SULLIVAN, Justice.
The defendant's first trial ended in a mistrial due to improper prejudicial comments made by defense counsel during closing argument. We hold that, although the defendant did not consent to the mistrial, his second trial did not violate the Double Jeopardy Clause of the Fifth Amendment because the trial court did not abuse its discretion in concluding that a mistrial was justified by manifest necessity.
The defendant, Nathan Brock, was classified as a habitual traffic violator ("HTV") by the Bureau of Motor Vehicles ("BMV") and his Indiana driver's license was suspended.
On May 28, 2007, Brock was arrested again for being an HTV driving after his privileges had been suspended for life. On May 30, 2007, the State filed an information charging Brock with one count of violating Indiana Code section 9-30-10-17, which makes it a Class C felony for an HTV to operate a motor vehicle after his or her driving privileges have been forfeited for life under Indiana Code section 9-30-10-16. The State also charged him with one count of Class D felony resisting law enforcement under Indiana Code section 35-44-3-3.
The first jury trial commenced on January 13, 2010,
During his closing argument, defense counsel made several statements to the jury that prompted objections from the State. Defense counsel argued that the notice requirement of Indiana Code section 9-30-10-16 applied as well to section 9-30-10-17, with which the defendant was charged. The trial court admonished defense counsel that Brock had been charged under section 17, not section 16, and that there was no notice requirement under section 17. Accordingly, the court ordered defense counsel to "refrain from inferring to the jury that there is any sort of notice requirement." Tr. 263. Brock's counsel then argued that there was no evidence to establish that the prior conviction evidenced by the redacted driving record was for violating section 16. Agreeing with the State, the trial court explained that the driving record did show that the defendant had been convicted under section 16 because, even though the driving record did not contain a citation to section 16 (or any other statute), there was only one way that the defendant could have become an HTV for life with a lifetime suspension—conviction under section 16. Tr. 268.
As soon as the jury returned from a short recess, defense counsel again argued that there was "nothing in this report that says Mr. Brock violated 9-30-10-16." Tr. 269. The State again objected, and the trial court again admonished defense counsel not to do it again, but to no avail. After another sidebar, defense counsel again argued to the jury that there was no evidence indicating what the defendant had been convicted of in 1993, "other than a couple of lines here." Tr. 270-71. The State objected for a fourth time, arguing that defense counsel was mischaracterizing the evidence.
After a third sidebar, defense counsel argued to the jury, with the court's permission, that the driving record was "weak" evidence. He followed that up with the following comment: "We again, have stuff redacted. We don't know what's happened afterwards." Tr. 272. The State requested a fourth sidebar because of defense counsel's insinuation that the redacted material may have been beneficial to Brock, when in reality the redacted material was an extensive catalog of Brock's numerous other traffic convictions and suspensions—material that had been redacted for Brock's benefit. See footnote 1, supra. During this sidebar, the State informed the court that if it were not allowed to address this comment then it would "have to ask for a mistrial" because of defense counsel's mischaracterizations. Tr. 273. The trial court asked if both sides would assent to reopening the evidence, and both agreed. But after a few more comments among counsel and the trial judge, the State "officially" moved for a mistrial because of defense counsel's prejudicial comments. Tr. 274. After concluding sidebar, the trial court denied the motion for a mistrial and ordered that the evidence would be reopened and that the State would be permitted to start its closing argument anew. The court then took a short recess, and when it returned from recess, the trial judge said that, "upon further reflection," he had decided to grant the State's request for a mistrial, and it therefore discharged the jury. Tr. 276-77.
One day before the second trial was set to begin, Brock filed a motion to dismiss on double-jeopardy grounds. The trial court denied the motion, finding that the defendant had not objected to the State's
The Court of Appeals unanimously affirmed, concluding that the defendant had waived his right to claim double jeopardy because he had not lodged a timely objection to the State's motion for mistrial and that, in any event, there was "manifest necessity" justifying the trial judge's declaration of a mistrial. Brock v. State, 936 N.E.2d 266, 270-72 (Ind.Ct.App.2010).
Brock sought, and we granted, transfer, Brock v. State, 950 N.E.2d 1195 (Ind.2011) (table), thereby vacating the opinion of the Court of Appeals, Ind. Appellate Rule 58(A).
The sole issue in this appeal is whether the State violated Brock's Fifth Amendment right not to be placed twice in jeopardy by retrying him after his first trial ended in a mistrial.
The constitutional protection against double jeopardy has several features. In this case, because the first trial ended in a mistrial, we deal with the defendant's "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), which means that the defendant has a right to have his trial completed by the first jury impaneled to try him, Oregon v. Kennedy, 456 U.S. 667, 673, 102 S.Ct. 2083, 72 L.Ed.2d 416 (1982).
If the trial judge declares a mistrial over the defendant's objection, the defendant may be retried only if the government demonstrates that the mistrial was justified by a "manifest necessity" or that "the ends of public justice would otherwise be defeated." United States v. Perez, 22 U.S. (9 Wheat.) 579, 580, 6 L.Ed. 165 (1824) (Story, J.); see also Washington, 434 U.S. at 505, 98 S.Ct. 824; Somerville, 410 U.S. at 461-63, 93 S.Ct. 1066. But if the defendant consents to the mistrial, then retrial is permitted as a matter of course, unless the defendant can prove that the government intentionally goaded him or her into consenting to the mistrial "to subvert the protections afforded by the Double Jeopardy Clause." Kennedy, 456 U.S. at 676, 102 S.Ct. 2083; see also Jorn, 400 U.S. at 485, 91 S.Ct. 547. Thus, determining whether the State was permitted to retry Brock after his first trial ended in a mistrial involves a multi-step analysis. We first consider whether he consented to the trial judge's declaration of a mistrial. If so, then we consider whether the government goaded him into consenting. If he did not consent to the mistrial, then we consider whether it was justified by a "manifest necessity."
A defendant consents to a mistrial where he or she successfully requests termination of the proceedings on grounds unrelated to guilt or innocence. See United States v. Dinitz, 424 U.S. 600, 607-12, 96 S.Ct. 1075, 47 L.Ed.2d 267 (1976); Jorn, 400 U.S. at 484-85, 91 S.Ct. 547; United States v. Tateo, 377 U.S. 463, 467, 84 S.Ct. 1587, 12 L.Ed.2d 448 (1964); see also United States v. Scott, 437 U.S. 82, 98 S.Ct. 2187, 57 L.Ed.2d 65 (1978) (government appeal from trial court's grant at the close of evidence of defendant's motion to dismiss two counts of indictment did not bar retrial because it was not related to guilt or innocence); Lee v. United States, 432 U.S. 23, 97 S.Ct. 2141, 53 L.Ed.2d 80 (1977) (retrial not barred where defendant successfully moved to dismiss a defective indictment after jeopardy had attached because it was functionally indistinguishable from a mistrial). A defendant may also consent by expressly agreeing to be tried again. See Ricketts v. Adamson, 483 U.S. 1, 9-12, 107 S.Ct. 2680, 97 L.Ed.2d 1 (1987) (retrial not barred where defendant breached plea agreement that provided for reinstatement of charges in the event of a breach).
The United States Supreme Court has rejected the contention that the permissibility of a retrial is such circumstances depends on a knowing, voluntary, and intelligent waiver of the right to be free from double jeopardy. Dinitz, 424 U.S. at 609 n. 11, 96 S.Ct. 1075 (citations omitted). The Supreme Court has not, however, squarely addressed implied consent in this context,
808 F.2d at 1265-66 (internal citations omitted). But these courts have also recognized that in some cases there is no opportunity to object and to prohibit a defendant from raising a double-jeopardy claim under such circumstances would be too harsh. See, e.g., Jorn, 400 U.S. at 487, 91 S.Ct. 547 (trial judge acted abruptly in declaring mistrial and there was no opportunity to object); United States v. Bates, 917 F.2d 388, 393 (9th Cir.1990) (no consent where trial judge did not even answer defendants' request for a hearing as he left the bench); United States v. White, 914 F.2d 747, 753-54 (6th Cir.1990) (no consent where mistrial came as a surprise and there was no opportunity to object); Lovinger v. Circuit Court of the 19th Judicial Circuit, 845 F.2d 739, 744-45 (7th Cir. 1988) (no consent where no opportunity to object).
We find persuasive the approach taken by the United States Circuit Courts of Appeals, particularly that taken by the Seventh Circuit in Buljubasic, and adopt it here.
On the other hand, we acknowledge that the circumstances surrounding a trial court's declaration of a mistrial may not present an opportunity for raising a timely objection prior to the jury's discharge. In such cases, a failure to object will not be deemed to be consent unless the totality of the circumstances otherwise shows that the defendant consented to the mistrial. See, e.g., Gantley, 172 F.3d at 429; Goldstein, 479 F.2d at 1067-68.
Although we think it is a close call, we hold that Brock did not consent to the trial judge's declaration of a mistrial. This case presents somewhat of a wrinkle because the trial judge's declaration of a mistrial was in part a grant of the State's motion and in part sua sponte. As soon as the State moved for a mistrial, the trial judge proposed reopening the evidence and defense counsel assented to that— which suggests that Brock was willing to try something other than a mistrial. Once they left sidebar, the trial court formally denied the State's motion. At this point there had been no need for defense counsel to object given the trial court's quick denial of the State's motion. The court then took a recess, but it did not suggest that it would be reconsidering the State's motion during the recess. Rather, it took the recess to allow the parties to prepare to reopen the evidence. When the court and jury returned from recess, the trial court abruptly declared that, upon further reflection, it was going to grant the State's motion for a mistrial. The trial judge declared the mistrial and discharged the jury without allowing any response from the parties. It was not until the jury had
In sum, Brock's failure to object cannot be taken as tacit consent to mistrial in this case because there was no opportunity to raise a contemporaneous objection. And the totality of the circumstances fails to reveal that Brock otherwise consented to the declaration of a mistrial.
Having concluded that Brock did not consent to the mistrial, we proceed to consider whether the mistrial was justified by a "manifest necessity." The State's request for mistrial was prompted by defense counsel's comments concerning the elements required to convict Brock and implicating that the State had acted deviously in introducing into evidence a heavily redacted version of Brock's driving record. Brock's main argument on appeal is that his trial counsel's comments were not improper. We therefore consider the propriety of defense counsel's comments before considering whether the trial court abused its discretion in declaring a mistrial.
Brock was charged with violating Indiana Code section 9-30-10-17, which provides that "[a] person who operates a motor vehicle after the person's driving privileges are forfeited for life under [IC 9-30-10-16] of this chapter ... commits a Class C felony." The Court of Appeals is split on which elements are required to sustain a conviction under this statute. Several decisions have held that the State must prove three elements to convict a person of violating this section: (1) the accused operated a motor vehicle; (2) after his or her driving privileges had been forfeited for life; and (3) he or she knew or should have known that his or her driving privileges were forfeited. Arthur v. State, 824 N.E.2d 383, 388 (Ind.Ct.App.2005), trans. denied; Austin v. State, 700 N.E.2d 1191, 1192 (Ind.Ct.App.1998), trans. denied; Bates v. State, 650 N.E.2d 754, 756-57 (Ind.Ct.App.1995). In Pierce v. State, however, the Court of Appeals rejected the argument that section 17 contains a knowledge requirement and held that the State
We think that the panels in Pierce and Ford got it right. Although Indiana Code section 9-30-10-16 contains a knowledge requirement, the plain text of section 17 makes absolutely no reference to a knowledge requirement. And section 17's reference to section 16 does not incorporate the knowledge requirement of section 16 into section 17. That is, section 16 is not a lesser included offense of section 17. Had the General Assembly intended section 17 to have a knowledge requirement, it would have done so, like it did for section 16. Moreover, it is reasonable to conclude that the General Assembly intended section 17 to be a strict liability offense. The only persons likely to be subject to section 17 are those who have had numerous severe traffic violations. They are recidivists who have already lost their privileges for life. We think the General Assembly concluded that, by the time section 17 comes into play, proof of knowledge is not necessary to establish culpability. We therefore believe that it would subvert legislative intent for us to graft a knowledge requirement onto the statute.
Defense counsel also argued that the State had to submit evidence expressly indicating that Brock's prior conviction was under section 16. We disagree for two reasons. First, prior to July 1, 2004, a conviction under section 16 was the only way an HTV could have his or her driving privileges suspended for life. In 2004, the General Assembly amended Indiana Code section 9-30-10-5(b) to provide that the BMV has the authority to impose a life-time suspension on an HTV in certain circumstances, without a conviction under section 16. Pub.L. No. 82-2004, § 3, 2004 Ind. Acts 1223, 1224 (codified as amended at I.C. § 9-30-10-5(b)(2)). And even after the 2004 amendment, the only conviction for which an HTV's privileges are suspended for life is under section 16. See I.C. § 9-30-10-16(c). The redacted driving record submitted by the State showed both that Brock had been convicted in the Jay Circuit Court on June 14, 1993, for felony operating a motor vehicle while an HTV and that his license had been suspended indefinitely on the same date and for the same offense.
Second, Indiana Code section 9-30-3-15 provides that a certified computer printout of the relevant portions of the defendant's driving record is prima facie evidence of a prior conviction. Specifically, it provides as follows:
I.C. § 9-30-3-15. Considering this statute in concert with the fact that there is only one way in which Brock's driving record could have appeared as it did, we conclude that the State was not required to offer evidence referring explicitly to section 16. See Pierce, 737 N.E.2d at 1213; cf. Bates, 650 N.E.2d at 757 n. 4 (holding that even though the State must prove
Finally, it goes without saying that defense counsel's comments concerning the redacted material on Brock's driving record were improper. It would be absurd to allow the defendant to suggest that the State acted prejudicially in preventing evidence highly prejudicial to him from reaching the jury. As noted in footnote 1, supra, Brock's unredacted driving record reveals a lengthy history of irresponsibility and blatant disregard for Indiana traffic laws. In sum, we conclude that Brock's trial counsel's comments to the jury were improper. We now turn to consider whether these improper comments constituted a manifest necessity for declaring a mistrial.
A mistrial granted over the defendant's objection and in the absence of manifest necessity acts as an acquittal and bars reprosecution for the same offense. Jackson v. State, 925 N.E.2d 369, 373 (Ind. 2010); Brown v. State, 703 N.E.2d 1010, 1015 (Ind.1998); Wright v. State, 593 N.E.2d 1192, 1196 (Ind.1992). Justice Story articulated the "manifest necessity" standard more than 185 years ago and it remains the law today:
United States v. Perez, 22 U.S. (9 Wheat.) 579, 580, 6 L.Ed. 165 (1824) (emphasis added); see Renico v. Lett, 559 U.S. ___, 130 S.Ct. 1855, 1862-63, 176 L.Ed.2d 678 (2010) (applying Perez in a habeas case as the "clearly established Federal law"). As suggested in Perez, the trial court has broad discretion in determining whether the totality of the circumstances shows that there is a manifest necessity for declaring a mistrial, and this is not "a standard that can be applied mechanically or without attention to the particular problem confronting the trial judge." Arizona v. Washington, 434 U.S. 497, 506, 98 S.Ct. 824, 54 L.Ed.2d 717 (1978). Moreover,
In Jackson, we identified various considerations that factor into our review. If the reason for the mistrial is due to prosecutorial error, then "the State must demonstrate a `much higher' degree of necessity for the mistrial" because such a situation suggests that the State would like a do-over so that it may put on a stronger case. Jackson, 925 N.E.2d at 373 (citations omitted); Brown, 703 N.E.2d at 1015-16; see also Washington, 434 U.S. at 507, 98 S.Ct. 824 (noting that more searching appellate review should be applied in "cases in which a prosecutor requests a mistrial in order to buttress weaknesses in his evidence"). Additionally, we examine the necessity of the mistrial in light of the steps taken by the trial court to avoid a mistrial, including whether counsel had an opportunity to be heard, whether the trial court considered alternatives, and whether the trial court's decision came after adequate reflection. Jackson, 925 N.E.2d at 374 (citing United States v. Charlton, 502 F.3d 1, 5 (1st Cir.2007)). We also consider the burden imposed by the mistrial and, as a general matter, the values protected by the Double Jeopardy Clause "`are not as great when the trial is terminated shortly after jeopardy has attached as opposed to at a later stage in the trial.'" Id. (quoting Brown, 703 N.E.2d at 1016 n. 5).
In this case, the mistrial was granted because of defense counsel's repeated improper comments to the jury, which, of course, were not the State's fault. The trial judge gave defense counsel several chances to explain himself and to continue his closing without confusing the jury. Each time, defense counsel seemingly ignored the trial judge's directions and continued arguing to the jury that the State was required to prove additional elements. And his final comment to the jury was calculated to bias the jury against the State by suggesting that the State had hidden evidence beneficial to Brock by submitting a redacted driving record when, in fact, the redacted material was highly prejudicial to Brock. Cf. Washington, 434 U.S. at 511, 98 S.Ct. 824 (noting that a trial judge's evaluation of potential juror bias is entitled to "the highest degree of respect"). When the State first moved for a mistrial, the trial judge denied the motion and chose an alternative route—the evidence would be reopened and closing arguments would begin anew. After further reflection during a recess, the trial judge returned and decided to change his mind. The record is unclear as to why he changed his mind, but this is not fatal, for there is more than adequate evidence in the record for us to conclude that the trial judge did not abuse his discretion in granting the mistrial. Finally, although the mistrial was declared during closing arguments, the burden of the mistrial was not so great considering that Brock himself had delayed trial for more than two-and-a-half years, the first trial lasted only a few hours over two days, the second trial occurred less than three weeks later, and the mistrial was due to defense counsel's improper conduct.
We hold that the trial judge did not abuse his discretion in declaring a mistrial. Brock's trial counsel made highly prejudicial comments during his closing argument to the jury. Moreover, had the trial judge allowed the first trial to proceed and had defense counsel's erroneous comments confused the jury to the point that it acquitted, the State would have been precluded
We hold that the defendant's second trial was not barred by the Double Jeopardy Clause of the Fifth Amendment and therefore affirm his conviction.
SHEPARD, C.J., and DICKSON, RUCKER, and DAVID, JJ., concur.