A jury fоund Allen D. Potts (“Appellant”) guilty of the class B felony of pos
On September 5, 2002, Christen Shilling (“Shilling”), an investigator with the Southwest Missouri Drug Force dressed in civilian clothes, was going through some trash in a dumpster near the Aurora, Missouri Police Department searching for evidence of drug sales in connection with an unrelated case. Appellant and James Harvill (“Harvill”), traveling in Appellant’s car, pulled up next to Shilling and Appellant asked her where “Timmy Yates” lived. After Shilling informed them where Yates’ parents lived, Appellant asked if she used drugs to get “high.” When Shilling said “yeah,” Appellant offered to “get [her] high” if she sold drugs for him. After a moment Appellant changed his mind and offered to give Shilling drugs. Appellant then asked Shilling to leave with them. In order to arrange for back-up, Shilling said that she was completing community service and asked Appellant to come back in one hour. When Appellant returned one hour later, Shilling went into the police station on the pretense that she needed to “sign out” of the day’s community service work. While inside she directed Officer Charlotte Malicoat (“Malicoat”) to meet Appellant outside while she arranged for further back-up. Moments later, after witnessing a brief exchange between Appellant and Malicoat concerning Appellant’s purpose for being at the police station, Shilling identified herself аs a police officer and asked both Appellant and Har-vill to get out of the car.
Shilling searched Harvill for weapons and found small quantities of marijuana and what appeared to be methamphetamine. She then asked Harvill if anything else was in the car and he retrieved a black bag from underneath the passenger seat where he had been sitting. The bag contained two empty syringes, a glass pipe and a small piece of cotton. Shilling then searched the driver’s side of the vehicle and found a syringe under the seat cover of the driver’s seat containing eighty units of a clear liquid, which was later determined to be methamphetamine.
Appellant was arrested and charged as a prior and persistent offender with the class C felony of possession of a controlled substance as provided in Section 195.202. Trial began over one year later, on October 22, 2003. During voir dire one venire-person said she had seen Appellant around the county. The prosecutor then asked her if there was “[ajnything about seeing him around that would cause [her] to give more weight to his testimony than any other testimony?” Appellant objected to this reference to his possible testimony and moved the court for a mistrial, which the trial court granted.
Immediately thereafter the prosecutor informed the trial court of his intention to voluntarily dismiss the possession charge and re-file the case with the greater charge of possession of a controlled substance with the intent to distribute, a class B felony punishable by not less than ten and no more than thirty years or life in prison.
2
Appellant requested that the
On June 10-11, 2004, Appellant was tried before a jury and found guilty of possession of a controlled substancе with the intent to distribute for which he was sentenced to a term of fifteen years as a prior and persistent offender. This appeal followed the overruling of his motion for a new trial.
Appellant relies on four points on this appeal. As we find Point I necessitates reversal we need not address Appellant’s remaining issues. In Point I, Appellant alleges that the prosecutor acted vindictively when he raised the charge from possession of a controlled substance to possession with the intent to distribute after the trial court sustained Appellant’s motion for a mistrial during voir dire. He also argues that the prosecutor deliberately induced the mistrial in order to file the greater charge and as a result double jeopardy bars further prosecution on either charge. We conclude that the first part of that contention requires reversal, but disagree with Appellant’s second- argument.
When the State has probable cause to believe a crime has been committed, the “decision whether or not to prosecute and what charges to file generally rests entirely within the prosecutor’s discretion.”
State v. Patino,
However, when such a decision comes after an accused has exercised a constitutional or statutory right, those principles conflict with the premise that “[t]o punish a person because he has done what the law plainly allows him to do is a due process violation of the most basic sort.”
Bordenkircher v. Hayes,
In
Blackledge,
the defendant was convicted of misdemeanor assault in the District Court of Northampton County, North Carolina.
The Due Process Clause is implicated when the State “up[s] the ante” by charging a defendant with a greater offense whenever a defendant pursues his statutory right to an appeal.
Id.; see also Cayson,
In
U.S. v. Goodwin
the Court qualified that statement, explaining “that the due process violation lay ... not in the possibility that a defendant might be deterred from the exercise of a legal right ... but rather in the danger that the State might be retaliating against the accused for lawfully attacking his conviction.”
Motives are complex and difficult to prove. As a result in certain casеs in which action detrimental to the defendant has been taken after the exercise of a legal right, the Court has found it necessary to “presume” an improper vindictive motive.
Id.
at 373,
The presumption of vindictiveness only applies when there is a realistic likelihood of vindictiveness.
Id.
at 17-18;
see also Goodwin,
The State argues that
Goodwin
limited the application of the
Blackledge
presumption to those situations where “some evidence of actual vindictiveness calculated to influence the defendant’s exercise of his due process right” can be shown. We disagree. Our reading of
Goodwin
leads us to the cоnclusion that a defendant may prove prosecutorial vindictiveness in one of two ways.
See Goodwin,
The State further contends that the
Blackledge
presumption is limited to those situations in which the State files more serious charges upon retrial following an appeal. We do not believe that
Blackledge
establishes such a bright line test. In
Cayson,
the western district of this court applied the principles of
Blackledge
and its progeny when the State filed a higher charge as well as additional charges after the defendant’s motion for a new trial was sustained on the basis of instructional error.
While we could find no Missouri cases deciding the precise issue presented in this case, other jurisdictions have applied the presumption to those situations in which a prosecutor enhances the charge following a defendant’s successful motion for a mistrial. In
Murphy v. State,
We see no logical reason for a bright line test which would allow the presumption of vindiсtiveness to apply when a defendant asserts his right to a new trial, but not when he exercises his rights during trial. Furthermore, our concern for judicial efficiency weighs against the per se rule that the State advocates. Allowing the application of the presumption after reversals but not after mistrials could dis
This is not to say there are no limits to the application of the
Blackledge
presumption. The United States Supreme Court has declined to invoke it when a prosecutor filed a higher charge after the defendant refused to accept a plea bargain, because the “give and take” necessary in plea negotiations does not hold the same likelihood of vindictiveness as was the case in
Black-ledge. Bordenkircher,
There is good reason to be cautious before adopting an inflexible presumption of рrosecutorial vindictiveness in a pretrial setting. In the course of preparing a case for trial, the prosecutor may uncover additional information that suggests a basis for further prosecution or he simply may come to realize that information possessed by the State has a broader significance. At this stage of the proceedings, the prosecutor’s assessment of the proper extent of prosecution may not have fully crystallized.... Thus, a change in the charging decision made after an initial trial is completed is much more likеly to be improperly motivated than is a pretrial decision.
In addition, a defendant before trial is expected to invoke procedural rights that inevitably impose some “burden” on the prosecutor. Defense counsel routinely file pretrial motions to suppress evidence; to challenge the sufficiency and form of an indictment; to plead an affirmative defense; to request psychiatric services; to obtain access to government files; to be tried by jury. It is unrealistic to assume that a prosecutor’s probable response tо such motions is to seek to penalize and deter.
Based upon these principles the State argues that the presumption is not warranted in this case because the mistrial was granted in the early stages of the case, before the prosecutor’s assessment of the case had fully materialized. However as will be seen, the prosecutor expressly stated that he knew that he could have charged Appellant with the intent to distribute, but he choose to proceed on the lesser charge. In any event, Appellant was not asserting а pretrial right in this case. Appellant was granted a mistrial as a result of the prosecutor’s questioning during voir dire. The trial court sustained Appellant’s motion for a mistrial after the prosecutor asked a venireperson how much weight she would give to defendant’s testimony, allowing the jurors to draw unfavorable inferences should Appellant have cho
“[T]rial judges and lawyers commonly understand the beginning of trial to be that time when the selection of the jury begins.”
State v. Cullen,
Having decided that the cases do not support a bright-line rule, we must determine whether under the circumstances of this case there is a realistic likelihood of vindictiveness which justifies the imposition of the
Blackledge
presumption. In doing so we consider the prosecutor’s stake in deterring the exercise of the right being asserted, and the prosecutor’s conduct, which is to be judged on a case by case basis.
Cayson,
[i]f any objective event or combination of events in [the] proceedings should indicate to a reasonable minded defendant that the prosecutor’s decision to increase the severity of the charges was motivated by some purpose other than a vindictive desire to deter or punish appeals.
Wood,
The State has a stake in deterring defendants from seeking mistrials because it has expended resources on, among other things, preparing the case and securing the attendance of witnesses. In addition, prosecutors have a natural stake in deterring mistrials based upon defendants’ motions because a significant amount of the time those motions are the result of error prejudicial to the defendant.
See Jamison,
The crux of this case, however, is the prosecutor’s.conduct. In response to Appellant’s motion to prevent the greater charge from being filed, the prosecutor stated:
If [counsel] will recall my conversations with them prior to this thing going to trial and even after the last — this trial setting was set. I have made numerous comments to them that the [S]tate had thought about dismissing the case and refiling it as a more serious charge. We didn’t do it after the preliminary hearing although I have had discussions with both cоunsel.... [T]his isn’t done simply as a vindictive thing against this defendant. It is something we considered long before this thing went to trial. We decided to go ahead and take it to trial on the lesser charge today. He was facing 15 years, but that’s the reason why this is going to be refiled — it’s not because of the mistrial. It assists us in being able to do that truly. But it is being refiled based on our conversations. And I know I had those at least with [counsel] on various oceasion[s] during preliminary matters in this case. I make those statements as an officer of the court.
After signaling his intent to do so when the mistrial was granted, the prosecutor entered a
nolle prosequi
as to the original charge of possession, and re-filed the cause with the heightened charge of possession with intent to distribute on the same day. There is nothing in the record to suggest that the prosecutor was unaware of the facts necessary to bring the higher charge before the trial began.
See Cayson,
We stress that our holding is based upon the facts and circumstances of this case. We do not suggest that all cases in which a prosecutor brings higher charges after a defendant has successfully sought a mistrial justify applying a presumption of vindictiveness. “[T]he Due Pi’ocess Clause is not offended by all possibilitiеs of increased punishment ... but only by those that pose a realistic likelihood of ‘vindictiveness’”
Goodwin,
Having found the presumption of vindictiveness is warranted we turn now to whether the State has overcome that presumption. The State reminds us that it has already made a record of its reasons for filing the higher charge and thus a new hearing on the matter is unnecessary. There is no definitive list of evidence which would rebut the presumption. At a minimum, the State must show objective, on-the-record evidence that it was not acting vindictively in substituting the higher charge.
7
Massey,
This argument is undermined by the rhetorical question: why, if the prosecutor had at hand all the evidence necessary to support the enhanced charge all along, was the increased charge not filed until after the mistrial? We also note that five days before trial Appellant requested a continuance of the trial setting. That request was opposed by the State and denied by the trial court. If the reason the prosecutor did not file the enhanced charge was because the case was “set” for trial, conceding the motion for continuance would have provided an opportunity to file the charge the prosecutor says was warranted all along. By opposing the motion the prosecutor signaled that he was ready to proceed to trial on the charges that were then filed. The State simply has not pointed to an objective on-the-record explanation as to why the prosecutor did not file this charge prior to the start of the trial.
See Patterson,
In Point I, Appellant also argues that the State is barred by double jeopardy from retrying him on the original charge, as well as the greater charge, citing
State v. Clover,
Double jeopardy attaches to a jury trial after a jury is empaneled and sworn.
Crist v. Bretz,
Because the facts of this case present a realistic likelihood of vindictiveness we are required to apply the presumption of vindictiveness, and find that under the circumstances before us the State has failed to rebut this presumption with objective evidence. Therefore we reluctantly reverse the judgment of the trial court. The case is remanded to the trial court for further proceedings not inconsistent with this opinion.
Notes
. All references to statutes are to RSMo (2000) unless otherwise indicated.
. Although under Section 558.011.1(2) a class B felony carries a range of five to fifteen years in prison, in Appellant’s case he was found to be a prior and persistent offender, which un
. As was the case in
Goodwin,
. We note that Indiana operates under a stricter version of the doctrine of the presumption of vindictive prosecution than does Missouri. In Missouri, the prosecutor may rebut the presumption of vindictiveness when it applies.
Patterson,
.
Gardner,
. There are numerous instances in which courts have found, no realistic likelihood of vindictiveness.
See Woods
v.
State,
. Objective evidence could include, among other things: the unavailability of a Grand Jury at the time of the original filing, prosecu-torial inexperience, the discovery of previously unknown evidence or legal impossibility.
Andrews,
