State v. AillonState v. Aillon
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- Before:
- Cotter
This аppeal raises the issue whether the double jeopardy clause of the United States constitution prohibits a third trial of a defendant who successfully petitioned for a new trial after his first trial, which resulted in a conviction, and whose second trial terminated in a mistrial when the jury could not agree on a verdict.
The defendant was arrested and charged with three counts of murder alleged to have occurred in August, 1972. On September 1,1973, after a triаl to a jury, he was found guilty of murder on all three counts.
The accused after a conviction filed a petition for a new trial, which the trial court granted after a hearing on his petition. The state appealed from that order granting the accused a new trial and this court ordered a new evidentiary hearing which concerned a two-minute conversation between the presiding judge and a juror as to the continuance of delibеrations after 10 p.m.
Aillon
v.
State,
168 Conn. 541, 544, 363 A.2d 49 (1975). After the
When a mistrial was declared after his second trial, the defendant moved for entry of a judgment of acquittal on three grounds: (1) double jeopardy; (2) Practice Book, 1978, §§889 and 898; and (3) judicial discretion. Upon the trial court’s (Quinn, J.) denial of the defendant’s motion, the defendant appealed to this court. The state moved to dismiss the appeal and we granted this motion еxcept as to the defendant’s double jeopardy claim on the ground that no final judgment had been entered in the cases appealed. 1 Thus, the sole matter now before us is the defendant’s contention that the state cannot proceed with a third trial because such a trial would violate the federal constitutional guarantee against placing a criminal defendant twice in jeopardy for the same offense. 2
The аrgument underlying the defendant’s claim is essentially two-pronged. In seeming recognition
The double jeopardy clause of the fifth amendment serves to safeguard defendants in criminal proceedings against multiple punishments or repeated prosecutions for the same offense.
United States
v.
Dinitz,
supra, 606. This constitutional
Where a mistrial has been declared, Mr. Justice Story’s 1824 opinion in
United States
v.
Perez,
22 U.S. (9 Wheat.) 579, 6 L. Ed. 165, has provided the guiding principles for determining when trials should be discontinued. In that seminal case, the court held that the question of whether under the double jeopardy clause there can be a new trial after a mistrial depends on whether “there is manifest necessity for the [mistrial], or the ends of
However, as Perez and its progeny, e.g., United States v. Dinitz, supra, 608, and United States v. Jorn, supra, 484, make clear, when a defendant consents to a declaration of a mistrial, no finding of manifest necessity for the declaration need be made. This is so because when a mistrial declaration is made without a defendant’s consent, the defendant has been deprived of his “valued right to have his trial completed by a particular tribunal”; Wade v. Hunter, supra, 689; and the Perez doctrine of manifest necessity serves to ensure that this right is not foreclosed without the exercise of scrupulous judicial discretion. 4 United States v. Jorn, supra, 485.
When, however, as a result of a jury’s inability to reach a verdict, a mistrial is declared at the defendant’s request or with his consent, any barrier to reprosecution is removed. In these circumstances, the principle underlying the double jeopardy clause that the defendant retain primary
Even if we were to accept the defendant’s view that the first trial should be considered the functional equivalent of a mistrial and that there have been two mistrials declared in his case, and even if we were to accept the factors the defendant would have us weigh against each other, this court finds persuasive the reasoning of the Second Circuit in United States v. Castellanos, 478 F.2d 749 (2d Cir.), a case which raised virtually the identical question with which we are confronted—whether а District Court may order the dismissal of an indictment on grounds of double jeopardy solely because two previous trials of a defendant have resulted in deadlocked juries? The Castellanos court stated: “Even assuming arguendo that we could step outside the Peres test and invoke the Double Jeopardy Clause simply because a certain number of mistrials had occurred, we would still conclude that reversal is mandated here. If the appropriate interest of the defendant to be weighed is the avoiding of the harassment and strain of multiple prosecutions, the situation where the first and second trials end in deadlocked juries is hardly distinguishable from the ease where the third trial occurs after one or more appellate reversals. Yet, in Keerl v. Montana, 213 U.S. 135, 29 S. Ct. 469, 53 L. Ed. 734 (1909), the Supreme Court has held that the Double Jeopardy Clause is not violated by retrial after a jury deadlock and an appellate reversal of a conviction.” Id., 753.
Each Circuit Court of Appeals which has addressed this precise issue after
Castellanos
has
A declaration of a mistrial, however, contemplates that the government will be permitted to prosecute anew notwithstanding an accused’s double jeopardy claims; United States v. Scott, supra, 92; Lee v. United States, supra, 30; and Perez and its progeny make it clear that the Peres test itself embodies the appropriate balancing test to protect the defendant’s interests by focusing on the manifest necessity for a mistrial where the defendant has not requested or consented to the mistrial. Where, moreover, as is true here, the defendant has exercised his right to control the course of the pro-
There is no error.
In this opinion the other judges concurred.
Notes
Pursuant to Practice Book, 1978, § 3002, three separate cases involving three separate charges of murder, all captioned State v. Aillon, have been joined in this appeal.
The double jeopardy provision of the fifth amendment has been made applicable to the states through the due process clause of the fourteenth amendment,
Benton
v.
Maryland,
395 U.S. 784, 89 S. Ct. 2056, 23 L. Ed. 2d 707. Although there is no specific prohibition of double jeopardy in the Connecticut constitution, we have
For example, it is well-established that the double jeopardy clause does not preclude reproseeution for the same offense where a defendant’s conviction is set aside because of an error in the proceedings leading to the conviction. United States v. Tateo, 377 U.S. 463, 465, 84 S. Ct. 1587, 12 L. Ed. 2d 448. This Tule has been followed in a variety of circumstances whiсh have warranted an appellate court’s reversal of a conviction, such as where: the original indictment was found defective; United States v. Ball, 163 U.S. 662, 16 S. Ct. 1192, 41 L. Ed. 300; confession of error occurred; Stroud v. United States, 251 U.S. 15, 40 S. Ct. 50, 64 L. Ed. 103; instructions to the jury were erroneous. Forman v. United States, 361 U.S. 416, 80 S. Ct. 481, 4 L. Ed. 2d 412.
Manifest necessity in this context has been construed as a “high degree” of necessity which is reached more easily in some kinds of eases than in others.
Arizona
v.
Washington,
434 U.S. 497, 505-506, 98 S. Ct. 824, 54 L. Ed. 2d 717. A trial court’s belief that the jury is unable to reach a verdict has long been considered the classic basis for a proper declaration of a mistrial. E.g.,
Downum
v.
United States,
372 U.S. 734, 735-36, 83 S. Ct. 1033, 10 L. Ed. 2d 100;
Wade
v.
Hunter,
336 U.S. 684, 688-89, 69 S. Ct. 834, 93 L. Ed. 974;
Keerl
v.
Montana,
213 U.S. 135, 138, 29 S. Ct. 469, 53 L. Ed. 734;
Logan
v.
United States,
144 U.S. 263, 297-98, 12 S. Ct. 617, 36 L. Ed. 429. This is so because if a trial court “fails to dis
The defendant suggests that any acquiescence in the court’s decision to discharge the jury cannot constitute a waiver of his double jeopardy claim, relying on
Johnson
v.
Zerbst,
304 U.S. 458, 58 S. Ct. 1019, 82 L. Ed. 1461, which established the standard for a waiver of constitutional rights as a knowing, intelligent, and voluntary one. The Supreme Court, however, has clearly held that
even where
the defendant must determine whether or not to
“In such circumstances, a defendant’s mistrial request has objectives not unlike the interests served by the Double Jeopardy Clause— the avoidance of the anxiety, expense, and delay occasioned by multiple prosecutions .... [T]he protection against the burden of multiple prosecutions underlying the constitutional prohibition against double jeopardy may be served by a mistrial deсlaration and the concomitant relinquishment of the opportunity to obtain a verdict from the first jury. 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. See Breed v. Jones, 421 U.S. 519, 534; United States v. Wilson, 420 U.S. 332, 343-344, n. 11; United States v. Jorn, 400 U.S. 470, 484-485, n. 11 (plurality opinion); United States v. Tateo, 377 U.S., at 466.” United States v. Dinitz, supra, 608, 609-10 n.11.
In cases where the defendant did not request a mistrial, courts have looked to the totality of the circumstanсes surrounding the trial court’s entry of a mistrial to determine whether a defendant consented to the entry. See, e.g.,
United States
v.
Goldstein,
479 F.2d 1061, 1067 (2d Cir.), cert. denied, 414 U.S. 873, 94 S. Ct. 151, 38 L. Ed. 2d 113. During deliberations on the afternoon of March 11, 1979, the foreman of the jury submitted a note stating:
On the basis of this note, the state’s attorney vigorously urged the court to allow the jury to continue their deliberations. The court referred bаck to the jury foreman’s note which had indicated that the jury were completely deadlocked. At this point the following colloquy ensued:
“The Court: Mr. Jacobs, do you have anything to say?
Mr. Jacobs: No, your honor.
The Court: Bring the jury in.
Mr. Markle: Well, is he objecting to it or not then? Because if he has nothing to say I take it he’s not objecting to the jury being allowed to do that.
Mr. Jacobs: The jury has made clear that they are hopelessly deadlocked. It does not seem to me that your Honor has any alternative in the matter.
Mr. Markle: Is he оbjecting to what I’m asking your Honor to do, because if he is not, I think there’s no objection.
Mr. Jacobs: I’m objecting. I think the juror’s indication is clear.”
It is clear from this exchange that defense counsel did oppose the state’s motion for continued jury deliberations, and thus, having opposed continued jury deliberations, the defendant cannot also be considered to have objected to a mistrial ending jury deliberations. In these circumstancеs, consent to the mistrial, if not express, must be implied. See United States v. Goldman, 439 F. Sup. 358, 362 (S.D. N.Y.) (where defense counsel sat silently while the prosecutor argued against mistrial and counsel then thanked the court for rejecting the prosecutor’s argument, consent found to the mistrial).
Appellate courts have found a number of factors to be helpful in determining whether a trial court has properly exercised its discretion in declaring a mistrial when the jury are deadloсked.
An application оf these factors demonstrates that the trial court could not be considered to have abused its discretion in declaring a mistrial. The jury’s own statement that they were hopelessly deadlocked is the most critical factor. United States v. See, 505 F.2d 845, 851 (9th Cir.), cert, denied, 420 TT.S. 992, 95 S. Ct. 1428, 43 L. Ed. 2d 673. Moreover, upon questioning by the trial court the jury gave their collective opinion that they could not agree. See United States v. Goldstein, supra, 1068—69. The fact that one juror indicated some marginal uncertainty that the jury were hoрelessly deadlocked as to a lesser included offense is insufficient to indicate a reasonable probability that an agreement would be reached without coercion. See Arnold v. McCarthy, supra, 1387.
There is no minimum amount of time which a jury need deliberate before a mistrial may be properly declared. After taking into consideration the complexity of the present ease, involving as it
A final and important reason to defer to the trial court’s discretion is the risk of coercion. As the Supreme Court has stated: “[I]n this situation there are especially compelling reasons for allowing the trial judge to exercisе broad discretion in deciding whether or not ‘manifest necessity’ justifies a discharge of the jury. On the one hand, if he discharges the jury when further deliberations may produce a fair verdict, the defendant is deprived of his ‘valued right to have his trial completed by a particular tribunal.’ But if he fails to discharge a jury which is unable to reach a verdict after protracted and exhausting deliberations, there exists a significant risk that a verdict may result from pressures inherent in the situation rather than the considered judgment of all the jurors. If retrial of the defendant were barred whenever an appellate court views the ‘necessity’ for a mistrial differently from the trial judge, there would be a danger that the latter, cognizant of the serious societal consequences of an erroneous ruling, would employ coercive means to break the apparent deadlock. Such a rule would frustrate the рublic interest in just judgments.” Arizona v. Washington, 434 U.S. 479, 509-10, 98 S. Ct. 824, 54 L. Ed. 2d 717.
The defendant has not cited us to a case which supports his claims on the precise issue we have assumed arguendo to be before us of whether further prosecution following two previous mistrials can constitute double jeopardy. Instead, he seeks to rely on two eases which are clearly inapposite.
In
State
v.
Witt,
572 S.W.2d 913 (Tenn.), where three trials within two years ended in hung juries, retrial was barred. The
Tennessee
court, however, was expliсit in its refusal to rely on the double jeopardy clause and rested its decision on the trial court’s