Court Opinion

ID: 9756709
Source: CourtListenerOpinion
Date Created: 2023-08-28 21:49:01.362236+00
Date Added: 2024-06-11T07:28:28.495217
License: Public Domain

RUIZ, Associate Judge,
dissenting:
Although I agree with the court that appellant did not satisfy Cuyler’s test by establishing an adverse effect from his counsel’s conflict, I would hold that the Double Jeopardy Clause bars a retrial because the mistrial in this case cannot be said to have been appellant’s choice.
“[T]he important consideration, for purposes of the Double Jeopardy Clause, is *780that the defendant retain primary control over the course to be followed....” United States v. Dinitz, 424 U.S. 600, 609, 96 S.Ct. 1075, 47 L.Ed.2d 267 (1976) (emphasis added). This is essential because unless a defendant has chosen to waive his “valued right to have his trial completed by a particular tribunal,” Wade v. Hunter, 336 U.S. 684, 689, 69 S.Ct. 834, 93 L.Ed. 974 (1949), by requesting or agreeing to a mistrial, double jeopardy protection precludes reprosecution unless the trial court terminates a trial for manifest necessity.1 See United States v. Perez, 22 U.S. (9 Wheat) 579, 579-80, 6 L.Ed. 165 (1824) (cited in Vega v. United States, 709 A.2d 1168, 1171 (D.C.1998)). The issue this case presents is whether appellant consented to a mistrial so as to waive the double jeopardy bar. In addressing that question, the Supreme Court has drawn a distinction between a situation where a defendant is presented with a “Hobson’s choice” between continuing to verdict before a tainted jury and a retrial, Oregon v. Kennedy, 456 U.S. 667, 670, 102 S.Ct. 2083, 72 L.Ed.2d 416 (1982), — a choice that, no matter how unpalatable, remains to be made by the defendant — and, as in the goading cases, where the defendant’s “choice” of mistrial was not a choice at all but a “hollow shell.” Id. at 673, 102 S.Ct. 2083.
As appellant argues, to waive double jeopardy protection, a defendant’s consent “must be genuine.” See Douglas v. United States, 488 A.2d 121, 129 n. 3 (D.C.1985). The operative inquiry is whether, in Din-itz’s words, the defendant retained “primary control” over the mistrial option, and exercised a measure of “choice” as emphasized in Kennedy.2 Both are vitiated where a defendant is told by the judge that continuing to verdict will surely result in conviction. In such a case, the judge effectively nullifies the defendant’s “valued right” of continuing to verdict that is protected by the Double Jeopardy Clause, leaving him with a “hollow choice” of mistrial. See Randall v. Rothwax, 78 N.Y.2d 494, 577 N.Y.S.2d 211, 583 N.E.2d 924, 927 (1991) (holding reprosecution barred by the Double Jeopardy Clause where trial judge advised defendant that jury was leaning to convict, 10-2, because trial judge “eliminated the defendant’s] fundamental right to have [his] trial completed by the[ ] particular tribunal]” by “completely depriving] defendant of the option to take his chances with the particular jury”).
The question in this case, therefore, is whether the trial judge’s actions were such that it fairly can be said that Lee-Thomas was deprived of primary control over the mistrial decision that the Supreme Court has said is key to safeguarding a criminal defendant’s right against double jeopardy. In my view, the record admits of no other conclusion. The trial judge told appellant in no uncertain terms that “a conviction [was] coming” and that the trial should come to an end.3 This opinion, said the judge, was based on “sitting on ... the *781felony two calendar for seven years” and that he “can recognize when ineffective assistance is being perpetrated by an attorney in [his] presence.” Specifically, the trial judge expressed concern that “an effective defense had not been presented.”4 There was a brief respite, after defense counsel and the government disagreed with the judge’s assessment of counsel’s performance — though not necessarily with the judge’s predicted verdict — when the trial judge expressed a willingness to continue with the trial and gave the defendant an opportunity to consult overnight with his family and counsel (the same one whom the judge said was deficient) to consider the matter, and stated that he “st[ood] ready to be swayed in the other direction.” But the judge at no time retracted his statement about defense counsel’s deficient performance or waver in his prediction of the guilty verdict he was sure “was coming.” Indeed, rather than indicate that he had been “swayed” he reiterated his strong views the next day.5 Not surprisingly, when appellant told the judge that he wanted to retain a different lawyer at a new trial, he explained that he was doing so based on what the trial judge had said to him the previous day (“I was thinking about the matters [the trial judge] brought up....”).
The record shows beyond peradventure that the trial judge acted in this case with the best of intentions, for the purpose of protecting appellant’s rights. That benign motive does not, however, eliminate the impact on appellant of the judge’s emphatic dire prediction of the trial’s outcome for appellant. To the contrary, a trial judge is normally viewed by litigants as authoritative on matters of law and would seem even more so in the context of a trial over which the judge has been presiding.6 As in Randall, the negative comments about counsel’s performance and prediction of an impending guilty verdict came “bolstered by the full weight and authority of the court,” 577 N.Y.S.2d 211, 583 N.E.2d at 926, and “so thoroughly permeated defendant’s assessment of his chance for resolution from that jury that he was left bereft of his constitutionally protected option.” Id. at 927. Even if one assumes that the 17-year-old defendant was counseled by his family and attorney during the recess, by conveying concern for the rights of a young man facing offenses that are “huge, violent offenses, where if a conviction is *782obtained [appellant] faces a significant amount of prison time in each of those offenses,” the judge’s view is likely to have gained influence with the defendant and cannot but have overshadowed any countervailing advice.7 This would be particularly so where the judge repeatedly questioned counsel’s performance in defendant’s presence, undermining, as defense counsel himself recognized,8 the defendant’s confidence in his attorney. The trial judge was unequivocal and forcefully expressed his view that appellant would suffer greatly from his counsel’s ineffectiveness if the case were allowed to go to verdict. Therefore, on this record, I can only conclude that appellant did not have primary control of the decision and, as such, mistrial was not the result of a choice that should be freighted with waiving the protection of the Double Jeopardy Clause.9 For this reason, I dissent.

. The parties agree there was no manifest necessity in this case.

. This is not to be confused with requiring that a defendant must knowingly, intelligently and voluntarily waive the right to continue to verdict with the first jury in the context of a Sixth Amendment violation. See opinion for the court ante at n. 6; concurring opinion ante at 779. An uncounseled or ill-counseled lay decision might be unwise, but it can still be said to be the decision of the defendant and it will be given effect, for Double Jeopardy purposes, “as long as the defendant is offered the choice of continuing.” Sundel v. Justices of Superior Court of R.I., 728 F.2d 40, 42 (1st Cir.1984) (emphasis added).

.The judge said "judging from my reaction, from the jury’s reaction from what I have observed, there is a conviction coming, and I believe he’s going to be convicted on all counts and I want to stop that.”

. The judge pointed to what he perceived were deficiencies in the cross-examination of the government’s expert concerning the bullet’s trajectory and in the direct examination of appellant's stepfather, which were intended to corroborate appellant’s testimony that he acted in self-defense.

. After appellant stated he wanted to retain another lawyer and said he thought there were issues that "can be brought out in the next trial," the judge said he ”agree[d] with [appellant] that he needs another attorney,” and suggested he might have declared a mistrial sua sponte, saying, "I don’t do that [declare a mistrial due to ineffectiveness] lightly. I, for the record for whatever it's worth, in fact, in the 13 years that I have been on the bench I have only done it one other time when the court was sitting as the trier of fact and so it’s a question that the judge presiding over a trial, a trial of importance such as this one where the offenses are huge, violent offenses, where if a conviction is obtained Mr. Gary Lee Thomas faces a significant amount of prison time in each of those offenses, so the court has the concern and the court would have to make its decision sua sponte, meaning on its own. I don’t have to wait for someone to tell me.”

.The trial judge observed that, “I have presided over the trial for the last week and a half to two weeks and I just need to put on the record my concern ... quite frankly, I have not been satisfied with the effectiveness of [defense counsel] in the case and I think that Gary Lee Thomas’ rights have to be preserved.”

. The trial judge emphasized that he was acting based on "an obligation to the defense to ensure that a defendant who appears in this courtroom and decides to have his day in court and go to trial that he gets effective representation.”

. Defense counsel expressed his concern that "given the court’s statement” that he had been ineffective in presenting a defense, he might no longer have his "client's confidence.”

.The case is thus properly viewed as one where the judge declares a mistrial sua sponte. As noted, the government agrees with appellant that there was no manifest necessity for a mistrial at the judge's instance in this case.