Sanchez v. United StatesSanchez v. United States
Lead Opinion
Retrial of a criminal defendant after a mistrial over his objection and unsupported by “manifest necessity” violates double jeopardy. Arizona v. Washington,
I.
The grand jury indicted appellant, who was sixteen years old at the time of the offense, for assault with intent to kill while armed (AWIKWA), D.C.Code §§ 22-401, - 4502 (2001), and related offenses, all arising from the shooting of Cristobal Serpas in August 2004. A jury trial began on November 29, 2004, and continued through two days of prosecution witnesses. Before trial resumed on the third day, however, the prosecutor informed the judge of “a potential jurisdictional defect” in that none of the charges in the indictment was among those listed in D.C.Code § 16-2301(3)(A) (2001) as excluding from the definition of a “child,” and thereby subjecting to adult prosecution, a juvenile of appellant’s age charged with specific offenses.
There followed a lengthy discussion between the judge and the parties about available remedies. The prosecutor initially thought that “this kind of defect may be waivable,” but opined that “the safer course here is probably to think about it as [a lack of] subject matter jurisdiction. That’s a conclusion we’ve come to.” Relying on the Supreme Court’s decision in Illinois v. Somerville,
[Defense counsel]: ... I’m not agreeing — I can’t agree to the mistrial.
[The court]: Right, you [are] objecting to the mistrial. No doubt about that.
[Defense counsel]: Right.
[The court]: ... I’m going to declare a mistrial based on manifest necessity, over your objection.
Following the mistrial, the grand jury returned an indictment that replaced the AWIKWA charge with AWIMWA and lesser charges. Appellant’s written motion to dismiss the indictment on double jeopardy grounds was denied, and he proceeded to trial a second time.
II.
“The prosecutor must demonstrate ‘manifest necessity
This standard, which entails a high degree of necessity, requires a twofold inquiry by the trial court. First, the circumstances necessitating the mistrial must be extraordinary ones, sufficient to override the defendant’s double jeopardy interests. Second, the trial judge must determine whether an alternative measure — less drastic than a mistrial— can alleviate the problem so that the trial can continue to an impartial verdict. On appeal, the government bears a heavy burden to justify the mistrial decision, and a reviewing court must resolve any doubt in favor of the liberty of the citizen.
Vega, supra note 3,
Appellant contends that there was no manifest necessity for a mistrial here because “it is firmly established in this jurisdiction that upon learning of [appellant’s] status as ‘child,’ the trial court was required to proceed to verdict and determine post-verdict whether to enter judgment or refer the case to the Family Division for final disposition” (Br. for Appellant at 6-7; emphasis by appellant). He relies on D.C.Code § 16-2302(b) and our application of that provision in Logan, supra. We agree with appellant that § 16-2302(b), as construed and applied by the court in Logan, prescribed the right course of action here, one that made a mistrial unnecessary. Initially, however, we must consider the government’s argument that appellant “invited” or at least acquiesced in the mistrial ruling, and thus may not complain of it or may do so only under review for plain error.
A.
The government asserts that, although appellant’s counsel formally “ ‘objected’ to declaration of a mistrial, [she] did not object to discharging the jury,” because she agreed with, or did not dispute, the judge’s conclusion that he lacked jurisdiction to continue to verdict on the faulty indictment (Br. for Appellee at 27). Double jeopardy, the government points out, protects a defendant’s “valued right to have his trial completed by a particular tribunal,” Wade v. Hunter,
We believe appellant is right, however, in replying that it is beside the point whether his attorney shared the judge’s understanding that the defect in the indictment prevented the trial from continuing; what matters is that counsel objected to a mistrial and, further, that the judge knew she was doing so and thus recognized that the legal standard governing the mistrial decision was manifest necessity vel non. It is true, as the government stresses, that defense counsel first remained silent when the judge asked if anyone disagreed that the trial had to be terminated; and, almost to the end, counsel seemed to labor under the erroneous view that a mistrial would be in order provided it meant “dismiss[al] ... with prejudice” rather than a retrial. But defense counsel ultimately made explicit her objection to a mistrial, and her confusion about the law did not mislead the trial judge, who resolved to “declare a mistrial based on manifest necessity, over your objection,” believing that to go forward with the trial would be a “useless
Like the government, our dissenting colleague in effect disregards what appellant did (and what the trial judge understood him to do) which was to oppose a mistrial, relying instead on what appellant “desire[d],” which was a permanent end to the prosecution. Because the “objection to the mistrial [did not] occur[ ] ... in the desire that the case continue,” post at 1156, appellant’s objection was tantamount to consent — an “implicit acquiescence in the grant of a mistrial.” Post at 1156. We simply are unable to read an objection to a mistrial as its opposite — consent—merely because appellant expressed the desire for a broader, impermissible remedy of dismissal with prejudice. More importantly, the trial judge did not perceive appellant to be acquiescing in anything, which is why he told him that he was ruling on the basis of “manifest necessity, over your objection.”
Finding no acquiescence in the mistrial, we turn to the merits of the double jeopardy argument.
B.
The statute whose effect we must decide is D.C.Code § 16-2302(b), one of two provisions dealing with the pre- and post-“jeopardy” discovery that “a minor defendant was a child at the time of an alleged offense”:
(a) If it appears to a court, during the pendency of a criminal charge and before the time when jeopardy would attach in the case of an adult, that a minor defendant was a child at the time of an alleged offense, the court shall forthwith transfer the charge against the defendant, together with all papers and documents connected therewith, to the [Family] Division.
(b) If at the time of an alleged offense, a minor defendant was a child but this fact is not discovered by the court until after jeopardy has attached, the court shall proceed to verdict. If judgment has not been entered, the court shall determine on the basis of the criteria in section 16-2307(e) whether to enter judgment or to refer the case to the Division for disposition.... [Emphasis added.]
The government points to our footnote observation in Logan, supra, that § 16-2302(b) “appears to govern the ... problem that arises when a defendant is discovered to be under-age at some point after the United States Attorney’s Office has filed charges and the Criminal Division has asserted jurisdiction,”
Our analysis continued with the question of remedy, and resolution of the appeal followed from the fact that, although Logan had “informed the trial court of his concerns before jeopardy attached,” id. at 670, he nonetheless agreed “to go forward ... and to raise his jurisdictional challenge ... later....” Id. at 668. We held that
[b]ecause appellant willingly went forward with his guilty plea and thus chose to permit jeopardy to attach, we need not set aside the conviction in this case. Instead, we remand this case to the trial court to complete its post-jeopardy ruling under § 16-2302. We have determined that appellant is indeed a “child” under § 16—2301(3)(A); the trial court must now “determine on the basis of the criteria in section 16-2307(e) whether to enter judgment or to refer the case to the [Family] Division for disposition.” D.C.Code § 16-2302(b).
Id. at 677 (emphases added).
In Logan, we accordingly applied § 16-2302(b) to a situation where, not factually but legally, the defendant had been discovered to be “a ‘child’ under § 16-2301(3)(A)” because the indicted crime was not one subjecting him to adult prosecution. Borrowing from § 16-2302(b)’s command that where the fact that “a minor defendant was a child ... is not discovered ... until after jeopardy has attached, the court shall proceed to verdict,” we ordered the trial court to do the equivalent thing given Logan’s guilty plea, and to “complete its post-jeopardy ruling” by sentencing him or by referring the case for juvenile disposition, as the factors in § 16-2307(e) dictated. We thereby rejected the notion that a post-jeopardy “discover[y]” identical to the one in this case deprives the trial court of jurisdiction to let a criminal prosecution run its course. Rather, Logan instructs that the proper course for the court on determining that a defendant— such as appellant or Logan — remains “a ‘child’ under § 16-2301(3)(A)” is to proceed to verdict and, in case of conviction, consider his status as a child in deciding whether to sentence him or to refer the case for juvenile disposition. The upshot is that, in this case, a mistrial over defense objection was not an available option — was not justified by a “ ‘high degree’ of necessi
The prosecutor’s and the judge’s reliance on Illinois v. Somerville, supra, was mistaken. In that case, as here, a defect in the indictment — there the failure to allege a necessary element of the crime charged — was discovered after jeopardy had attached. In upholding the trial judge’s decision to declare a mistrial based on manifest necessity, the Supreme Court explained that, under Illinois law, an indictment’s failure to allege an element of the crime.was a jurisdictional defect correctable only by a mistrial. See
Nor is it surprising that the Logan court construed broadly, as reaching mistakes of fact and law about a defendant’s status as “child,” § 16-2302(b)’s authorization, to complete a prosecution post-jeopardy despite a defect in the “jurisdictional” basis. In a unitary court system such as Superior Court, distinctions based on subject-matter jurisdiction have only limited significance, as decisions of this court since Andrade v. Jackson,
Our decision in United States v. Sedgwick,
We hold, therefore, that double jeopardy barred appellant’s retrial. As will often be true when a prosecution is terminated in this manner, the result seems harsh and something of a windfall — appellant, after all, like the prosecutor, could have raised the matter of the defective indictment before trial and forestalled any problem of jeopardy. But the manifest necessity standard is the balance struck by the Constitution between “the public interest in affoi’ding the prosecutor one full and fair opportunity to present his evidence to an impartial jury” and an objecting defendant’s “valued right to have the trial concluded by a particular tribunal,” Arizona v. Washington,
Reversed and remanded.
Notes
. Section 16-2301(3), part of the definitional section of the code subchapter dealing with "proceedings regarding delinquency, neglect, or need of supervision,” provides in relevant part:
(3) The term "child” means an individual who is under 18 years of age, except that the term "child” does not include an individual who is sixteen years of age or older and—
(A) charged by the United States attorney with (i) murder, first degree sexual abuse, burglary in the first degree, robbery while armed, or assault with intent to commit any such offense, or (ii) an offense listed in clause (i) and any other offense properly joinable with such an offense;
(B) charged with an offense referred to in subparagraph (A)(i) and convicted by plea or verdict of a lesser included offense .... [Emphasis added.]
. If a juvenile is not subject to prosecution under § 16-2301(3)(A), he nevertheless may be "transferred] ... for criminal prosecution” under § 16-2307, but only upon request of the Attorney General for the District of Columbia and after a decision to transfer made by the Superior Court based on factors set forth in § 16-2307(e). See, e.g., In re
. Appellant, that is, took no pretrial appeal from the double jeopardy ruling, see Abney v. United States,
. "The Double Jeopardy Clause,” it has been said,
is and has always been, not a provision designed to assure reason and justice in the particular case, but the embodiment of technical, prophylactic rules that require the Government to turn square comers. Whenever it is applied to release a criminal deserving of punishment it frustrates justice in the particular case, but for the greater purpose of assuring repose in the totality of criminal prosecutions and sentences.
Jones v. Thomas, 491 U.S. 376, 396,
Dissenting Opinion
dissenting:
Although the point may not be so clear as to constitute “plain error,” I agree with the majority’s conclusion that D.C.Code § 16-2302(b) (2001), as interpreted in Logan v. United States,
When the government raised the issue of a possible jurisdictional defect, defense counsel said that her initial reaction was to ask that the case be dismissed with prejudice but asked for time to consult with the Public Defender Service. The trial court decided to give all parties time during the luncheon break to examine the situation.
I’m going to ask a question. Is there either side to this case that disagrees that the case properly is to be terminated at this point? Now, when I say terminated, I’m using that term very loosely. I’m not saying terminated forever. I’m not saying terminated not forever. What I’m saying is there any part [sic] — or any side to this case that would suggest that we should continue further with the testimony and the evidence? So I’m taking the silence to answer that as no.
After a brief further discussion, the trial court without objection decided to dismiss the jury:
Since it’s no dispute that this trial right here or this part of it will cease as soon as I have them [the jury] come back in here, what’s really I think the nuts and bolts of this is, does this case go away without prejudice or does this case come back? That’s really the remaining issue. No more, no less.
Thereafter, during an extended dialogue and discussion, the issue as presented to the trial court was whether it would adopt the government’s position that a mistrial should be declared on the basis of manifest necessity or that of the defendant that the case should be dismissed with prejudice. Thus, at the time of decision-making, all parties seemed to be in agreement that only two options existed, neither of which involved a continuation of the trial. Indeed, immediately prior to the formal declaration of a mistrial, this interchange occurred:
THE COURT: Well, there doesn’t seem to be any disagreement between you two in terms of the procedural [sic] moving forward, other than your [defense counsel] request would be with prejudice, your [prosecutor] request would be without prejudice.
[DEFENSE COUNSEL]: Right.
THE COURT: That’s the only difference I’ve heard. So —
[DEFENSE COUNSEL]: And I’m not agreeing' — I can’t agree to the mistrial. THE COURT: Right, you [are] objecting to the mistrial. No doubt about that.
Thus, the objection to the mistrial occurred not in the desire that the case continue, but rather solely on the untenable ground that the dismissal should have been made with prejudice.
In this posture, I think that appellant has lost any right to now claim double jeopardy. We have typically declined to entertain an appellate claim that is contrary to a litigant’s position at trial. See, e.g., Brown v. United States,
. "This Court has implicitly rejected the contention that the permissibility of a retrial following a mistrial or a reversal of a conviction on appeal depends on a knowing, voluntary, and intelligent waiver of a constitutional right.” United States v. Dinitz,
. Defense counsel's argument for such a dismissal was based on double jeopardy grounds, since "Mr. Sanchez has already been through, since the 17th, two weeks as of tomorrow, I believe, maybe longer, of a trial and the case should be dismissed with prejudice.” No argument is now made that such a dismissal would have been proper in the face of Illinois v. Someiville,
. Even if defense counsel had been aware of the existence of D.C.Code § 16-2302(b) and the Logan holding, her client would be served by silence in the face of the trial court’s framing of the issue, thereby making possible the double jeopardy argument accepted by the majority here. It may not be wise to open the possibility of such sandbagging in the double jeopardy context, any more than in permitting counsel to withhold objections. See Jackson v. United States,