Brady v. Samaha
Opinion of the Court
Defendants-appellants
The defendants chose to represent themselves at their jury trial. The judge agreed at the outset that the objections of any one
It was clear throughout their cross-examination of the state’s witnesses that the defendants intended to inject the issue of the dangers of nuclear power into the case. Their theory apparently was that their motives in going onto the construction site— publicizing the hazards of nuclear power and acting according to conscience and political beliefs — were relevant to the mental element of trespass, i.e., knowledge that they lacked a license or privilege to be there. N.H.Rev.Stat.Ann. ch. 635, § 2. All of the defendants in their cross-examinations made reference to the potential dangers of nuclear energy. An illustrative example is the following question asked by defendant Conrad: “Are you aware that death and acute illness from nuclear accident would occur in an area 20 miles around the plant, causing thyroid illness, and plant and water contamination?” Defendant Brady asked one of the security guards from the plant, “Do you have any reason to believe that the defendants were present at the site for any other reason than that they believed nuclear power to be dangerous?”
The heart of the defense was the competing harms doctrine, N.H.Rev.Stat.Ann. ch. 627, § 3, which provides in pertinent part: “Conduct which the actor believes to be necessary to avoid harm to himself or another is justifiable if the desirability and urgency of avoiding such harm outweigh, according to ordinary standards of reasonableness, the harm sought to be prevented by the statute defining the offense charged.”
It first became apparent that this defense theory would be used during cross-examination by defendant Mullaley, when she explicitly referred to the competing harms statute. The judge ruled at that time that he would not allow evidence with reference to competing harms because the New Hampshire Supreme Court had held the doctrine inapplicable in another Seabrook plant trespass case, State v. Dorsey, 118 N.H. 844, 395 A.2d 855 (1978). Evidently undeterred, Mullaley asked one more question about competing harms, to which the judge sustained an objection.
Despite the judge’s prior rulings on competing harms, the opening statements of all six defendants, made at the close of the state’s case, referred to the dangers of nuclear power.
Q. [by defendant Cushing]: Chuck, do you know anything about the potential for catastrophe at the nuclear power plant?
Mr. McFarlane: I object.
The Court: Sustained. Mr. Cushing, another ruling, this courtroom is not going to be a forum to discuss nuclear power, its dangers, its safety, its necessity or any other issue related to it. That is the order of this trial. Your exception may be noted.
Defendant Cushing: Your honor, the charge says, the charge mentions the word Seabrook nuclear site.
*227 The Court: That does not put the issue of nuclear power before this Court. There will be no further interrogation with reference to nuclear power. That is an order of the Court and the law of the trial.
Defendant Cushing: Do you think we went to the site for some reason other than nuclear power?
The Court: Don’t argue with the Court, Mr. Cushing.
Defendant Cushing: I am just asking for justice. I am asking to have speech. I am asking to be allowed to present my case before a jury, that is all.
The Court: In the case of State v. Dorsey was very clear this type of evidence is not admissible.
Defendant Cushing: That was before Three Mile Island went.
The Court: It is still the law of the State. It will be strictly enforced by this Court. The jury will be excused. I will see you at 9:30 tomorrow morning. The defendants will remain in the courtroom.
After the jury had been sent out, the judge explained his rulings on the inadmissibility of certain evidence since “apparently there [had been] some misunderstanding. ...” He then advised the defendants to read a case concerning the punishment for contempt
The next morning, after the defendants had been given copies of the order, the court appointed standby counsel and heard the defendants with regard to the order outside the presence of the jury. When the court stated that one reason for the order was that defendant Cushing had refused to abide by previous oral rulings, defendant Conrad objected, arguing that all six of them had been asking the same kinds of questions and calling the judge arbitrary for singling out Cushing. When it was Cushing’s turn to speak, he accused the court of being “personally embroiled” in the case, of setting the defendants up for “a kangaroo court type situation,” called the order illegal and the trial a disgrace, and generally vented his anger and frustration at the judge. Later, in a shorter monologue, defendant Stone called the trial a farce and stated that he no longer believed in the American judicial system. At this point, the judge enumerated Cushing’s statements, said that he found them all contemptuous, and then declared a mistrial, stating:
Just a moment. The Court finds that those comments are contemptuous. The Court further finds that the actions of Mr. Cushing during the course of this trial would render the continuance of it unfair to the remaining defendants. The Court finds that the defendant Cushing is in contempt of Court and sentences him to fifteen days at the House of Corrections. And the remaining cases,5 the Court orders a mistrial. Clear the courtroom.
As the above indicates, the mistrial decision was made quickly and without consultation with either standby counsel for the defendants or the prosecutor. Several hours later, the court vacated its contempt order.
The constitutional protection against double jeopardy does more than merely prohibit a second trial after a defendant has been acquitted; it “also embraces the defendant’s ‘valued right to have his trial
is that the State with all its resources and power should not be allowed to make repeated attempts to convict an individual for an alleged offense, thereby subjecting him to embarrassment, expense and ordeal and compelling him to live in a continuing state of anxiety and insecurity, as well as enhancing the possibility that even though innocent he may be found guilty.
Green v. United States, 355 U.S. 184, 187-88, 78 S.Ct. 221, 223, 2 L.Ed.2d 199 (1957).
While recognizing the importance of the defendant’s right to have his trial completed by a particular tribunal, the Supreme Court has determined that certain circumstances present in the first trial may justify subordinating that right “to the public interest in affording the prosecutor one full and fair opportunity to present his evidence to an impartial jury.” Arizona v. Washington, 434 U.S. at 505, 98 S.Ct. at 830; Wade v. Hunter, 336 U.S. at 688-89, 69 S.Ct. at 836-37. But when this “valued right” is frustrated by the declaration of a mistrial over the defendant’s objection, the prosecution has a heavy burden to show that the mistrial was justified by “manifest necessity.” Arizona v. Washington, 434 U.S. at 505, 98 S.Ct. at 830.
“Manifest necessity,” United States v. Perez, 22 U.S. (9 Wheat.) 579, 580, 6 L.Ed. 165 (1824), has been interpreted by the Supreme Court to mean a “high degree” of necessity, and its existence vel non will depend on the type of problem at trial that prompts the judge to consider a mistrial. Arizona v. Washington, 434 U.S. at 506, 98 S.Ct. at 831.
When the trial judge has identified possible jury bias as the ground for his mistrial order, his “determination is entitled to special respect.” Id. at 510, 98 S.Ct. at 833. In this case, the trial judge ordered a mistrial because he felt the actions of defendant Cushing “during the course of this trial would render the continuance of it unfair to the remaining defendants.” Even assuming that the trial judge is in the best position to assess the prejudicial impact of trial events on the jury and, therefore, deserving of our deference, he “must always temper the decision whether or not to abort the trial by considering the importance to the defendant of being able, once and for all, to conclude his confrontation with society through the verdict of a tribunal he might believe to be favorably disposed to his fate.” United States v. Jorn, 400 U.S. 470, 486, 91 S.Ct. 547, 557, 27 L.Ed.2d 543 (1971) (plurality opinion), quoted in Arizona v. Washington, 434 U.S. at 514, 98 S.Ct. at 834. Our duty as a reviewing court is to assure ourselves that the trial judge engaged in a “scrupulous exercise of judicial discretion” in making the decision that a mistrial was necessary. United States v. Jorn, 400 U.S. at 485, 91 S.Ct. at 557.
In Arizona v. Washington, where a mistrial was declared due to possible jury bias based upon improper opening argument by defense counsel, the Supreme Court reviewed the record surrounding the mistrial declaration to determine whether the judge had exercised sound discretion. The Court found that' the trial judge did not act precipitately but rather proceeded with caution after the prosecutor moved for a mistrial, at first denying the motion. Moreover, before finally ruling the following day that a mistrial was necessary, the judge gave both counsel an opportunity to present extensive argument on the need for a mistrial, during which defense counsel urged the less drastic alternative of curative instructions. Id. at 514-15 n.34, 98 S.Ct. at 834-35 n.34. In short, by hearing counsel and avoiding a hasty decision, thus “evincing a concern for the possible double jeopardy consequences of an erroneous ruling, . . . the trial judge acted responsibly and deliberately, and accorded careful consideration to respondent’s interest in having the trial concluded in a single proceeding.” Id. at 515-16, 98 S.Ct. at 835.
Embracing both these factors — consideration of alternatives and consultation with counsel — is the amount of time devoted by the judge to the mistrial decision. A precipitate decision, reflected by a rapid sequence of events culminating in a declaration of mistrial, would tend to indicate insufficient concern for the defendant’s constitutional protection. United States v. Jorn, 400 U.S. at 487, 91 S.Ct. at 558; Grandberry v. Bonner, 653 F.2d at 1015-16; United States v. Starling, 571 F.2d at 941. See Arizona v. Washington, 434 U.S. at 515, 98 S.Ct. at 835.
Hence, although a reviewing court may defer to the trial court’s discretion to make a mistrial decision, “[i]f the record reveals that the trial judge has failed to exercise the ‘sound discretion’ entrusted to him, the reason for such deference by an appellate court disappears.” Arizona v. Washington, 434 U.S. at 510 n.28, 98 S.Ct. at 832 n.28.
Having carefully reviewed the entire record in this case, we conclude that the trial judge failed to engage in a scrupulous exercise of discretion in declaring a mistrial.
The actions of the trial court in this case, by contrast, indicate anything but deliberation and concern for the defendants’ protected interest in completing the trial. Although he had appointed standby counsel for them only minutes before, the judge did not confer either with him or with the prosecutor before making the decision. We have found this improper on previous occa
Nor did the trial judge consider any alternatives to a mistrial, such as severance or curative instructions.
In its opinion below, the New Hampshire Supreme Court held that the trial judge had acted within his discretion. The Court pointed to the judge’s instruction to the defendants to read a case on contempt as support for its conclusion that he did not act “without consideration” when faced with the defendants’ potential reactions to his evidentiary rulings. State v. Brady, 120 N.H. at 902, 424 A.2d at 409. But there is nothing in the record to indicate that the judge was considering a mistrial at that time. Moreover, the test is not whether the judge considered that he had a potential problem on his hands but rather whether he “accorded careful consideration to [the defendants’] interest in having the trial concluded in a single proceeding.” Arizona v. Washington, 434 U.S. at 516, 98 S.Ct. at 835. With the record barren of any hint whatsoever that the judge was aware of the
We appreciate the trial judge’s difficulties in this situation. He had spent three days listening to a string of irrelevant questions, was the target of arguments over his rulings in open court, and was subjected to unbridled attacks on his fairness. But encounters with obstreperous counsel and even outright rudeness are unfortunately not an uncommon occurrence in the trial courts today. Where a constitutional right of the magnitude of the protection against double jeopardy is involved, we cannot defer to the judgment of the trial judge where the circumstances make that judgment so manifestly suspect.
Vacated and remanded with directions to grant the writ.
Eileen M. Brady, Martha Brickett, Robert R. Cushing, Jr., Kristie Conrad, Eleanor B. Mullaley, and Kirk M. Stone.
. Their pretrial motion for joinder had been granted.
. These and numerous other questions like it were objected to and the objections were almost uniformly sustained. Only rarely did the judge instruct the defendants during such interrogation that the questions were improper and explain why.
. Defendant Cushing referred specifically to the competing harms statute and was reminded by the court of its ruling. Defendants Brady and Brickett told the jury they had acted for the good of the community in order to prevent harm. Mullaley spoke of the dangers of nuclear power and paraphrased the theory of competing harms, and Stone again made specific reference to the competing harms statute.
. Town of Nottingham v. Cedar Waters, Inc., 118 N.H. 282, 385 A.2d 851 (1978).
. Appellants contend this language refers to the “remaining” five defendants and that, therefore, no mistrial was declared as to Cushing. We agree with the State that “the remaining cases” refers to the six criminal trespass cases as distinguished from Cushing’s contempt citation.
. We view the inquiry into the judge’s discretion and the existence vel non of manifest necessity as a question of law or, at most, a mixed question of law and fact. United States ex rel. Russo v. Superior Court of New Jersey, 483 F.2d 7, 15 (3d Cir. 1973). Since, therefore, this is not a habeas corpus factual review, our analysis is not governed by Sumner v. Mata, 449 U.S. 764, 101 S.Ct. 764, 66 L.Ed.2d 722 (1981). See 28 U.S.C. § 2254(d).
. The parties have assumed, as did the New Hampshire Supreme Court and as do we, that the reason for the mistrial was that the trial judge thought that defendant Cushing’s conduct had biased the jury. This was, however, not explicitly stated by him and the outburst that precipitated the mistrial declaration occurred outside the jury’s presence.
. Indeed, the court’s contempt power, a possible alternative certainly less drastic, was used in conjunction with the mistrial order rather than in lieu of it.
Regarding the alternative of curative jury instructions, we find an analog in decisions involving multiple defendant trials in which outbursts of one defendant were claimed by a codefendant to be so prejudicial as to require severance, a mistrial, or a new trial. In these cases, where the disruptions were at least as serious as those involved here, if not more so, careful instructions to the jury were held to be adequate. United States v. Tashjian, 660 F.2d 829 (1st Cir. 1981); United States v. Smith, 578 F.2d 1227 (8th Cir. 1978); United States v. Bamberger, 456 F.2d 1119 (3d Cir.), cert. denied, 406 U.S. 969, 92 S.Ct. 2424, 32 L.Ed.2d 668 (1972).
. The actions of the trial judge in this case can be contrasted to those of the judge in our recent decision in Reinstein v. Superior Court, 1 Cir., 661 F.2d 255 (1981). There, we upheld the trial court’s finding of manifest necessity to declare a mistrial based on possible jury bias after the defendant’s family had twice published an ad in a widely-read publication regarding his trial. Showing apparent concern for the defendant’s double jeopardy interests, the judge in Reinstein consulted with counsel and rejected the alternative of jury sequestration. The “careful consideration,” at 258, by the trial judge of all the circumstances, reflected in the record, led to our deference to his manifest necessity determination.
. Later, on the same day that he declared a mistrial, the trial judge heard the defendant Cushing on his petition for habeas corpus relative to his contempt citation. He listened to both standby counsel and the defendants’ law student friend, appellate counsel here, on the propriety of his contempt order. Both indicated they thought the order was in violation of the very case the court had cited the previous day, which requires that the contemnor be given an opportunity to be heard prior to sentencing. The court then stated that it had “reflected upon the situation somewhat,” and that “[in] any case, where emotions run high, difficulties are going to be encountered, not only by the Court but by the parties involved.” Acknowledging that the difficulties were in part caused by the pro se defendants’ ignorance of courtroom procedures, rules of evidence, and state laws, the court decided that “justice would not be served” by holding Cushing in contempt and vacated its order.
This emphasizes the desirability of consulting with counsel prior to declaring a mistrial.
Reference
- Full Case Name
- Eileen M. BRADY, Martha Brickett, Robert R. Cushing, Jr., Kristie Conrad, Eleanor B. Mullaley, and Kirk M. Stone v. Unwar J. SAMAHA, Clerk, Rockingham County Superior Court
- Cited By
- 47 cases
- Status
- Published