State v. Nelson, s. 94-517

• Decision Date: 09 January 1996
• Docket Number: Nos. 94-517,95-212,s. 94-517
• Parties: The STATE of Montana, Plaintiff and Respondent, v. David E. NELSON, Defendant and Appellant, The STATE of Montana, Plaintiff and Respondent, v. Charles LAFLEY, Ron Worden and Jesse Edwards, Defendants and Appellants. . Heard
• Court: Montana Supreme Court

Page 247

910 P.2d 247

275 Mont. 86

The STATE of Montana, Plaintiff and Respondent, v. David E. NELSON, Defendant and Appellant, The STATE of Montana, Plaintiff and Respondent, v. Charles LAFLEY, Ron Worden and Jesse Edwards, Defendants and Appellants.

Nos. 94-517, 95-212.

Supreme Court of Montana.

Heard Jan. 9, 1996.

Submitted Jan. 11, 1996.

Decided Jan. 30, 1996.

Appeal from the District Court of the Third Judicial District, In and for the County of Powell, No. 94-517; Ted L. Mizner, Judge presiding.

District Court of the Third Judicial District, In and for the County of Powell, No. 95-212; James E. Purcell, Judge presiding.

William F. Hooks, State Appellant Defender, Helena, for Appellants.

Joseph P. Mazurek, Attorney General, Brenda Nordlund, Assistant Attorney General, Helena, Montana; Christopher G. Miller, Powell County Attorney, Deer Lodge, Montana; Brant Light, Cascade County Attorney, Great Falls, for Respondent.

NELSON, Justice.

Claiming violation of the Double Jeopardy Clauses of the Montana and United States Constitutions, David Nelson (Nelson) and Charles Lafley, Ronald Worden and Jesse Edwards (Lafley, Worden and Edwards) appeal the denial by the Third Judicial District Court, Powell County, of their respective motions to dismiss the informations filed against them and from their convictions for escape. Lafley, Worden and Edwards also appeal from their convictions of the added charge of unauthorized use of a motor vehicle. We affirm their respective convictions.

Additionally, Lafley, Worden and Edwards appeal the District Court's sentences for felony escape under the provisions of § 45-7-306(3)(b)(i), MCA (1993). We reverse and remand for resentencing for misdemeanor escape under § 45-7-306(3)(c), MCA (1993).

Nelson's case and the case involving Lafley, Worden and Edwards have been consolidated for purposes of this appeal. Where appropriate, we refer to Nelson, Lafley, Worden and Edwards, collectively, as Appellants.

We address the following issues on appeal:

1. Does the Double Jeopardy Clause of the federal or state constitution bar criminal prosecution for escape when an inmate defendant has already been subjected to forfeiture of good time credits in a prison disciplinary proceeding arising from the same incident?

2. Did the District Court properly sentence Lafley, Worden and Edwards pursuant to the felony escape provisions of § 45-7-306(3)(b)(i), MCA (1993), under the facts of this case?

BACKGROUND

Nelson, an inmate subject to official detention at the Montana State Prison (MSP) walked away from his temporary assignment at the Great Falls Pre-Release Center in October 1992. Following his apprehension in Billings in March 1994, Nelson was returned to MSP and, following prison disciplinary proceedings, suffered the forfeiture of 4 years, 11 months and 6 days accumulated good time and was placed in maximum security. Additionally, for that same incident, Nelson was charged with the offense of escape in violation of § 45-7-306, MCA (1991).

Following his conviction of that charge by entry of an Alford plea, Nelson was sentenced to three years imprisonment to run consecutively with his existing sentence. Prior to entry of his plea, Nelson moved to dismiss the criminal information filed against him on the basis that he had already been punished by the State for his escape through the MSP disciplinary proceedings and that subjecting him to additional punishment for the criminal charge of escape for the same incident violated the Double Jeopardy Clauses of the Montana and United States Constitutions. Nelson's motion to dismiss was denied by the District Court.

Lafley, Worden and Edwards were also inmates subject to official detention at the MSP. On April 11, 1994, the three were on daily work assignment at the Deer Lodge golf course and were directed to perform routine maintenance and groundskeeping. Because of their classification status as "trustees," they were subject to "minimal, non-direct supervision" by a civilian employee of the golf course independent of the prison staff. They were at no time physically restrained with shackles, chains, etc.

Shortly after being given their work assignments, the three began drinking and became intoxicated. Around noon, they ran out of liquor, took the golf course-owned Ford Ranchero and departed for Helena to purchase more alcohol. They were observed by their civilian supervisor as he was returning to the golf course. He gave pursuit and reported their unauthorized departure to law enforcement authorities. The three were subsequently apprehended outside of Helena later that same afternoon.

As a result of their escapade, Lafley, Worden and Edwards each suffered disciplinary sanctions through the Department of Corrections institutional disciplinary committee for major rules violations including escape, theft and substance abuse. Lafley forfeited 7 years, 10 months, 3 days accumulated good time credits; Worden lost 7 years, 1 month, 29 days good time credits; and Edwards forfeited 1 year, 8 months, 7 days good time credits. Each man's security classification was increased and each was referred to the Powell County Attorney for criminal prosecution.

The hearings officer justified the administrative sanctions on the basis that the conduct of the three inmates posed a serious threat to the institution and to society and violated state law. The warden, on denial of their administrative appeal, referred to the whole incident as being a serious violation of prison rules and the escape as being a very serious rule violation.

On April 14, 1994, the same date as the disciplinary proceedings, criminal informations were filed against Lafley, Worden and Edwards charging each with escape and felony theft (the latter charge being subsequently amended to unauthorized use of a motor vehicle, a misdemeanor, in violation of § 45-6-308, MCA.) Pretrial, each man moved to dismiss the criminal charges with prejudice on double jeopardy grounds, and after hearing and argument, the District Court denied these motions. The cases were consolidated for trial; the motions to dismiss were renewed and denied after the jury was sworn; and on November 1, 1994, each defendant was convicted by the jury of escape and unauthorized use of a motor vehicle.

In December 1994, Lafley, Worden and Edwards were each sentenced to three years in MSP for felony escape and six months in the Powell County jail for the unauthorized use of a motor vehicle. Those sentences were ordered to run concurrently but consecutively with each man's existing sentence. DISCUSSION

1.

Does the Double Jeopardy Clause of the federal or state constitution bar criminal prosecution for escape when an inmate defendant has already been subjected to forfeiture of good time credits in a prison disciplinary proceeding arising from the same incident?

This issue, while one of first impression in Montana, has been addressed in numerous other jurisdictions. The Double Jeopardy Clause of the Fifth Amendment of the United States Constitution protects against three distinct abuses: a second prosecution for the same offense after acquittal; a second prosecution for the same offense after conviction; and multiple punishments for the same offense. United States v. Halper (1989), 490 U.S. 435, 440, 109 S.Ct. 1892, 1897, 104 L.Ed.2d 487, 496, citing North Carolina v. Pearce (1969), 395 U.S. 711, 717, 89 S.Ct. 2072, 2076, 23 L.Ed.2d 656, 664-65; see also, State v. Lindseth (1983), 203 Mont. 115, 659 P.2d 844. This clause has been made applicable to the states through the Fourteenth Amendment. Benton v. Maryland (1969), 395 U.S. 784, 89 S.Ct. 2056, 23 L.Ed.2d 707; State v. Cole (1987), 226 Mont. 377, 744 P.2d 526.

For purposes of this case, Appellants claim no greater protection from double jeopardy under the Montana Constitution, Article II, Section 25, than under the Fifth Amendment of the United States Constitution. Accordingly, we treat the protections from double jeopardy afforded under both our state and the federal constitutions as co-extensive and will simply refer to both clauses collectively in the singular.

Here, it is the multiple punishments prohibition of the Double Jeopardy Clause which is implicated. Neither party disputes that Appellants' loss of good time and increase in security classification arose from the same incident and conduct which resulted in their criminal convictions and sentences for escape, and, in the case of Lafley, Worden and Edwards, for the additional conviction of unauthorized use of a motor vehicle. While the focus of Appellants' argument is not on the increase in their security classifications, they do nevertheless contend that, having suffered the administrative forfeiture of their accumulated good time credits, their criminal convictions and sentences constitute multiple punishments for the same offense in violation of the Double Jeopardy Clause. We disagree.

Historically, the protection from double jeopardy was thought to arise only in the context of criminal cases. See, e.g., Helvering v. Mitchell (1938), 303 U.S. 391, 58 S.Ct. 630, 82 L.Ed. 917; United States ex rel. Marcus v. Hess (1943), 317 U.S. 537, 63 S.Ct. 379, 87 L.Ed. 443; Rex Trailer Co. v. United States (1956), 350 U.S. 148, 76 S.Ct. 219, 100 L.Ed. 149. The U.S. Supreme Court disabused this notion, however, in Halper, wherein the Court held that a civil penalty is "punishment" for double jeopardy purposes if it "cannot fairly be said solely to serve a remedial purpose, but rather can only be explained as also serving either retributive or deterrent purposes." Halper, 490 U.S. at 448, 109 S.Ct. at 1902. See also, Austin v. United States (1993), 509 U.S. 602, ----, ----, n. 12, 113 S.Ct. 2801, 2806, 2810, n. 12, 125 L.Ed.2d 488, 503, 505, an Eighth Amendment, Excessive Fines Clause case and Department of Revenue of Montana v. Kurth Ranch (1994), 511 U.S. 767, ---- - ----, 114 S.Ct. 1937, 1944-45, 128 L.Ed.2d 767,...