason for believing that the Bonilla Romero panel would change its collective mind. We find that it does not.
Sánchez Valle
, which had nothing to do with collateral estoppel, and where the Supreme Court emphasized the narrowness of its holding, held that Puerto Rico and the United States are a single sovereign for purposes of the Double Jeopardy Clause because the source of authority of both prosecutorial powers derive from the same source. Although Puerto Rico and the United States had not been considered a single sovereign in the context of a criminal proceeding at the time that Bonilla Romero and
Pérez-Pérez
were decided, this court nevertheless considered in
Bonilla Romero
the possible effect of deeming Puerto Rico and the United States a single sovereign and rejected that the "source of authority of [the] two governmental entities" could be "dispositive of whether they are in privity."
Bonilla Romero
,
We held, both in
Bonilla Romero
and in
Pérez-Pérez
, that Puerto Rico's sovereign status as a United States territory "does not determine whether the federal prosecutors are bound by a pretrial suppression order issued by a Puerto Rico court."
Bonilla Romero
,
Santiago, however, urges us to find his case distinguishable from Bonilla Romero, arguing that: (1) unlike in his case, the local decision suppressing the evidence in
Bonilla Romero
was not "a final decision from the highest court in Puerto Rico"; (2) the district court in
Bonilla Romero
had held a suppression hearing before the local court entered its order suppressing the evidence in the local proceedings; (3) it is "unclear from the record in
Bonilla Romero
whether the [local] court applied relevant federal law in its order granting the motion to suppress"; and, (4) because Bonilla Romero was decided shortly after
López Andino
, 831 F.2d at 1164, we can presume that
López Andino
's holding "permeated" Bonilla Romero's rationale; yet that rationale no longer stands on firm ground after
Sánchez Valle
. We find these
*59
arguments unpersuasive. Nothing in
Bonilla Romero
suggests that the first three factors played any role in this court's analysis.
16
Santiago's last alleged distinction fares no better in light of Bonilla Romero's explicit statement that "the source of authority of the two government entities" was also irrelevant to the analysis.
Bonilla Romero
,
Applying our on-point precedent, we conclude that the district court erred when it deemed itself bound by the Puerto Rico Court of Appeals's decision to suppress the identification evidence without analyzing whether the requirements of collateral estoppel were satisfied. See id. ; see also Pérez-Pérez , 75 F.3d at 226. We note that the district court went to great lengths to clarify that it was not ruling on collateral estoppel grounds, but that was precisely the analysis that it should have applied. The district court should have analyzed whether the federal prosecutor was in privity with the local prosecutors that participated in the local suppression proceedings. It erred in failing to do so.
As his final plea, Santiago urges us to find that the government is collaterally estopped from litigating the suppression issue in the district court. He argues that, although the federal prosecution was not a party, it was in privity with the local prosecution when the latter litigated the suppression issue in Puerto Rico courts. Because the parties do not dispute the facts on which the privity analysis hinges, we proceed to analyze the issue.
See
Bonilla Romero
,
Santiago posits that the federal prosecution was in privity with the local prosecution due to the relationship between local and federal prosecutors. He claims that the federal prosecution was involved in his local proceedings because the events of January 13 constituted a violation of his federal probation. In support of this assertion, he cites to a filing by the SAUSA then assigned to the federal case, which stated, "the United States has been in contact and coordination with the victim of the attempted murder charges and with the Puerto Rico Police Department agent who has conducted the investigation into the alleged crime." 17 He further contends that the SAUSA then assigned to the federal prosecution was on detail from the Puerto Rico Department of Justice, and that the victim (Sepúlveda) and the investigating officer (Quiles) involved in the local prosecution "were backbone[s] of the federal prosecution." In addition, Santiago submits that the "charging structure ... also supports a finding of strategic cooperation between federal and local prosecutors." In sum, Santiago argues that because "[local] and federal prosecutors-two hands of the same sovereign-simultaneously worked two prosecutions involving the same facts, the same witnesses, and *60 the same law[,] [t]heir legal relationship and actions support[ ] a finding of privity."
We find Santiago's arguments unpersuasive. Although Santiago argues that Puerto Rico has "what amounts to an agency relationship" with the United States, Bonilla Romero is clear that Puerto Rico's relationship with the United States "is not dispositive of whether they are in privity."
Bonilla Romero
,
Although shortly after the shootout a United States Probation Officer filed a motion notifying the district court that he had been in contact with the victim and the investigating officer, the motion does not state or imply that a
federal prosecutor
(as opposed to a United States Probation Officer) had been in contact or coordination with state prosecutors.
See
We also find unpersuasive Santiago's argument that privity can be found because both prosecutions involve the same facts, witnesses (including the victim and the investigating officer), or law. Involvement of the same victim and investigating officer in two prosecutions is to be expected where local and federal charges are brought for the same underlying events, even if the local and federal prosecutions are for different offenses with different elements. In fact, the federal and local prosecutions in
Bonilla Romero
involved at least the same facts and witnesses, yet this court found no privity between the prosecuting authorities.
Bonilla Romero
,
*61
In sum, what determines if privity exists is whether there was "a close or significant relationship between the federal and Puerto Rico prosecutors during the local suppression [proceedings] or whether the federal authorities controlled or actively participated in [those proceedings] such that their interests in enforcing federal law were sufficiently represented."
III. Conclusion
For the foregoing reasons, we reverse and vacate the district court's order and find that, because there was no privity between the two prosecuting authorities, collateral estoppel is inapplicable. We remand the case to the district court for proceedings consistent with this decision.
Reversed, Vacated and Remanded .
According to the government, on the same evening the shootout occurred, Sepúlveda provided a description of the shooters' physical characteristics and attire. He described one of his assailants, later identified as Santiago, as slim, tall, wearing a jacket, a black sweater, and short blue pants. Sepúlveda also stated that, although he could not remember their names, he knew both assailants. Sepúlveda explained that he knew Santiago because he played basketball for the team of La Sierra, the neighborhood where Sepúlveda resides, and that he was called "Cabezón" (Spanish for "Big Head"). Sepúlveda also stated that Santiago was either the son-in-law or former son-in-law of the former mayor of Villalba. Indeed, Santiago's known nickname is "Cabezón," he played for La Sierra basketball team, and was related to the former mayor of Villalba. As to the second assailant, later identified as Richard Cartagena-Suárez, Sepúlveda provided a physical description, described his clothing at the time of the incident, and stated that he knew him because Sepúlveda had previously assisted in the individual's arrest for an unrelated offense.
Santiago was indicted after the Puerto Rico Court of Appeals issued its opinion suppressing his identification, but before the local case was dismissed.
That pre-trial conference was later rescheduled for November 10, 2016.
In the district court's words, although the local court's decision "may be a wrong ruling ... it's still a ruling that's final," it "binds the [f]ederal [g]overnment," and precludes relitigation of the issue in federal court even if the district court "disagree[s] with [the ruling]."
The government does not appeal the suppression of Sepúlveda's out-of-court identification of Santiago.
The Puerto Rico Court of Appeals's opinion stated as follows:
[P]etitioners filed a Motion to Suppress Identification ... alleg[ing] that ... they were identified through photographs the day after the facts ... [and] ... that the process was 'severely vitiated' [in] that it did not comply with the provisions of Rule 252.2 of [Puerto Rico] Criminal Procedure Rules.... [W]e conclude that the identification that Agent Sepúlveda Rivera made of ... Santiago ... and the photographic line up [sic] led by Sergeant Quiles were not trustworthy pursuant to the criteria established by our Supreme Court in Pueblo v. Hernández González .... [Thus, the trial court's] resolution is vacated and set aside and in its consequence, the suppression of the identification of petitioners is ordered.
App. at 41, 84, May 18, 2017, No. 16-2509.
The court used the language "the Court holds " as if it was determining the scope of the suppression for the first time, instead of using language such as "clarifies," which would suggest that the decision had been previously taken. Dkt. No. 70, United States v. Santiago-Colón , 15-cv-00396 (emphasis added).
The government explains that at the time it filed its notice of appeal, counsel of record was a Special Assistant United States Attorney ("SAUSA") on detail from the Puerto Rico Department of Justice who was inexperienced in federal appellate procedures, and the government first became aware of the missing certification when Santiago raised the issue in his response brief.
In
United States
v.
Rosado-Cancel
, the district court rejected the defendant's argument that federal firearms charges should be dismissed under
Sánchez-Valle
because a Puerto Rico court had already dismissed parallel Puerto Rico firearms charges for lack of probable cause. No. 13-731,
Santiago claims to have been prejudiced by the government's belated filing of its § 3731 certification because he has remained imprisoned during the pendency of the government's appeal. He has failed, however, to explain how his situation would have been different had the government timely complied with the certification requirement. Thus, Santiago has not shown any prejudice stemming from the belated filing.
As in
Bonilla Romero
, this appeal does not require us to decide whether collateral estoppel is applicable in criminal proceedings regardless of whether jeopardy has attached.
See
Bonilla Romero
,
We found that there was no evidence that federal prosecutors were involved in the local prosecution or that they provided assistance or advice to local authorities.
Prior to Bonilla Romero, this court had addressed Puerto Rico's sovereignty status as a United States territory in
United States
v.
López Andino
, where we held that Puerto Rico was a "separate sovereign for the limited purpose of the double jeopardy clause."
The Court specifically stated that "the 'extent of control' that 'one prosecuting authority [wields] over the other' " is irrelevant.
Sánchez Valle
,
Furthermore, the local and federal charges were not for the same offenses.
See
Brown
v.
Ohio
,
Furthermore, Santiago's argument that his case is distinguishable from Bonilla Romero because that case did not involve "a final decision from the highest court in Puerto Rico" is misleading. The local decision suppressing the identification evidence in Santiago's local case, although final, was not a decision from the highest court in Puerto Rico. In fact, the Puerto Rico Supreme Court declined to intervene in the case. Thus, it was a final decision from the local intermediate court. In any event, how high the case went in the local courts is not relevant to whether there was privity between the prosecuting authorities.
This quote, taken from the government's motion for an extension of time to respond to Santiago's motion to suppress evidence, does not indicate that the SAUSA had been in contact or coordination with state prosecutors.
It is understandable that the federal prosecutor would be in contact with the victim and the agent conducting the investigation because they would presumably be government witnesses at the revocation hearing in federal court.
Reference
- Full Case Name
- UNITED STATES of America, Appellant, v. David SANTIAGO-COLÓN, Defendant, Appellee.
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