Lead Opinion
Ronald Dean Stevens (Stevens) was tried before the Ada County Magistrate Division of the 4th Judicial District on the misdemeanor offense of Driving While Under the Influence of Alcohol in violation of I.C. § 18-8004. After a jury was empaneled and sworn to try the case, the magistrate declared a mistrial and dismissed the action. The state appealed this decision to the district court. The district court ruled that the magistrate had abused his discretion in declaring a mistrial and dismissing the case and remanded the case back to the magistrate’s court for trial. Stevens has appealed, presenting four issues: (1) whether evidence of a percentage likelihood of intoxication based solely upon a horizontal gaze nystagmus (HGN) test is admissible; (2) whether the introduction of this evidence warranted the declaration of a mistrial; (3) whether the knowing introduction of this evidence by the prosecution constituted prosecutorial misconduct warranting a dismissal of the case with prejudice; and (4) whether the dismissal of charges after jeopardy has attached prevents retrial based on statutory, rule based or constitutional prohibitions against double jeopardy. The first three of these enumerated issues will be considered together since they are logically combined in the issue whether there was prosecutorial misconduct which warranted the granting of a mistrial and dismissal of the case. For the reasons that follow we rule (1) that the introduction of this evidence by the prosecution did not constitute prosecutorial misconduct warranting the court’s sua sponte declaration of a mistrial and dismissal of the case; and (2) that the dismissal of charges after jeopardy had attached prevents retrial under constitutional prohibitions against double jeopardy.
I.
STANDARD OF REVIEW
On an appeal from a decision of a magistrate following an appeal to a district judge sitting as an appellate court, the record is reviewed with due regard for, but independently from, the district court’s decision. See State v. Kenner,
II.
MATERIAL FACTS
On August 6,1992, Stevens was stopped by Deputy Patrick Calley of the Ada County Sheriffs Office for driving at a speed of 60 m.p.h. in a 30 m.p.h. zone. In the course of that investigation Stevens performed field sobriety tests and a horizontal gaze nystagmus (HGN) test was administered to him by Deputy Steve Russell. On the basis of his performance of these tests, Stevens was then arrested for the misdemeanor offense of Driving While Under the Influence of Alcohol in alleged violation of I.C. § 18-8004. Stevens was then administered two Intoximeter 3000 breath tests. Each of the two samples of the defendant’s breath yielded a result of .11.
A jury trial was commenced on January 12, 1993 before the Honorable Thomas R. Morden. A jury was duly empaneled and sworn. The state then commenced submitting evidence to prove the allegations set forth in its complaint against the defendant.
During the testimony of the first witness, Deputy Calley, defense counsel made a motion for a mistrial and/or a dismissal of this action. (According to Appellant’s Reply Brief, at p. 10, this motion was based upon the perception of the defendant that the state’s first witness had committed perjury.) The magistrate denied this motion.
During the course of the state’s examination of Deputy Steve Russell, the state solicited testimony from him concerning his administration of the HGN test to Mr. Stevens on the date of his arrest. Officer Russell testified that Mr. Stevens demonstrated a nystagmus upon his administration of the test. The record then discloses the following colloquy between the prosecutor and Russell:
*824 Q. What did that indicate to you? That test standing on its own?
A. That test standing on its own, that indicated to me that he had a 77 percent chance, with the statistics by the National Traffic Safety Institute, that h — -just that test alone had a 77 percent chance of him being under the influence of alcohol.
Q. Now, where do you base this on? Is this based on your research and your work in this field?
A. Yes, it is.
Q. And based on that test alone, would you have arrested him for DUI? If there were no other field sobriety tests?
A. If I had no other tests, I — all—I conclude all my tests when I do it — that test alone, yes, I would have arrested him for DUI.
Q. Why is that?
A. It’s because of the research done at the National Traffic Safety Institute on the field sobriety tests.
Q. Okay. In your work with — you have all kinds of field sobriety tests. Which is the most reliable indicator to you that an individual is under the influence?
MR. WEIGT [defense counsel]: Objection, Your Honor. I think that’s speculative. Most reliable? What’s he going to base that on?
The magistrate reacted to this objection of defense counsel by removing the jury from the courtroom and questioning the prosecutor as to his belief concerning the admissibility of this evidence. The prosecutor maintained that the evidence was admissible but the magistrate disagreed stating that the state’s witness could only “testify as to whether or not the person failed or passed the test”; that the testimony of the witness that there was a “77 percent chance that this guy is under the influence because of (the defendant’s failure to pass) the horizontal gaze nystagmus test” was “totally inadmissible”, “totally prejudicial”, and that “it should not have been gotten into.” The magistrate then, sua sponte, declared a mistrial. Following the mistrial declaration, the prosecutor stated that he would retry the ease. The court responded by stating that he would not permit a retrial because of “prosecutorial misconduct” and dismissed the case sua sponte. It is clear from the record that the evidence the magistrate found objectionable and prejudicial was the officer’s testimony that the results of the HGN test administered to Stevens, coupled with statistics by the National Traffic Safety Institute, established that there was a 77 percent chance of the defendant being under the influence of alcohol. The record is clear that there was no objection by the defendant to the prosecutor’s question that elicited this testimony and there was no objection or motion to strike the officer’s testimony or conclusions concerning National Traffic Safety Institute statistics.
III.
THE INTRODUCTION OF THIS EVIDENCE BY THE PROSECUTION DID NOT CONSTITUTE PROSECU-TORIAL MISCONDUCT WARRANTING A DISMISSAL OF THE CASE WITH PREJUDICE.
A. EVIDENCE OF A PERCENTAGE LIKELIHOOD OF INTOXICATION BASED SOLELY UPON A HORIZONTAL GAZE NYSTAGMUS (HGN) TEST WAS ADMISSIBLE FOR THE NARROW REASON THAT THE DEFENDANT NEITHER OBJECTED NOR MOVED TO STRIKE THIS EVIDENCE.
The general rule in Idaho is that an appellate court will not consider an alleged error on appeal in the absence of a timely objection to that alleged error at trial. State v. Gish,
B. THE INTRODUCTION OF THIS EVIDENCE DID NOT WARRANT THE DECLARATION OF A MISTRIAL.
The question that arises under these facts is whether Stevens can claim on appeal that
In State v. Garrett,
It must be noted that Stevens had not only performed other field sobriety tests, there was also the chemical analysis of his breath in two Intoximeter 3000 breath tests which evidenced a concentration of alcohol in his system above the legal limit set forth in I.C. § 18-8004. It follows that the admission of the officer’s testimony could not reasonably be considered as “conduct calculated to inflame the minds of the jurors and arouse prejudice or passion against the accused” under the Spencer rule cited supra. Under the most adverse interpretation of the facts before the court, it was harmless error under the rule enunciated in Garrett, cited supra.
HGN test evidence was considered again by this Court in State v. Gleason,
The record does not reflect any reason for the trial court to conclude that the prosecutor. was intentionally presenting evidence that was improper under Garrett or Gleason; or, that it was presented for the purpose of inflaming the minds of the jurors and arousing prejudice or passion against the accused in violation of the Spencer rule, cited supra.
It follows that the introduction of this evidence did not warrant the declaration of a mistrial by the magistrate.
C. THE INTRODUCTION OF THIS EVIDENCE BY THE PROSECUTION DID NOT CONSTITUTE PROSECUTORIAL MISCONDUCT WARRANTING A DISMISSAL OF THE CASE WITH PREJUDICE.
The reasoning that is set forth at III B supra supporting the conclusion that the introduction of the evidence that the magistrate found objectionable did not warrant the declaration of a mistrial by the magistrate also establishes that there was no basis for the magistrate to enter a dismissal of this case.
IV.
THE MAGISTRATE’S DECLARATION OF MISTRIAL AFTER JEOPARDY HAD ATTACHED PREVENTS RETRIAL UNDER CONSTITUTIONAL PROHIBITIONS AGAINST DOUBLE JEOPARDY.
A. JEOPARDY HAD ATTACHED IN THIS CASE BECAUSE A JURY HAD BEEN SWORN TO TRY THE CASE.
It is clear under state and federal law that jeopardy had attached in this ease be
B. STATEMENT OF GENERAL RULES MATERIAL TO ISSUE OF WHETHER THE TRIAL COURT’S SUA SPONTE DECLARATION OF A MISTRIAL BARS RETRIAL UNDER CONSTITUTIONAL PROHIBITIONS AGAINST DOUBLE JEOPARDY.
An ALR annotation by John E. Theuman, entitled Former Jeopardy as Bar to Retrial of Criminal Defendant After Original Court’s Sua Sponte Declaration of a Mistrial — State Cases,
It is a basic principle of American constitutional law, as it was of the English common law, that no person may be twice placed in jeopardy — that is, put on trial with the possibility of conviction and punishment — for the same criminal offense. Under the early common law, this meant that a criminal trial could not be terminated prior to the verdict for any reason without in effect acquitting and discharging the defendant, since any attempt to recommence the prosecution would be barred as double jeopardy. However, modern rules, recognizing that circumstances may arise in the course of a trial which make it impossible to continue the proceedings without serious prejudice to either or both parties, allow the judge to declare a mistrial in a proper case, at the request of the defense or prosecution or on-his or her own motion, without prejudice to the right of the prosecution to seek a new trial.
The basic rule is that criminal actions may be terminated by a mistrial without double jeopardy consequences'if there is a sufficiently compelling reason to do so, some procedural error or other problem obstructing a full and fair adjudication of the case which is serious enough to outweigh the interest of the defendant in obtaining a final resolution of the charges against him — what is commonly termed a “manifest necessity” or “legal necessity.” The courts have generally declined to lay out any bright-line rule as to what constitutes “manifest necessity,” but have based their decisions on the facts of each case, looking to such factors as whether the problem could be adequately resolved by any less drastic alternative action; whether it would necessarily have led to a reversal on appeal if the trial had continued and the defendant had been convicted; whether it reflected bad faith or oppressive conduct on the part of the prosecution; whether or not it had been declared in the interest of the defendant; and whether and to what extent the defendant would be prejudiced by a second trial. Since the trial judge is ordinarily in the best position to observe the circumstances which allegedly call for a mistrial, his or her judgment as to the necessity for a mistrial is commonly deferred to; but that judgment may be set aside if the reviewing court finds that the judge has abused this discretionary power, particularly where it appears that the judge has not “scrupulously” exercised his or her discretion by making a full inquiry into all the pertinent circumstances and deliberately considering the options available.____ (Emphasis added.)
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Aside from “manifest necessity,” there are a few other situations in which a mistrial may be declared without giving the defendant a double jeopardy defense against further prosecution. Just as a defendant may not complain of a mistrial which was declared on his or her own motion, so too any double jeopardy defense to retrial will be deemed waived if the defendant consents to the trial court’s sua sponte declaration of a mistrial, either expressly or by clear implication, although a mere failure to specifically object to a mistrial, or a prior motion for mistrial on*827 other grounds, will not be considered as a consent to the judge’s action, ...
C.THE TRIAL JUDGE DID NOT MAKE A FULL INQUIRY INTO ALL THE CIRCUMSTANCES NOR DELIBERATELY CONSIDER ALTERNATIVES TO DECLARING A MISTRIAL.
It was the magistrate’s duty to obtain sufficient information to enable it to consider alternatives to a mistrial. See State v. Nab,
In Jom, cited supra, the court stressed the defendant’s significant interest in the decision whether or not to take the case from the jury when circumstances occur which might be thought to warrant a declaration of a mistrial.
As stated on page 11 of Appellant’s Reply Brief, “Clearly what is present in this case ... is the classic ‘overbearing judge’ case referenced in Jom ... Rather the court sua sponte and without defense input or opportunity to deliberate and object declared a mistrial, dismissed the case and discharged the jury.”'
D. THE RECORD DOES NOT DISCLOSE ANY “MANIFEST NECESSITY” FOR THE MAGISTRATE TO DECLARE A MISTRIAL AND DISMISS THIS ACTION.
The facts, reasoning and conclusions that are set forth at II, III A, B, and C, supra, support the further conclusion that there was no manifest necessity for the magistrate to declare a mistrial and enter a dismissal of this case.
E. THERE HAS BEEN NO SHOWING BY THE STATE THAT THE DEFENDANT AND/OR HIS COUNSEL WAIVED ANY DOUBLE JEOPARDY DEFENSE BY EXPRESSLY OR BY CLEAR IMPLICATION CONSENTING TO THE MAGISTRATE’S SUA SPONTE DECLARATION OF A MISTRIAL AND DISMISSAL OF THIS ACTION.
The state argues that the defendant consented to a mistrial by (1) failing to object to the court’s mistrial declaration; and (2) by making a prior unrelated motion for mistrial. The general rule, was indicated in the previously quoted annotation at 40 AL.RAth at 747, as follows:
*828 [A] mere failure to specifically object to the mistrial, or a prior motion for a mistrial on other grounds, will not be considered as a consent to the judge’s action...” This rule is followed in Idaho.
In State v. Werneth,
While something more than mere silence on the defendant’s part must be shown to establish his consent to being placed in double jeopardy, the consent need not be express; rather it may be implied from a totality of circumstances.
Stressing the view that consent to be placed in double jeopardy will not be lightly presumed, the court in Curry v. Superior Court,
The Werneth court then went on to affirm the result reached by the trial court on the ground that the two statutory offenses with which Werneth was charged did not constitute the same offense for double jeopardy purposes.
In State v. Alanis,
This general rule is also supported by federal law.
In United States v. Jorn, supra, the trial judge declared a mistrial and discharged the jury on his own motion to enable government witnesses to consult with their own attorneys. The case was set for trial before another jury, but dismissed on the defendant’s
This Court is not persuaded by the authorities cited by the state in support of its contention that Stevens, either individually or through his attorney, consented to placing himself in double jeopardy. The state’s reliance upon United States v. Buljubasic,
A failure to object coupled with a waiver of the speedy trial and agreeing to a second trial date was sufficient to support the defendant’s implied consent to the court’s declaration of a mistrial where the record provided adequate justification for the trial court’s ruling in Camden v. Circuit Court,
In State v. Tolliver,
In People ex rel. Mosley v. Carey,
In State v. Knight,
Now he cannot show that any of these elements happened in Knox County, Tennessee. We say the State hasn’t got a case in Blount or Knox County as a result of this indictment ...
Defense counsel: Your Honor, we are insistent that the Court enter a judgment of acquittal.
Court: I am not going to enter a judgment of acquittal. I am going to dismiss the case on the fact that the state is in the wrong county.
Defense counsel: The defendant excepts to the Court’s ruling, not as to the venue question, but as to the indictment. (Emphasis added.)
Id. On appeal it was held that the defendant’s failure to object to the court’s declaration of mistrial under these circumstances
The court declared a mistrial because of serious prejudicial error by the Government in United States v. DiPietro,
All of these eases are distinguishable from the facts in this case. In each ease there are facts which establish some affirmative conduct on the part of the defendant or his attorney from which consent can be implied. Furthermore, there was adequate justification for the court’s declaration of a mistrial in many of these cases.
Here, there was no manifest necessity for the sua sponte declaration of a mistrial and dismissal of the case by the trial judge. There was no connection between the defendant’s earlier motion for dismissal and the trial court’s declaration of a mistrial and dismissal of the action. There are no facts establishing affirmative conduct on the part of the defendant or his attorney from which consent to mistrial may be implied. The court made no inquiry into all the pertinent circumstances so that a deliberate consideration of the available options could be made with the participation of counsel. Counsel had no meaningful opportunity to be heard. There was no showing of bad faith or oppressive conduct on the part of the prosecutor.
V.
CONCLUSION
In summary, the record before this Court does not support the conclusion that Stevens and/or his attorney expressly or impliedly waived his right to be tried by the then existing tribunal by some affirmative action which clearly evidenced his consent to being retried before another tribunal. Therefore, the trial court’s declaration of a mistrial and dismissal of the DUI charges against the defendant after jeopardy had attached prevents retrial based on the federal and Idaho constitutional prohibitions against double jeopardy.
The foregoing ruling is dispositive of all remaining issues in this case. Therefore no further discussion is required.
The district court’s finding that the trial court abused its discretion in declaring a mistrial and dismissing this action is hereby affirmed." That portion of the district court’s decision which directs a retrial in the magistrate’s court is hereby reversed because a further trial would constitute double jeopardy barred under federal and state constitutional law.
Concurrence Opinion
specially concurring:
My special concurrence is addressed to the Court’s decision of the double jeopardy issue.
The Court’s opinion states, quoting the appellant’s reply brief, that the facts presented here amount to the same classic case of the “overbearing” judge as presented in United States v. Jorn,
*831 “It is apparent from the record that no consideration was given to the possibility of a trial continuance; indeed, the trial judge acted so abruptly in discharging the jury that, had the prosecutor been disposed to suggest a continuance, or the defendant to object to the discharge of the jury, there would have been no opportunity to do so.”
The record here, however, does not support the Court’s characterization of the magistrate judge as overbearing. The magistrate engaged in a colloquy, outside the presence of the jury, with the prosecutor and defense counsel over defense counsel’s objection as to the “speculative” nature of the testimony regarding the relative reliability of certain field sobriety tests. After listening to the basis for defense counsel’s objection, the judge queried the prosecutor regarding the legal basis for the proffered testimony, and discussed appellate precedents. The magistrate then stated his intention to grant a mistrial, and after further colloquy from the prosecutor as to the trial testimony, as well as questions from the prosecutor about the court’s proposed course of action and the legal basis for it, the magistrate stated he was granting the mistrial due to prosecutorial misconduct. The prosecutor registered the state’s exception to the mistrial. This record stands in contrast to Jorn, supra, where neither counsel had the opportunity to comment on or object to the judge’s discharge of the jury.
Moreover, the Court does not need to reach the “overbearing” judge issue in order to reach the conclusion that the defendant did not consent to the mistrial. State v. Werneth,
I agree with the Court’s conclusion that there has been no showing by the state of express or clear implication of consent. The state here bears the burden on the issue of consent, and given that burden I agree that no consent has been shown.
