West v. StateWest v. State
delivered the opinion of the Court.
We are here called upon to explore a secluded but exotic corner of the double jeopardy garden — prosecutorial and judicial overreaching. In life, it is seldom seen except as an imagined possibility in the most painstakingly thorough of footnotes. As a contention, however, it is in luxuriant vogue and is being resorted to promiscuously. The antidote for the spell of the lotus blossoms is the sobering question, "Is the overreaching conduct that will bar a retrial, following a mistrial which circumstances have forced a defendant to request, limited to the deliberate derailment of a trial in progress or does it also embrace such other misconduct as the insinuating of error into the trial either (1) through gross negligence or (2) consciously, but with a design to win the trial rather than to abort it?” In a holding anticipated by this Court
1
and, in significant measure, by the Court of Appeals,
2
the Supreme Court in
Oregon
v.
Kennedy,
U.S. ,
The appellant, John Henry West, III, was convicted by a Prince George’s County jury, presided over by Judge Howard S. Chasanow, of first-degree rape. His most serious contention is:
1. That his retrial, following an earlier mistrial, unconstitutionally placed him twice in jeopardy.
The Blind Alley of Independent State Grounds
Faced unexpectedly at oral argument with the grim presence of Oregon v. Kennedy (then but two weeks old) and its almost certainly foreclosing effect, appellant’s counsel instinctively dodged by asking this Court to base its double jeopardy holding on independent state grounds, turning to the Maryland Declaration of Rights if the Fifth Amendment should fail to serve. As attractive as the state’s rights gambit might be on other occasions, it is, in the unusual context of double jeopardy law, doomed from the start.
Maryland, we need to remind ourselves periodically, has no constitutional bar against placing a defendant twice in jeopardy. As Chief Judge Bruñe pointed out in
Bennett v. State,
Under the common law approach, the very subject of retrials following mistrials is not an aspect of double jeopardy law at all. According to the traditional view, a defendant whose trial ends in a mistrial before the rendering of a verdict, has never been in jeopardy. There cannot be a second until there has been a first. In
Cornish v. State,
"The view in this state was that, under the common law’s double jeopardy prohibition, jeopardy did not attach until the rendition of a verdict and that, therefore, a retrial following the declaration of a mistrial did not give rise to a double jeopardy problem.”
See also Kyle v. State,
The Mistrial/Retrial Problem under Federal Constitutional Law
Under the federal version of double jeopardy law, by way of contrast, jeopardy is deemed to attach at the beginning of the trial rather than at its end. The necessity that pushed
As a result of those expanded contours, however, the broad umbrella known as double jeopardy (in its federal manifestation) today embraces four distinct subspecies: (1) classic former jeopardy, arising out of the common law pleas in bar of
autrefois convict
and
autrefois acquit;
(2) simultaneous jeopardy, involving largely issues of merger and multiple punishment; (3) the problem of the retrial following mistrial; and (4) collateral estoppel. For three of those four subspecies, the common law’s determination that jeopardy attached as the verdict was rendered did not need to be disturbed. A plea in bar of former acquittal or former conviction cannot be raised until there had been a verdict of acquittal or conviction; the very problems of multiple punishment and merger do not arise until there are multiple verdicts of conviction upon greater inclusive and lesser included offenses; collateral estoppel is predicated upon a jury finding of a particular fact. A declaration of mistrial, on the other hand, occurs before the jury has rendered its verdict. Once
Wade v. Hunter,
As a consequence of that earlier attachment, the appellant here was in jeopardy when he first came to trial on the present charges before Judge Chasanow and a jury on July 10, 1981. It was in the course of the testimony of the second State’s witness that the mistrial, requested by the appellant,
"Q. What did you do with Mr. Torney when you arrested Mr. West?
A. Mr. Torney was also brought back to the Criminal Investigation Division for a statement.
Q. Did you, in fact, have an interview with Mr. Torney, Mr. Mario Torney?
A. No, sir, I did not.
Q. Did another member of the police department have an interview with him?
A. Yes, sir.
Q. After taking this initial statement from Mr. West, what did you do?
A. I then left the room for a few minutes to find out that Mr. Torney had implicated Mr. West in the rape.” (Emphasis supplied).
It was as if the very courtroom had struck an iceberg. Cries of "abandon ship!” filled the air. The appellant moved for a mistrial. At a hastily convened conference at the bridge, Judge Chasanow gave the damage report. The impact, he observed, was "devastating” and "could not be repaired by a curative instruction.” Before lowering the boats, one piece of business remained. Judge Chasanow sent the jury from the room and questioned Corporal Sutter about the accident. The corporal explained that he did not know that Mario Torney would not be present to testify. The final log entry recorded:
"I am going to assume it’s negligence on Corporal Sutter’s part and not anything more than negligence. I am sure it is negligence at this juncture.”
The trial that was abandoned on July 10, 1981 was resumed, three days later, on July 13, again before Judge Chasanow and a jury. At the outset, the appellant sought to bar the retrial as prohibited double jeopardy. Judge Chasanow, who had of course been aboard for the events of July 10, made the following findings as he denied the motion:
"THE COURT: I don’t think that there was any prosecutorial overreaching. There was certainly no attempt to abort the trial, would be no reason for the officer or the State to in any way attempt to abort the trial at that stage. I am satisfied that it was just an error in the judgment on the part of, perhaps, not as intelligent or experienced a police officer as we would like to find. Again, I don’t think there was any deliberate overreaching. I am perfectly satisfied that it was not an attempt to gain an unfair advantage over the defendant, so for those reasons I am going to deny the motion.”
The appellant now challenges that ruling as unconstitutional. In rejecting the contention, we hold that Judge Chasanow’s assessment was eminently sound.
As we narrow the focus upon that limited quadrant of the larger double jeopardy field dealing with mistrial/retrial situations, we observe that those situations appear in two essential postures. The first is where the mistrial has been declared by the judge
sua sponte
or at the request of the State, either over the objection of the defendant or at least without the explicit acquiescence of the defendant. In those situations, the rule is that if there was a manifest necessity for the mistrial, retrial will not be barred; but if the trial was needlessly aborted, retrial will be barred.
United States v. Perez,
The other essential posture, and the one that is before us, is where the mistrial is declared at the request of the defendant. Ordinarily, a defense request for a mistrial is treated as a waiver of any double jeopardy claim.
United States v. Tateo,
In an effort to lay that ghost to rest with finality, we traced in
Tabbs v. State,
The
Oregon v. Kennedy
analysis looked to the interest of the defendant being protected in the mistrial/retrial setting. It showed how that interest historically was the right of the defendant to stay with the original tribunal that had begun to try his case until the sweet or bitter end. It pointed out how a deliberate sabotaging of the trial designed to goad the defendant into moving for a mistrial interfered with that
"Prosecutorial conduct that might be viewed as harassment or overreaching, even if sufficient to justify a mistrial on defendant’s motion, therefore, does not bar retrial absent intent on the part of the prosecutor to subvert the protections afforded by the Double Jeopardy Clause. A defendant’s motion for a mistrial constitutes 'a deliberate election on his part to forgo his valued right to have his guilt or innocence determined before the first trier of fact.’ United States v. Scott,437 U.S. 82 , 93 (1978). Where prosecutorial error even of a degree sufficient to warrant a mistrial has occurred, '[t]he important consideration, for purposes of the Double Jeopardy Clause, is that the defendant retain primary control over the course to be followed in the event of such error.’ United States v. Dinitz, supra, at 609. Only where the governmental conduct in question is intended to 'goad’ the defendant into moving for a mistrial may a defendant raise the bar of Double Jeopardy to a second trial after having succeeded in aborting the first on his own motion.” (Emphasis supplied).
What emerges is that we must look not to the error itself
"What is meant by the Bell Court’s use of 'intentional’ is 'overreaching,’ an act that 'contemplates a specific intent above and beyond the mere general intent.’ It is the specific intent to commit a foul, the deliberate 'hitting below the belt’ or the calculated 'personal foul’ performed with the thought in mind that the foul might well be detected for what it is. By borrowing from the game of football for an analogy, we liken that specific intent to force a mistrial to a defensive back’s wilful and deliberate interference with the offensive team’s down field pass receiver. The defense knows that by performing the illegal act that constitutes the foul, he will probably be caught and his team penalized. Nevertheless, the offender prefers to take the penalty rather than give up the touchdown that most likely would occur were the foul not committed.” (Emphasis in original).
What is encompassed by intentional misconduct, therefore, is not the mere general intent to do the act but, additionally, the special intent to attain some specific end thereby. There are a number of special intents that might attend the same general intent:
General Intent: To do the trial act that turns out to be error:
Special Intents: 1. thinking it to be correct;
2. not thinking about whether it is error or not (perhaps lawyerly negligence);
3. being cavalierly indifferent to error under circumstances where one would reasonably be expected to know that there is probably error (perhaps gross negligence);
4. knowing it to be error, but hoping to get away with it, thereby clinching a probable winner (deliberate "overkill” in a case the prosecutor has no desire to abort);
5. knowing it to be error, but desiring to "sabotage” a probable loser either 1) by snatching an unexpected victory from probable defeat if not caught, or 2) by getting caught, thereby provoking the mistrial, averting the probable acquittal and living to fight again another day. (A calculated sabotaging of a perceived "lost cause” in either event; an indifference to whether he is caught or not).
It is only the fifth of these special intents that will qualify under
Oregon v. Kennedy
to bar a retrial. It is not enough that the prosecutor has smuggled prejudicial contraband aboard the train hoping it will reach its destination; it is
A defendant may well ask what difference it makes to him why the error was committed, since he suffers all the same. The answer is that from the parochial viewpoint of the defendant, it may make very little difference; but the defendant is not the only factor in the equation. Even from the vantage point of the defendant, moreover, there are several valuable but quite distinct interests at stake. The foremost is the
This difference in interests and the resultant difference in the ways our constitutional law guards these interests is admittedly an elusive concept; it is, however, one that bench and bar must master to forestall needless and endless litigation in this profligately overused corner of the field. There remain, of course, other lesser forms of prosecutorial misconduct: (1) the innocent mistake, (2) the mistake attributable to mere negligence and (3) the mistake attributable to gross negligence. Even at the extreme end of the reprehensibility spectrum, however, where the prosecutor has committed the deliberate foul, there is still this pivotal distinction between (1) seeking to win the game unfairly and (2), knowing the game is going awry, deliberately causing it to be cancelled and rescheduled. If the prosecutor wins the game unfairly, we make him replay it. When the prosecutor deliberately causes the game to be cancelled unfairly, we do not permit him to reschedule it. This distinction is what the Supreme Court sought to communicate, as it concluded its discussion in
Oregon v. Kennedy,
at
"[W]e do hold that the circumstances under whichsuch a defendant may invoke the bar of double jeopardy in a second effort to try him are limited to those cases in which the conduct giving rise to the successful motion for a mistrial was intended to provoke the defendant into moving for a mistrial.”
The error that caused the defendant to seek and obtain the mistrial in the case now before us did not remotely approach these outer limits of nefarious purpose. Indeed, the situation appears to have been one where the prosecutor was not at fault at all, but where the error was tossed into the hopper by a recklessly assertive witness. Judge Chasanow found that even as to that witness, the volunteering of the prejudicial hearsay was an enthusiastic blurt. Even if it had been otherwise, it would not have been attributable to the prosecutor. Whoever’s mistake it was, moreover, there were no signs even mildly suggesting that the State sought to goad or provoke the appellant into moving for the mistrial. It was only evenhanded justice, therefore, to go forward with the retrial.
The Other Contentions
We are underwhelmed by the appellant’s remaining contentions. They are:
2. That it was prejudicial error to admit into evidence a replica of a .45 caliber pistol without the establishment of a proper chain of custody;
3. That his entire confession, as opposed to limited parts of it, was erroneously received in evidence; and
4. That the trial judge erroneously failed to dismiss the indictment which allegedly lacked the particularity required by Maryland Rule 711a.
The appellant complains that a proper chain of custody was not established with respect to the replica of a .45 caliber gun. A Prince George’s County detective testified to recovering the replica from the appellant’s apartment. The
The appellant also complains that his entire confession, including his statement about the theft of the weapon, should not have been received in evidence, as opposed to excised parts of that statement. Without belaboring it, we agree with Judge Chasanow that in his cross-examination of State’s witness Pierre Torney, appellant’s counsel opened the subject up and made the remaining portions of the statement, which had not theretofore been introduced, relevant and probative.
Piesner v. State,
The appellant’s final contention is that the indictment did not describe the rape "as particularly as possible [in terms of] the time and place of the offense.”
Bonds v. State,
Judgment affirmed; costs to be paid by appellant.
Notes
. Judge Lowe accurately called the shot in Bell v. State,
. Bell v. State,
. The other four are Massachusetts, Connecticut, Vermont and North Carolina.
. United States v. Beasley,
. Commonwealth v. Bolden,