Court Opinion

ID: 9765404
Source: CourtListenerOpinion
Date Created: 2023-08-29 04:01:54.380172+00
Date Added: 2024-06-11T07:30:09.612860
License: Public Domain

ELDRIDGE, Judge,
dissenting:
More than two hundred and sixty years ago William Hawkins, citing earlier authority, repeated the settled common law rule that an accused “ought not to be brought to the Bar in a contumelious Manner; as with his Hands tied together, or any other Mark of Ignominy and Reproach; *165nor even with Fetters on his feet, unless there be some Danger of a Rescous or Escape.” 2 Hawkins, Pleas of the Crown 308 (1716, 1721).1 Just one month ago, the Supreme Court of the United States unanimously reiterated that, under the Due Process Clause of the Fourteenth Amendment, “shackling” is “the sort of inherently prejudicial practice that ... should be permitted only where justified by an essential state interest specific to each trial.” Holbrook v. Flynn, — U.S. —, 106 S.Ct. 1340, 1346, 89 L.Ed.2d 525 (1986).
The majority today sanctions the shackling of defendant, at a capital sentencing trial before a jury, based upon little more than the desire of a local sheriff’s office. The Court’s affirmance of the defendant’s death sentence under these circumstances cannot, in my view, be squared with the above-quoted common law and constitutional principles or with the very cases cited in the majority opinion.
The principal ground for the majority’s decision is its conclusion that the determination of whether to shackle a defendant lies within the trial judge’s discretion, and that there was no abuse of discretion in this case. The majority points to institutional difficulty with Bowers, all of which had taken place before his earlier trial when he was convicted of murder, and to the fact that Bowers had already been found guilty of the murder. The chief problem with the majority’s reasoning is that the trial judge utterly failed to exercise discretion. Furthermore, there was no factual basis shown for the decision to shackle Bowers.
The trial judge, who ordered Bowers to stand trial in fetters before the sentencing jury, was the same judge who had previously conducted the trial at which Bowers was convicted. Thus he was familiar with Bowers’s courtroom deportment. No shackles were required at the earlier trial. *166The judge at that time had knowledge of Bowers’s behavior in prison. The only difference between the earlier trial and this trial is that the judge also had before him a memorandum from the sheriff’s office which recommended leg irons and stated that Bowers was considered an “escape risk” due to his convictions and his prison record. The judge acknowledged the contention of Bowers’s counsel that Bowers had been cooperative and had committed no acts indicating a security risk. Despite the lack of fresh signs that Bowers would turn violent in the courtroom, the judge ruled as follows:
“I conclude that there is some basis for the concern of the Sheriff’s Office, and even though maybe given the same set of facts and circumstances I might reach a different conclusion, nevertheless these individuals are charged with courtroom security, and I am not saying I would have made a different decision on the issue, but I am just saying it may be that given all the facts and circumstances I might have made a different decision.
“Nevertheless, I don’t feel that I ought to second guess the individuals charged with security where there has been some prior indication of difficulty involving the Defendant.
•jt * * * * *
“I conclude, based on everything that has been presented to me, that the Sheriffs Office is not being unreasonable or arbitrary in their decision in this instance, and for that reason I feel that I should not countermand their direction to the court security people. So that motion is denied.” (Emphasis added).
This ruling, instead of being an exercise of the trial judge’s discretion, was simply a determination that the sheriff’s office was “not being unreasonable or arbitrary” and an abdication of responsibility to that office. The judge expressly stated that he should not “second guess the individuals charged with security.” He acknowledged that under “the same facts and circumstances I might reach a *167different conclusion.” It defies logic to view the trial judge’s action here as an exercise of the judge’s discretion.
The cases, including many cited by the majority, make it clear that a trial judge may not delegate this discretion to court security personnel. As Judge Harrison Winter put it for the United States Court of Appeals for the Fourth Circuit in United States v. Samuel, 431 F.2d 610, 615 (4th Cir.1970), cert. denied, 401 U.S. 946, 91 S.Ct. 964, 28 L.Ed.2d 229 (1971):
“As a discretionary matter, the district judge’s decision with regard to measure for security is subject to limited review to determine if it was abused. We stress that the discretion is that of the district judge. He may not, as is suggested at one part in the record before us, delegate that discretion to the Marshal. Of course, he should consult with the Marshal when other than ordinary security such as the general presence of guards in the courtroom is contemplated, and he may rely heavily on the Marshal’s advice as to what may be required since it is the Marshal who has the experience in the keeping of prisoners and who must provide the guards and bear the major responsibility if untoward incidents occur.” (Emphasis added).
To the same effect is Woodards v. Cardwell, 430 F.2d 978 (6th Cir.1970), cert. denied, 401 U.S. 911, 91 S.Ct. 874, 27 L.Ed.2d 809 (1971). There the trial judge abdicated his discretion entirely, saying, “It is up to the Sheriff.” 430 F.2d at 981. The United States Court of Appeals for the Sixth Circuit held that this ruling constituted a denial of due process. Id. at 980-982. See, State v. Moen, 94 Idaho 477, 491 P.2d 858, 860 (1971) (“Although the sheriff has some initial responsibility for determining whether an accused should be handcuffed during a jury trial, the trial judge must ... decide the question for himself.”); State v. Evans, 169 N.W.2d 200, 210 (Iowa 1969) (judge’s deference to sheriff held improper); Commonwealth v. Brown, 364 Mass. 471, 475, 305 N.E.2d 830, 834 (1973) (the judge “may attach significance to the report and recommendation of ... *168[the sheriff], but he may not pass his responsibility to that official”); State v. Roberts, 86 N.J.Super. 159, 206 A.2d 200 (1965) (judge preferred not to shackle, but “they [sheriffs] asked for it and I had to do it,” and the conviction was reversed); People v. Mendola, 2 N.Y.2d 270, 159 N.Y.S.2d 473, 140 N.E.2d 353, 356 (1957) (“... while the Sheriff ... has the initial responsibility of determining whether an accused should be handcuffed during a trial, the trial judge must ... decide the question for himself”); State v. Carter, 53 Ohio App.2d 125, 372 N.E.2d 622, 628 (1977) (“In erroneously concluding that the responsibility for the shackles was that of the sheriff and not the court, it is apparent the court did not exercise any discretion upon the issue,” thus requiring the judgment to be reversed); Sparkman v. State, 27 Wis.2d 92, 133 N.W.2d 776, 779 (1965) (“It is for the trial court rather than the police to determine whether such caution is necessary to prevent violence or escape”).
In addition to not abdicating their responsibility, courts have also required that trial judges in jury cases, inter alia, articulate the reasons for employing shackles or similar security measures. The Supreme Court of North Carolina, in State v. Tolley, 290 N.C. 349, 368-369, 226 S.E.2d 353 (1976), set forth this principle as follows:
“Whatever the basis for his decision, however, the unquestioned rule is that when the trial judge, in jury cases, contemplates the necessity of employing unusual visible security measures such as shackles, he should state for the record, out of the presence of the jury, the particular reasons therefor and give counsel an opportunity to voice objections and persuade the court that such measures are unnecessary. While the cases have established no definitive rule as to the exact form of evidentiary hearing to determine whether shackling of the defendant is necessary, the most prevalent conclusion is that the hearing may be informal and that the ordinary rules of evidence need not be observed, although the trial judge may decide, particularly where the need for physical restraint is controverted, to conduct a full evidentiary *169hearing with sworn testimony and formal findings of fact. In any event, a record must be made which reflects the reasons for the action taken by the court and which indicates that counsel have been afforded an opportunity to controvert these reasons and thrash out any resulting factual questions. Only in this manner can there be preserved a meaningful record from which a reviewing court may determine whether the trial court abused its discretion.”
The trial judge in the instant case articulated no reasons which would justify making the defendant Bowers wear leg irons during the entire trial. As previously discussed, the judge simply deferred to the concerns of the sheriffs office.2 There was utterly no reference to any conduct by Bowers subsequent to the prior trial which might have justified the shackling.
In addition to holding that the trial judge did not abuse his discretion, the majority “see[s] yet another reason for an affirmance on this issue and that is that prejudice has not been shown.” The majority goes on to cite Veney v. State, 251 Md. 182, 190-197, 246 A.2d 568 (1968), cert. denied, 394 U.S. 948, 89 S.Ct. 1284, 22 L.Ed.2d 482 (1969), and Seidman v. State, 230 Md. 305, 323-325, 187 A.2d 109 (1962), cert. denied, 374 U.S. 807, 83 S.Ct. 1696, 10 L.Ed.2d 1031 (1963), where voir dire was found “adequate to screen out any prejudice.” Of course, as the majority opinion goes on to meRtioR, these eases dealt with pretrial publicity and not with shackling a defendant throughout a jury trial. Unlike pretrial publicity, shackling a defendant before a jury is an “inherently prejudicial practice that ... should be *170permitted only where justified by an essential state interest specific to each trial.” Holbrook v. Flynn, supra, 106 S.Ct. at 1346. That it is prejudicial per se when a defendant is tried in chains before a jury, is pointed out in numerous cases cited by the majority. See, e.g., Kennedy v. Cardwell, 487 F.2d 101, 107 (6th Cir.1973), cert. denied, 416 U.S. 959, 94 S.Ct. 1976, 40 L.Ed.2d 310 (1974) (citing cases); People v. Duran, 16 Cal.3d 282, 127 Cal.Rptr. 618, 545 P.2d 1322 (1976); State v. Tolley, supra, 290 N.C. at 366-367, 226 S.E.2d 353. Because of the prejudice, the prosecution bears the burden of showing the necessity for physical restraints. Kennedy v. Cardwell, supra, 487 F.2d at 107; State v. Coursolle, 255 Minn. 384, 389, 97 N.W.2d 472, 477 (Minn.1959) (requiring that the conduct of the prisoner evince “immediate necessity” for use of shackles).
While not explicitly set forth as a basis for affirmance, the majority suggests that the reason for the general rule against shackling a defendant is that it is inconsistent with the presumption of innocence, and that in a capital sentencing proceeding there is no presumption of innocence because the defendant has already been convicted of murder. Nevertheless, inconsistency with the presumption of innocence is not the only reason for the rule against shackling a defendant.
As Bowers’s attorney pointed out in arguing against trying him with leg irons around his ankles, whenever Bowers would need to approach the bench or the jury during allocution, the leg cuffs impeding his movement would be obvious. Counsel stated: “We feel it is highly prejudicial. It gives the appearance that he is an animal, and we are somewhat concerned about that.” It is well recognized that physical restraints such as handcuffs or leg irons may impair the ability of a defendant to communicate with judge, jury and counsel, may otherwise distract the defendant, and may prejudice a defendant in the eyes of the jury.
*171Some of the reasons for not trying a defendant in shackles were forcefully set forth by the Supreme Court in Illinois v. Allen, 397 U.S. 337, 90 S.Ct. 1057, 25 L.Ed.2d 353 (1970). The Court there stated (397 U.S. at 344, 90 S.Ct. at 1061):
“But even to contemplate such a technique, much less see it, arouses a feeling that no person should be tried while shackled and gagged except as a last resort. Not only is it possible that the sight of shackles and gags might have a significant effect on the jury’s feelings about the defendant, but the use of this technique is itself something of an affront to the very dignity and decorum of judicial proceedings that the judge is seeking to uphold. Moreover, one of the defendant’s primary advantages of being present at the trial, his ability to communicate with his counsel, is greatly reduced when the defendant is in a condition of total physical restraint.”
These reasons are fully applicable to a capital sentencing proceeding before a jury.
During the sentencing phase of a death penalty case the jury performs the difficult task of weighing aggravating and mitigating factors, including whether or not the defendant poses a continuing threat to society. Art. 27, § 413(g)(7). Although the defendant is no longer presumed innocent of the murder for which he has been convicted, see Elledge v. State, 408 So.2d 1021, 1022-1023 (Fla. 1981), cert. denied, 459 U.S. 981, 103 S.Ct. 316, 74 L.Ed.2d 293 (1982), he is presumed innocent of any extraneous and unproven propensities which shackles may suggest.3
The issue to be decided by the jury at a capital sentencing proceeding is as important as any issue determined at a regular criminal trial. It is whether or not the defendant is *172to be put to death. An accused is ordinarily entitled to have the jury make this determination without the prejudicial effect and “inherent disadvantages and limitations” 4 of leg irons. As the Supreme Court has pointed out, such restraining devices should be used only as a “last resort” 5 and “justified by an essential state interest specific to each trial.” 6 In light of these standards, the use of shackles in the present case cannot be justified.
I would vacate the death sentence and remand the case for a new sentencing proceeding.
COLE and McAULIFFE, JJ., have authorized me to state that they concur with the views expressed herein.

. In the middle of the thirteenth century, the same principle was set forth in Bracton’s De Legibus et Consuetudinibus Angliae (c. 1250). See the text and translation in 2 S. Thorne, Bracton On The Laws And Customs Of England 385 (1968).

. The trial judge did mention that he was aware of “some difficulty that occurred when” Bowers was incarcerated “while he was awaiting trial for the offense” previously. This, however, was not given as a reason which in the trial judge’s judgment warranted shackling; instead, it was mentioned as being “some basis for the concern” of the sheriffs office. Moreover, as pointed out before, this conduct occurred prior to the first trial, and shackling at that trial was not deemed necessary.

. The Elledge case is cited by the majority as a capital sentencing proceeding where the court upheld trying the defendant in shackles. In Elledge, however, the defendant had threatened to attack the trial judge’s bailiff, and the Supreme Court of Florida relied on this circumstance, 408 So.2d at 1023. Thus Elledge furnishes no support for the majority’s decision in the instant case.

. Illinois v. Allen, 397 U.S. at 344, 90 S.Ct. at 1061.

. Ibid.

. Holbrook v. Flynn, 106 S.Ct. at 1346.