Allen v. Com.

• Decision Date: 07 June 1996
• Docket Number: No. 951681,951681
• Citation: 472 S.E.2d 277,252 Va. 105
• Court: Virginia Supreme Court
• Parties: Olan Conway ALLEN v. COMMONWEALTH of Virginia. Record

Page 277

472 S.E.2d 277

252 Va. 105

Olan Conway ALLEN v. COMMONWEALTH of Virginia.

Record No. 951681.

Supreme Court of Virginia.

June 7, 1996.

Michael T. Hemenway (Dygert & Hemenway, on briefs), Charlotteville, for appellant.

Richard B. Smith, Asst. Atty. Gen. (James S. Gilmore, III, Atty. Gen., on brief), Richmond, for appellee.

Before CARRICO, C.J., COMPTON, STEPHENSON, LACY, HASSELL and KEENAN, JJ., and POFF, Senior Justice.

POFF, Senior Justice.

We granted a convicted defendant this appeal limited to the issues raised in the following assignment of error:

The Court of Appeals erred in finding that the appellant, Olan C. Allen, waived his double jeopardy objections and by affirming the trial court's order that the appellant be tried again, after the jury had been empaneled, reached a verdict, recommended a sentence and had been dismissed by the trial court.

On February 23, 1993, a jury convicted Allen of breaking and entering in violation of Code § 18.2-91 and grand larceny in violation of Code § 18.2-95 and fixed his punishment at "confinement in jail for 12 months" and at "a term of imprisonment for 2 years." The Circuit Court of Albemarle County dismissed the jury and continued the case for sentencing. The next day, the Commonwealth's Attorney moved for a mistrial on the ground that one of the jurors was a non-resident of the county.

The trial court's letter opinion indicates that "the defendant concurred that there was an improper jury but requested that the case be dismissed on the basis that jeopardy had already attached and the case could not be retried." The court overruled the defendant's objection to a new trial, sustained the Commonwealth's motion for a mistrial, ordered the case continued to the next criminal docket call, and remanded the defendant to jail.

The defendant's second trial ended in a hung jury and a second declaration of mistrial. The trial court ruled that "the defendant has not waived his right to object to a [third] trial ... based on the double jeopardy clause" but that "a third trial ... will not amount to double jeopardy".

At the third jury trial, a police officer testified that Allen had refused to make a statement to the police. Invoking the Fifth Amendment guarantee against self-incrimination, the defendant moved for a mistrial. While the court made a finding for the record that the testimony was "inadvertent and not a deliberate attempt by the Commonwealth to prejudice the Defendant", the court granted the defendant's motion for mistrial, denied his objection to a fourth trial, and ordered that the case be reset for trial at the next criminal docket call.

At the fourth trial, a jury convicted Allen of both offenses charged in the indictments and fixed his punishment at "8 years imprisonment" and at "5 years imprisonment." The trial court confirmed the convictions by order entered October 4, 1993 and, by final judgment entered December 6, 1993, imposed the sentences fixed by the jury.

On appeal to the Court of Appeals of Virginia, the defendant contended, inter alia, that "the indictments should have been dismissed on double jeopardy grounds". Addressing that contention, the Court held:

By agreeing that the jury was improperly constituted and that the verdicts were invalid, the appellant invited the trial judge to set aside the verdicts. We hold that in doing so, the defendant waived his double jeopardy protections.

Allen v. Commonwealth, 20 Va.App. 630, 636, 460 S.E.2d 248, 251 (1995).

In effect, the Court of Appeals upheld the trial court's several orders rejecting the defendant's double jeopardy claims. We disagree with that holding.

I DOUBLE JEOPARDY

The double jeopardy clause of the Fifth Amendment of the Constitution of the United States, made applicable to the states by the due process clause of the Fourteenth Amendment, Benton v. Maryland, 395 U.S. 784, 89 S.Ct. 2056, 23 L.Ed.2d 707 (1969), provides that no person shall be "subject for the same offense to be twice put in jeopardy of life or limb"; accord Va. Const. art. I, § 8. That guarantee was grounded on the "universal maxim of the common law of England". 4 St. George Tucker, Blackstone's Commentaries 335 (1803). The common law of England "not only prohibited a second punishment for the same offence, but it went further and forbid a second trial for the same offence, whether the accused had suffered punishment or not, and whether in the former trial he had been acquitted or convicted." Ex parte Lange, 85 U.S. (18 Wall.) 163, 169, 21 L.Ed. 872 (1873).

The reasoning underlying this principle of Anglo-American jurisprudence 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).

Since ratification of our Bill of Rights, the English and American rules have differed only in part. Under the English rule, reprosecution is barred only after final judgment is entered in the first trial. 11 Halsbury's Laws of England, Criminal Law, Evidence, and Procedure p 242 (4th ed.1976). Under the American rule, jeopardy attaches when an accused is put to trial before a jury. Kepner v. United States, 195 U.S. 100, 128, 24 S.Ct. 797, 804, 49 L.Ed. 114 (1904). The accused has a "valued right to have his trial completed by a particular tribunal", Wade v. Hunter, 336 U.S. 684, 689, 69 S.Ct. 834, 837, 93 L.Ed. 974 (1949), that is, "the right ... to have his trial completed before the first jury empaneled to try him", Oregon v. Kennedy, 456 U.S. 667, 673, 102 S.Ct. 2083, 2088, 72 L.Ed.2d 416 (1982). "[A] verdict of acquittal is final, ending a defendant's jeopardy, and even when 'not followed by any judgment, is a bar to a subsequent prosecution for the same offence.' " Green, 355 U.S. at 188, 78 S.Ct. at 223-24, (quoting United States v. Ball, 163 U.S. 662, 671, 16 S.Ct. 1192, 1195, 41 L.Ed. 300 (1896)).

That bar is activated by a plea of autrefois convict as well as a plea of autrefois aquit. United States v. Scott, 437 U.S. 82, 87, 98 S.Ct. 2187, 2192, 57 L.Ed.2d 65 (1978). In our opinion, a verdict of conviction, even when "not followed by any judgment", is also "final, ending a defendant's jeopardy". Here, the jury rendered a verdict of conviction fixing the penalties to be imposed. That verdict was never confirmed by final judgment. Instead, based upon a conclusion that the jury, because it included one member who was a non-resident of the county, was unqualified to render that verdict, the trial court declared a mistrial and overruled Allen's double jeopardy objection.

In an early case in which a trial judge had declared a mistrial on his own motion, Mr. Justice Story, writing for the Supreme Court, held that trial judges could declare mistrials "whenever, in their opinion, taking all the circumstances into consideration, there is a manifest necessity for the act, or 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). In accord with that holding, the General Assembly enacted a statute providing that "the court may discharge the jury when it appears ... that there is manifest necessity for such discharge." Code § 8.01-361.

That statute must be read in conjunction with Code § 8.01-352, entitled "Objections to irregularities in jury lists or for legal disability; effect thereof." Code § 8.01-352(B) provides in pertinent part as follows [U]nless it appears that the ... irregularity or disability be such as to probably cause injustice in a criminal case to the Commonwealth or to the accused, ... then such irregularity or disability shall not be cause for summoning a new panel or juror or for setting aside...