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THE STATE OF NEW HAMPSHIRE
SUPERIOR COURT
STRAFFORD SS. JUNE TERM, 2020
State of New Hampshire
v.
Timothy Verrill
Docket No. 219-2017-CR-00072 STATE’S OBJECTION TO THE
DEFENDANT’S MOTION TO DISMISS WITH
PREJUDICE NOW COMES the State of New Hampshire, by and through
its attorney, the
Office of the Attorney General (“the State”), and submits this
objection to the defendant’s
motion to dismiss with prejudice the case against him.
Prosecutors did not “goad” or
dupe the defendant’s trial attorneys into requesting a mistrial,
an unfortunate but prudent,
and indeed necessary, step taken given notification of
additional undisclosed Discovery.
Although the acknowledged Discovery violations in this case have
been serious, they
were neither willful nor malicious, and were the product of
unique and unprecedented
negligent oversight rather than systematic dysfunction by either
police or prosecutors.
Moreover, the violations have not prejudiced the defendant to
the extent that the only
available recourse is dismissal with prejudice. There are many
available alternative and
effective remedies and sanctions that the Court can impose short
of such an extreme
penalty, and that punishment is unnecessary as an effective
deterrent for future instances
of similar negligence – the occurrence of which is extremely
unlikely with which to begin
FiledFile Date: 6/8/2020 3:32 PM
Strafford Superior CourtE-Filed Document
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– and will unduly harm the victims in this case. In support of
this objection, the State
says as follows:
1. The defendant has been indicted for two counts of
first-degree murder,
two counts of second-degree murder, and five counts of
falsification of physical
evidence, arising out of the murders of Jenna Pellegrini and
Christine Sullivan on or
about January 27, 2017, at 979 Meaderboro Road in Farmington,
New Hampshire.
2. The defendant’s trial before Judge Steven M. Houran began
with jury
selection on October 1, 2019 [hereinafter, “first trial’].
Towards the end of the State’s
case in the first trial, prosecutors – by way of notification by
defense counsel – became
aware that material in the possession of the New Hampshire State
Police had not been
provided to the defense in Discovery.
3. As a result of that acknowledged Discovery violation, Judge
Houran
conducted an evidentiary hearing. Trooper Stephen McAulay, the
investigator who had
not turned over materials in his possession testified at that
hearing. So too did Lieutenant
Brian Strong, the lead investigator whose duties included the
collection and
documentation of reports and other materials to provide to
prosecutors for Discovery.
After that evidentiary hearing, and upon receiving the arguments
of the parties at a
hearing for that purpose conducted on October 25, 2019, Judge
Houran denied the
defendant’s request for a mistrial with prejudice [hereinafter,
“first motion to dismiss”].
The State relies on, and incorporates by reference in this
objection, the arguments made
at the October 25 hearing, as well as the procedural history
stated and factual findings
made by Judge Houran in his initial Order on the defendant’s
motion to dismiss with
prejudice, dated November 6, 2019, nunc pro tunc October 31,
2019 [hereinafter, “Initial
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Order”].1 A transcript of the hearing conducted on October 25 is
attached to this
objection as Attachment A, and copy of that Initial Order is
attached to this objection as
Attachment B.
ADDITIONAL PROCEDURAL HISTORY
4. In direct response to the Discovery violation that produced
the defendant’s
first motion to dismiss, and independent of any judicial
directive to do so, the New
Hampshire State Police began an internal audit to ensure that
all Discovery materials had
been provided to the defense. That process began at about the
time of the hearing on the
first motion to dismiss. As a result of that audit, it was
learned that additional materials
in fact had not been provided to prosecutors, and in turn to the
defense.
5. Prosecutors were notified of the existence of additional
materials during
the presentation of the defense case. Upon learning of
additional undisclosed materials,
prosecutors immediately notified defense counsel and sought to
provide them with said
materials. The State also sought a hearing with Judge Houran, in
order immediately to
notify him of the matter. Prosecutors became aware of additional
materials at the end of
the trial day on October 30, 2019, notified defense counsel and
began providing them
with material that same afternoon, and sought a hearing with
Judge Houran on October
31.
1 As to Judge Houran’s factual findings, Initial Order, at pp.
2-6, the State resubmits another pertinent step taken by
prosecutors to ensure that they had been provided with all
available Discovery from the New Hampshire State Police.
Specifically, in the summer of 2019, in response to a detailed
defense letter requesting delineated Discovery materials, a
prosecutor again met with Lieutenant Strong in order to review the
requests in the defense letter and to gather and provide the
requested information and materials. Although the State believes
that this layer of additional prosecutorial review was discussed
when the State orally responded to the motion to dismiss, to the
extent that it was not the State submits it now as part of the
factual record.
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6. At that hearing requested by prosecutors that was conducted
on October
31, 2019, prosecutors notified Judge Houran and defense counsel
that additional
materials had not been provided. The State relies on and
incorporates by reference in this
objection the factual record made at that hearing. A transcript
of the hearing is attached
to this objection as Attachment C. At that hearing, defense
counsel sought a mistrial,
with the understanding that they would likely file a renewed
motion to dismiss with
prejudice and/or a motion for Judge Houran to reconsider his
ruling on the first motion to
dismiss.2 The State assented to the defense request for
mistrial, and also noted that even
absent defense consent there existed manifest necessity in any
event for the Court for
declaring a mistrial. See generally State v. Ayer, 150 N.H. 14,
23-25 (2003). Judge
Houran granted the defense request for mistrial, and formally
dismissed the jury on
November 1, 2019.3
7. Beginning on the very next day, November 1, prosecutors
worked with
multiple investigators from the New Hampshire State Police to
review individual
investigator case files and otherwise ensure disclosure of
Discovery. That process lasted
about a week, and many specific actions undertaken were outlined
by the State in a
2 The parties were made aware at a recent telephonic conference
with Judge Houran that he would be retiring before a hearing can be
held on the defendant’s present motion. It was made abundantly
clear by Judge Houran, and conceded by the State, that the defense
could argue for reconsideration regardless of timeliness under the
applicable Court rules. The State agrees that the Court also can
reconsider Judge Houran’s earlier ruling, under the applicable
standards for doing so. 3 The defendant in his motion has provided
a summary of the trial that occurred. The State is providing the
Court with a full transcript of the trial. A review of what
happened during the course of the trial, what evidence was
presented, and the arguments and concessions of the parties places
in full context the claims of relevance and prejudice made by the
parties in their motions. The State is mindful that a review of the
entire lengthy trial transcript will take time. But, unfortunately,
the judge who presided over that trial and would have first-hand
knowledge of what evidence was presented, as well as the tactical
and strategies employed by both parties during trial, has retired
and is no longer presiding over the matter.
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written submission to Judge Houran on the status of that
process, dated November 8,
2019. That submission also included emails to defense counsel
detailing the Discovery
materials found and disclosed. The State relies on and
incorporates by reference in this
objection that November 8 submission. A copy of that submission
is attached to this
objection as Attachment D. The State relies on and incorporates
by reference in this
objection the Affidavit provided by Sergeant Justin Rowe of the
New Hampshire State
Police that details steps undertaken by State Police
investigators during the review
process, as well as the report prepared by Trooper Tara
Elsemiller detailing the searches
and downloads of Lieutenant Strong’s and Trooper McAulay’s work
email accounts, as
well as the former’s work cellphones. Copies of these documents
are attached to this
objection as Attachment E.
8. On November 14, 2019, Judge Houran held a status conference.
At that
conference, prosecutors provided Judge Houran and the defense
with a further update on
the nearly completed Discovery review process. Also, in response
to concerns raised by
defense counsel regarding complete disclosure of Discovery in
any narcotics
investigations connected to the murders or involving people in
the homicide
investigation, a review process was started within the New
Hampshire State Police
Narcotics Investigation Unit with respect to any such state drug
investigations. Lieutenant
Christopher Roblee oversaw that additional review process. The
State relies on and
incorporates by reference in this objection the Affidavit
provided by Lieutenant Roblee
that details steps undertaken by narcotics investigators during
the review process. A
copy of that affidavit is attached to this objection as
Attachment F.
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9. A further status hearing was held on December 18, 2019, at
which time
prosecutors provided Judge Houran and the defense with a further
update of the expanded
Discovery review process. Defense counsel asked for an
adjournment for submission of
deadlines for further litigation in connection with the
matter.
10. On January 15, 2020, the defense submitted to Judge Houran
an assented-
to proposed scheduling order, which he granted. The defense
subsequently deposed
about a dozen members of the State Police. The deponents
included the lead investigator
– Lieutenant Strong – investigators who prepared untimely
provided materials, and
investigators who oversaw and conducted the post-trial Discovery
review process.
Among those deposed by the defense were Sergeant Rowe and
Lieutenant Roblee, as
well as Captain Joseph Ebert (see infra). The State assented to
each of these depositions,
and paid the corresponding transcription costs. The scope of the
defense depositions was
broad and unfettered, and included unobjected-to questioning as
to documents that were
timely provided in Discovery. Because of unexpected scheduling
cancellations and
delays brought about by the coronavirus pandemic, those
depositions occurred over a
period of about three months.
11. Directly as a result of this case, the New Hampshire State
Police Major
Crime Unit began a unit-wide review of its active cases to
ensure that no similar
Discovery issues occurred in those other cases. The State Police
also developed and
implemented global procedures to be followed in future
investigations, which include a
number of recordkeeping checks, in order to avoid the recording
errors that resulted in
Discovery issues that arose in this case. The State Police also
will in the near future be
implementing a new digital records management system, which can
serve as a central
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repository for all documents for a particular case. The State
relies on and incorporates by
reference in this objection the Affidavit provided by Captain
Joseph Ebert of the New
Hampshire State Police that details these procedures. A copy of
that affidavit is attached
to this objection as Attachment G.
ARGUMENT
12. The defendant moves to dismiss his indictments with
prejudice on two
separate constitutional grounds: Double Jeopardy, and Due
Process. As to the former,
the defendant argues that he was “goaded” into a mistrial by
prosecutors, who
affirmatively misrepresented to his trial attorneys what
materials had not been disclosed.
Defendant’s Motion, at ¶¶ 135-42. As to the latter, the
defendant contends that the
discovery violations were willful and that he suffered
irremediable prejudice as a result
thereof. Id., at ¶¶ 143-60. The defendant’s assertion of
malfeasance by prosecutors that
duped a mistrial application by his lawyers is baseless, and
although discovery violations
undoubtedly occurred, he is incorrect that the transgression
rose to a level warranting the
extreme sanction of dismissal with prejudice
DOUBLE JEOPARDY
13. With respect to the defendant’s Double Jeopardy claim, it is
not disputed
that the mistrial was requested by his trial attorneys. Also, as
set forth in the defendant’s
motion, that remedy was raised and contemplated by defense
counsel before they had any
discussions with prosecutors on the matter. Defendant’s Motion,
at ¶114. The issue is
whether prosecutors thereafter “goaded” defense counsel into
making the decision that
they already were fully considering.
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14. The State does not dispute much of what defense counsel has
represented
regarding conversations that they had with prosecutors prior to
the defense request for
mistrial. Defendant’s Motion, at ¶ 118. The one exception is the
characterization made
once in the defendant’s motion that prosecutors represented that
the items that they
observed and believed had not been disclosed were “material.”
Id., at p.2 (“As a result of
the State’s representation that there was material undisclosed
drug investigation
information, the defense reluctantly moved for a mistrial.”)
(emphasis added). No such
representation occurred by prosecutors. Indeed, although the
defendant makes that
assertion in his introductory argument, the factual recitation
set forth by his attorneys
contradict it. Id., at ⁋ 118 (“[The prosecutors] indicated that
they had not yet reviewed
the material but that it included cell phone records and that
although they recognized
some of the numbers from the cellphone chart that had been
utilized during the trial,
there were others that they did not recognize. They made
reference to the material they
viewed being related to the drug investigation, which they
indicated they had just learned
the State Police had kept separate and not provided.”) (emphasis
added). Moreover,
although defense counsel recall that prosecutors discussed
finding undisclosed materials
pertaining to “the drug investigation,” prosecutors recall that
what had been relayed was
the discovery of Drug Enforcement Agency materials that were
believed not to have been
provided. See Defendant’s Motion, at ⁋ 126 (setting forth
prosecutor’s on-the-record
recollection as provided at post-mistrial status conference);
see also Hearing Conducted
on October 31, 2019, at pp. 3-6 (discussing items that
prosecutors had seen).
15. To be sure, prosecutors alerted defense counsel that it
appeared that there
were additional materials that had not been timely disclosed. So
too did prosecutors alert
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defense counsel that it appeared that undisclosed materials
related to drug investigations.
Unfortunately, the prosecutors were correct in both regards. As
laid out both by the State
and the defendant, after the mistrial various printed and
media-based materials were
turned over to the defense. The prosecutors were accurate in
conveying that they
believed the undisclosed materials to be “significant” in
amount. Defendant’s Motion, at
¶ 140. That is a fair characterization, given the quantity of
items at issue. See id., at ⁋⁋
128-30 (setting forth materials at issue) and State’s Appendix.
And, a fair amount of
those post-mistrial materials referenced drug activities by
Smoronk, the defendant, and
others. See State’s Appendix.4
16. In this proper factual context, a conclusion that
prosecutors somehow
duped the defense attorneys into declaring a mistrial is
unwarranted and unreasonable.
The prosecutors accurately informed counsel that additional
materials had not been
provided, that such materials were significant in amount, and
that such materials
apparently included narcotics-related matters. Before such
disclosures, the prosecutors
certainly were not privy to the actual and active discussions
defense counsel had had in-
house regarding the request of a mistrial. Nor would the
prosecutors have any reason to
be under any belief that reference to drug-related materials
(or, for that matter, materials
“related to the drug investigation”) – as opposed to disclosure
of a significant amount of
potentially exculpatory evidence – would tip the scale for the
defense attorneys in favor
of their decision as to whether to request a mistrial. In light
of these facts and 4 As to the mistaken belief by prosecutors as to
Drug Enforcement Agency materials, see Defendant’s Motion, at ⁋
126, upon the attorneys’ arrival at the State Police audit they saw
dozens of manila envelopes containing printed-out records
pertaining predominantly to cellular telephone communications, and
had been informed per Lieutenant Strong that such materials had not
been provided. Upon the conducted audit, it was discerned that
those materials in fact previously had been timely provided to the
defense in discovery, in digital form rather than printed out. The
State made those printed-out materials available to defense counsel
for review, to verify their duplicative nature to previously
provided discovery.
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circumstances, ascribing a malicious purpose behind the
reporting made by prosecutors to
defense counsel is not sustainable.
17. Indeed, although the defendant suggests that there existed
only two
possible designs behind the prosecutors’ reporting, each
willfully pernicious, Defendant’s
Motion, at ¶ 141, the reality was far more benign and
transparent: the prosecutors simply
did what was required of them when confronted by yet more
materials that had not been
timely provided to the defense. They immediately informed
defense counsel and the
Court of the existence of further discoverable materials, and
attempted to relay as best
they could at the time the nature of the materials at issue.
Indeed, had prosecutors not
made such a disclosure, that would have been willful misconduct
on their part worthy of
severe sanction. That the content of the materials ultimately
found and turned over to the
defense was not what defense counsel hoped does not support a
finding that the
prosecutors were attempting to influence a defense request for
mistrial.
18. The defendant’s claim of tactical misrepresentation and
“goading” by
prosecutors also flies in the face of other facts set forth in
his motion. According to the
defendant’s trial counsel, they had not had time to review and
assess what the State had
provided them prior to the decision to request a mistrial.
Defendant’s Motion, at ⁋⁋ 114-
17. Moreover, it is undisputed that the defense received a
substantial amount of new
materials after the declaration of a mistrial, including
information that the defendant in
his present motion argues is exculpatory and that his lawyers
would have used at trial.
Just as the prosecutors would have been remiss not to report the
newly-discovered
materials immediately to defense counsel and the Court, defense
counsel would have
been remiss to continue a trial knowing that there were
materials that they had not
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reviewed, and under a belief that such may contain information
that would either support
their case or undermine the State’s. See Hearing Conducted on
October 31, 2019, at pp.
7, 11 (defense counsel discuss inability to review and
potentially incorporate any new
information at present trial as basis for declaring
mistrial)
19. Lastly on the matter, the State agrees with the defendant
that the Court
should take into account the State’s assent to his request for a
mistrial. Defendant’s
Motion, at ¶ 142. The State agreed to the cessation of a lengthy
trial, in which, as
discussed infra, prosecutors presented a powerful case
establishing the defendant’s guilt
of the charged murders. Just as the decision to request a
mistrial was not a decision
lightly taken by the defendant’s trial attorneys, neither was
agreement to such a decision
lightly taken by the trial prosecutors, who were acutely aware
of the case they had
presented, and the likely effect of such a decision on the
victims’ family members, many
of who watched the trial unfold. That assent further belies the
defendant’s claim that
prosecutors goaded the requested mistrial. So too does the fact
that although the State
assented to the defense request, upon the application made by
the defense the State also
made a record about how the declaration of a mistrial would
constitute a manifest
necessity even absent the defendant’s request, given the
revelation of new materials not
disclosed and the potential that those materials may contain
exculpatory evidence. See
Hearing Conducted on October 31, 2019, at pp 18-19. That
application was no more
designed as an insincere tactical ploy than the prosecutor’s
good-faith disclosure to
defense counsel and the Court that necessitated the granted
mistrial.
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20. In short, prosecutors acted not out of design to instigate a
mistrial, but to
notify the defense counsel and the Court of an unrectified
discovery issue. There was no
violation of the defendant’s constitutional right against double
jeopardy.
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DUE PROCESS
APPLICABLE LAW
21. The governing legal framework is well-established, and
although it was
fully explored by Judge Houran in his original Order, e.g.,
Initial Order, at pp. 6-9, that
framework bears repeating. In the face of a known Discovery
violation, the Court may
impose any number of remedies to assist the party who was
deprived of timely
disclosure, as well as any number of penalties to punish the
party who committed the
violation. A wide array of remedies and sanctions are available
to the Court for a
Discovery violation by either party in a criminal case. Some of
the possible judicial
impositions are set forth in the New Hampshire Rules of Criminal
Procedure:
If at any time during the proceedings it is brought to the
attention of the court that a party has failed to comply with this
rule, the court may take such action as it deems just under the
circumstances, including, but not limited to: (A) ordering the
party to provide the discovery not previously provided; (B)
granting continuance of the trial or hearing; (C) prohibiting the
party from introducing the evidence not disclosed; and (D)
assessing costs and attorney’s fees against the party or counsel
who has violated the terms of this rule.
N.H. R. Crim. Pro. 12(b)(9). By the plain terms of Rule 12, the
enumerated possible
remedies and sanctions listed therein are not exhaustive, and in
the end the particular
judicial response to a Discovery violation rests within the
Court’s broad discretion. See
State v. Bain, 145 N.H. 367, 372 (2000); State v. Cotell, 143
N.H. 275, 280-81 (1998).
22. That being said, the Court’s discretion should be informed
by applicable
jurisprudence in this and other jurisdictions regarding
Discovery violations. First,
judicial discretion “must be exercised in a reasoned fashion
after consideration of the
appropriate factors, and the court should choose the least
severe sanction which it
concludes will ensure the State’s compliance with its discovery
responsibilities.” State v.
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Naple, 143 P.3d 358, 368 (Wy. 2006); see State v. Michaud, 146
N.H. 29, 33 (2001)
(“[The] court must consider whether less extreme measures have
the intended punitive
effect.”); Cotell, 143 N.H. at 281 (“A [trial] court exceeds the
proper bounds of its
[supervisory] power to order dismissal of an indictment with
prejudice when it fails to
consider whether less extreme sanctions might maintain the
integrity of the court without
punishing the [State] for a prosecutor’s misconduct.”) (internal
quotation marks and
citations omitted).
23. Second, as Judge Houran previously recognized in his Initial
Order,
dismissal with prejudice is an extreme sanction. Such an
ultimate penalty is reserved for
only the rarest of cases. See Cotell, 143 N.H. at 281 (“The
sanction of dismissal with
prejudice is . . . reserved for extraordinary circumstances.”).
Indeed, the New Hampshire
Supreme Court has concluded that dismissal with prejudice is not
required even in
instances of governmental bad faith. Bain, 145 N.H. at 373 (“The
principles set forth in
Cotell do not . . . [suggest] that if the [defendant] had shown
some measure of
governmental bad faith a mistrial or dismissal would
automatically follow.”) (internal
quotation marks omitted). Rather, to warrant the cessation of
prosecution the State’s
misconduct must “rise to the level of impeding [this Court’s]
ability to administer
justice.” Id.
24. The reason for pause and careful consideration before resort
to dismissal
of a case with prejudice is plain. Such a penalty ultimately
unduly and unfairly
prejudices society and benefits an accused. As the New Hampshire
Supreme Court
discussed in Cotell:
[T]he public has an interest in the prosecution of crimes, and
the availability of discretionary discovery sanctions does not
furnish a
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defendant with a procedural device to escape justice. When a
court dismisses charges for prosecutorial negligence, absent actual
prejudice and consideration of lesser remedies, the defendant
benefits from a windfall, and the price is paid by the public, not
by the [prosecutor].
143 N.H. at 281 (internal citations and quotation marks
omitted); see State v. Stickney,
148 N.H. 232, 236 (2002) (“The sanction of dismissal with
prejudice affords a criminal
defendant a windfall, the price of which is paid by the public
rather than the State.”).
This rationale is in accord with that provided by other courts
that have addressed the
issue. As one appellate court similarly reasoned:
Dismissal of an information or indictment is an action of such
magnitude that resort to such a sanction should only be had when no
viable alternative exists. The obvious rationale for limiting the
sanction of dismissal of criminal charges to only those cases where
no other sanction can remedy the prejudice to the defendant is to
insure that the public’s interest in having persons accused of
crimes brought to trial is not sacrificed in the name of punishing
a prosecutor’s misconduct. And, of course, where the prosecutor’s
failure to make discovery has not irreparably prejudiced the
defendant, the sanction of dismissal punishes the public, not the
prosecutor, and results in a windfall to the defendant. Because the
rule authorizing the imposition of sanctions for discovery
violation was never intended to furnish a defendant with a
procedural device to escape justice, even when a defendant has been
tried and convicted without having been furnished discovery
material to which he was entitled, and the material is thereafter
disclosed and made available to him, the relief granted is not
dismissal of the charges, but a new trial.
State v. Del Gaudio, 445 So.2d 605, 608 (Fla. Dist. Ct. App.
1993) (internal quotation
marks and citations omitted). Another of many examples is the
following pertinent
passage written by the Supreme Court of Rhode Island in State v.
Musumeci:
Although punishment and deterrence are valid and important
considerations in selecting a sanction [for a discovery violation]
and the trial justice should choose a sanction sufficiently potent
to achieve such goals when the circumstances call for such a
result, even weightier policy considerations favor resolution of
criminal charges on their merits. Thus dismissals of all pending
criminal charges for the state’s commission of discovery violations
are to be disfavored save in the most extreme circumstances.
Indeed, we conclude that dismissal is an appropriate
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sanction only as a last resort and only when less drastic
sanctions would be unlikely or ill suited to achieve compliance, to
deter future violations of this kind, and to remedy any material
prejudice to defendant. . . . [T]he burden of any dismissal
sanction ultimately falls squarely on the people of this state and
not solely upon the Attorney General’s office. And although we
agree with the second trial justice’s observation that defendant is
entitled to a “trial by jury, not trial by ambush,” we are also of
the opinion that as a general rule, and subject to constitutional
safeguards, a criminal defendant should not go free because the
constable [or the prosecution] has blundered.
717 A.2d 56, 63 (R.I. 1998) (internal citations omitted); e.g.,
Commonwealth v. Mason,
906 N.E.2d 329, 332 (Mass. 2009) (“The dismissal of a criminal
case is a remedy of last
resort because it precludes a public trial and terminates
criminal proceedings. Absent
egregious misconduct or at least a serious threat of prejudice,
the remedy of dismissal
infringes too severely on the public interest in bringing guilty
persons to justice.”)
(internal citations and quotation marks omitted); Naple, 143
P.3d at 362-63 (“A court’s
dismissal of a criminal case is a remedy of last resort, and a
trial judge abuses his or her
discretion by ignoring intermediate remedial steps. Such
dismissal is reserved for severe
situations because dismissal of a charging instrument frustrates
the public interest in the
prosecution of crimes.”) (quoting 21 Am. Jur.2nd Criminal Law
§784 (2006)).
25. This State’s jurisprudence on the appropriate judicial
response to
Discovery violations is consistent with that of the federal and
other states’ judiciaries.
Time and again, appellate courts have rejected the imposition of
the sanction of dismissal
with prejudice, even for grievous and willful discovery
violations. See, e.g., Government
of the Virgin Islands v. Fahie, 419 F.3d 249, 254 n.6 (3rd Cir.
2005) (“Our research
discloses no case where a federal appellate court upheld
dismissal with prejudice as a
remedy for a Brady violation.”); United States v. Dennison, 891
F.2d 255, 260 (10th Cir.
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1989) (“The instances where an appellate court has upheld a
district court’s dismissal of
an indictment because of alleged prosecutorial misconduct are
few and far between.”)
(internal quotation marks omitted); Commonwealth v. Lewin, 542
N.E.2d 275, 286
(Mass. App. Ct. 1989) (“We have sometimes remarked that
outrageous police conduct,
not shown to be prejudicial to a fair trial, may require the
dismissal of charges, but we
have never dismissed charges in such a circumstance.”). Indeed,
the State’s research has
found no prior decision in New Hampshire in which a criminal
case properly was
dismissed with prejudice in the face of established discovery
violations, and has
uncovered very few such cases from other jurisdictions.5 Notably
here as well, the
defense has not pointed to a single case in which such a
sanction was an appropriate
sanction, under similar factual and legal circumstances.
26. The relevant underlying themes on the issue are consistent
and clear.
Dismissal with prejudice is extreme and rare, and is warranted
only when the misconduct
at issue not only rises to an egregious level, but also only in
the face of demonstrable
actual prejudice to a defendant. See, e.g., Cotell, 143 N.H. at
279 (“The supervisory
authority of the [trial] court includes the power to impose the
extreme sanction of
dismissal with prejudice only in extraordinary situations and
only where the
5 In that regard, the State conducted a plain word search in
Westlaw of “dismissal with prejudice for discovery violations,”
first in the “New Hampshire, criminal” jurisdiction, and then more
broadly in the “All States and All Federal, criminal”
jurisdictions. The former produced twenty-one cases, all of which
the State reviewed. The latter produced about 2500 cases, a
sampling of which the State reviewed. Of those non-New Hampshire
state cases, the vast majority either denied the request for a
dismissal with prejudice, upheld such a denial, or reversed such a
dismissal. Those very few cases that found such a sanction to be
appropriate are either factually inapposite, involve a different
legal framework, or both. See, e.g., United States v. Stellato, 74
M.J. 473, 489-91 (Crim. App. 2015) (dismissal appropriate where
government engaged in systematic ignoring of discovery obligations
that resulted in, inter alia, lost evidence, evidence left in hands
of interested parties, and defense inability to call key witness,
and trial court considered and rejected less severe remedies and
sanctions); State ex rel. Rosen v. Hill, 455 S.E.2d 427, 436-38
(W.Va. 1994) (dismissal not abuse of discretion where discovery
violation twice required trial to be continued; appellate court
held that under applicable court rules no finding of actual
prejudice required for sanction of dismissal).
https://1.next.westlaw.com/Link/Document/FullText?findType=Y&serNum=1989121106&pubNum=521&originatingDoc=I0c0af21d2eaf11db8ac4e022126eafc3&refType=RP&fi=co_pp_sp_521_585&originationContext=document&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_521_585https://1.next.westlaw.com/Link/Document/FullText?findType=Y&serNum=1989121106&pubNum=521&originatingDoc=I0c0af21d2eaf11db8ac4e022126eafc3&refType=RP&fi=co_pp_sp_521_585&originationContext=document&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_521_585
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government’s misconduct has prejudiced the defendant.”) (quoting
United States v.
Welborn, 849 F.2d 980, 985 (5th Cir. 1988)) (emphasis added);
State v. Carpenter, 899
So.2d 1176, 1182 (Fla. Dist. Ct. App. 2005) (“Dismissal of an
information is . . . an
extreme sanction that should be used with caution, and only when
a lesser sanction would
not achieve the desired result. Before a court can dismiss an
information for a
prosecutor’s violation of a discovery rule or order, the trial
court must find that the
prosecutor’s violation resulted in prejudice to the defendant.”)
(internal quotation marks
and citations omitted; emphasis in original); Lewin, 542 N.E.2d
at 286-87 (vacating order
of dismissal with prejudice despite repeated perjury and
cover-ups by police officers,
characterized by the court as perfidious, contemptible,
disgusting, and in blatant violation
of their sworn duties, as well as by failure by prosecutors to
comply with discovery
orders); Commonwealth v. Lam Hue To, 461 N.E.2d 776, 783-84
(Mass. 1984)
(prosecutorial misconduct in not disclosing exculpatory evidence
due to ineptitude and
“bungling” police performance, as opposed to intentional
misconduct, not sufficient for
dismissal with prejudice); Musumeci, 717 A.2d at 63 (“Absent
substantial prejudice and a
showing that no other available discretionary measures can
possibly neutralize the
harmful effect [of the prosecution’s discovery violations], some
other remedy(ies) and/or
sanction(s) . . . should generally be imposed – at least in the
first instance – upon the
court’s learning of a material discovery violation, even when,
as here, the prosecution is
guilty of grossly negligent misconduct.”) (internal quotation
marks and citations omitted).
As to what constitutes a situation in which a showing of actual
prejudice is not required,
it should involve even more than willful misconduct. See Bain,
145 N.H. at 373.
https://1.next.westlaw.com/Link/Document/FullText?findType=Y&serNum=1989121106&pubNum=521&originatingDoc=I0c0af21d2eaf11db8ac4e022126eafc3&refType=RP&fi=co_pp_sp_521_585&originationContext=document&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_521_585https://1.next.westlaw.com/Link/Document/FullText?findType=Y&serNum=1984112179&pubNum=521&originatingDoc=I0c0af21d2eaf11db8ac4e022126eafc3&refType=RP&fi=co_pp_sp_521_310&originationContext=document&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_521_310
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19
27. As to prejudice to the defendant that may warrant a
dismissal, such
prejudice must be real and demonstrable, rather than possible or
speculative. Indeed,
even that untimely disclosure may have compromised a defendant’s
constitutional rights
does not in itself constitute actual prejudice. See State v.
Colbath, 130 N.H. 316, 320-21
(1988) (defendant entitled to no relief beyond production of
untimely produced Brady
material unless defendant “could demonstrate that the delay in
producing it ultimately
harmed him in some way.”). Rather, actual prejudice exists “if
the defense has been
impeded to a significant degree by the nondisclosure.” Cotell,
143 N.H. at 280; State v.
Brooks, 164 N.H. 272, 288 (2012); State v. Gamester, 149 N.H.
475, 479 (2003).
28. Guided by these widely-accepted principles, based upon the
supported
factual findings already made by Judge Houran on the matter as
well as the additional
facts submitted by the State, and for the factual and legal
reasons set forth below, the
Court should not dismiss the defendant’s charges with
prejudice.
ARGUMENT
29. At the outset, and as the State has acknowledged previously
and will
continue to acknowledge, significant Discovery violations have
occurred in this case.
The State has recognized and continues to recognize the gravity
of this error, and how it
has resulted in the expenditure of scarce judicial and
litigation resources. The State
wholly agrees that remedies and some sanctions are warranted.
Where the State differs
with the defense, is whether the extreme sanction of dismissal
with prejudice is required.
Additionally, the State disputes some of the defendant’s factual
arguments, both with
respect to culpability and with respect to actual prejudice.
Moreover, in determining
what remedies and sanctions are appropriate, the Court should
consider the actual harm to
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20
the prosecution caused by the Discovery violations – which
undermines the defendant’s
claims both as to culpability and prejudice – as well as the
reality that the punitive aspect
of dismissal falls disproportionately on the families of the
victims and society, in a case
the nature of which – a double murder – those legitimate
interests deserve independent
and weighty consideration.
A. Culpability
30. Inexcusable Discovery violations have occurred in this case,
for which the
State is solely at fault. In Judge Houran’s prior Order he
rightly acknowledged so, and he
also made relevant factual findings as to the State’s
culpability in those violations. The
State does not challenge any of those findings, which were
highly critical of the State.
Specifically, Judge Houran found “inexcusable governmental error
that was the product
of sloppiness, oversight, and poor management practices.”
Initial Order, at p.16. As a
result of the extent of the nondisclosure, Judge Houran
correctly and appropriately
determined that the violations rose to the level of culpable
negligence. Id. at p.18.
31. But Judge Houran, based on the hearing testimony provided,
as well as a
review of the untimely disclosed materials at issue, also found
that “there was no bad
faith or intent to deprive the defense of the evidence” and that
“there is simply no
evidence from which it is reasonable to infer that the Major
Crime Unit or any other
government actor was intentionally suppressing information
favorable to [the
defendant].” Id. at p.16. So too did Judge Houran find that the
violations resulted from
individual culpable conduct, rather than institutional
nonfeasance or malfeasance. Id.
With respect to the individual conduct, Judge Houran recognized
in his initial order that
“the failure here belongs to the Major Crimes Unit of the New
Hampshire State Police
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21
and not to the prosecutors,” while also acknowledging that as a
matter of law, the State is
the State. Id. at p.6.
32. In his present motion, the defendant argues that the
culpability here was
wilfull, and rose to an institutional level that demonstrates an
atmosphere of malfeasance
by the Attorney General’s Office and the New Hampshire State
Police. E.g., Defendant’s
Motion, at pp. 1, 4 & ¶¶ 157-59.6 To be sure, since the time
when Judge Houran made
those findings and issued his earlier Order, additional
undisclosed materials have been
identified and provided to the defense. See infra and attached
Appendix. Those items
were itemized for the defense, and the detailed listing was also
provided to Judge Houran
as an attachment to the State’s November 8, 2019, status report.
An even more detailed
accounting of the newly-disclosed materials is contained in the
separate Appendix to this
objection, as well as in the discussion on prejudice, infra.
33. The defendant is correct that the additional items disclosed
since Judge
Houran’s Initial Order are numerous. Specifically, about 390
pages of written material,
as well as twenty-nine media disks and a flash drive.7 But those
additional materials,
either in their volume or as to their content, do not provide a
basis for the Court to change
any of the earlier findings made by Judge Houran as to
culpability. Notably, he made
those findings after full and fair consideration of the
testimony given by the investigators
involved in the late disclosures at issue at that time, as well
as a thorough review of the
6 In instances of rhetorical overreach, the defendant even
suggests that the investigators, trial prosecutors, and Attorney
General’s Office engaged in criminal conduct, purposefully
withholding exculpatory information from the defense. E.g.,
Defendant’s Motion, at ¶ 46 (accusing Attorney General’s Office and
State Police of willfully deceiving and misleading). The State is
mindful that this is an adversarial proceeding, and the State is
rightly subject to rebuke and criticism for the failures that
occurred in this case. That being said, zealous advocates should be
mindful of striking blows that are hard but fair. 7 As to the
discrepancy between the State’s calculations and those of the
defendant, see Defendant’s Motion, at ¶¶ 129-30, the defendant has
included materials that were subject of the initial motion to
dismiss, litigated and ruled upon prior to the declaration of a
mistrial.
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22
untimely disclosed information in the context of the case and
defense tactics and
strategies undertaken therein.
34. As to volume of materials, with respect to those documents
and media that
are not the equivalent of materials previously and timely
provided in Discovery,8 the vast
bulk of that material is neither exculpatory nor helpful to the
defense in terms of
impeachment, tactical choices, overall strategy, or otherwise.
See Appendix. Even with
respect to those materials claimed by the defendant to be
exculpatory and supportive of
his claim of prejudice, an objective view of them in the context
of the trial and the
defense presented reveals that no real, unremediable prejudice
exists. See infra
(discussion of prejudice). Indeed, the most useful of the
newly-disclosed materials is
inculpatory to the defendant, and is information that the
prosecutors almost certainly
would have used to further inculpate the defendant in the
charged offenses had the
prosecutors known of such materials prior to trial.
1. Individual Culpability
35. There was individual culpability here. Judge Houran
discussed so in his
Initial Order. The lead investigator in the case did not provide
materials in his
possession. A few of the dozens of other investigators involved
in the case also did not
affirmatively provide materials in their possession to the lead
investigator, but it was
incumbent upon him to gather and otherwise account for that
information.
8 Some of the newly-provided materials are duplicative of
Discovery that already had been given to the defense prior to
trial. Examples include a report synopsizing the contents of a
recorded interview and a recorded interviews provided in formats
different than those previously provided (i.e., video recordings
rather than audio recordings). The duplicative equivalent
disclosures are identified and detailed in the Appendix to this
objection. Of the newly-disclosed materials, the duplicative
equivalent disclosures constitute about fifty-five of the roughly
390 pages of written material, five of the twenty-nine media disks,
and all but a few pages of data in the flash drive.
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23
36. The factual finding made by Judge Houran in his Initial
Order with respect
to individual culpability – culpable negligence, not malice or
bad faith – is still valid.
Indeed, a review of the additional materials that have been
disclosed since that Order
only reinforces the earlier finding that nondisclosure was the
result of gross
mismanagement at the individual level rather than the
institutional level. A full review is
provided in the attached Appendix and in the discussion in the
section on prejudice that
follows. There, frankly, is no particular rhyme or reason to the
materials not timely
provided (i.e., a particular witness/es, particular information,
particular timeframes).
Those materials can fairly be described as a hodgepodge of
reports and other materials on
a motley and largely unrelated array of topics and people,
fairly reflective of a lack of
organization. Some of those materials are either directly
inculpatory or bolster the
accounts or information provided by State witnesses. That they
were not provided at all
to prosecutors prior to trial only supports the earlier judicial
finding that the
nondisclosure was the product of mismanagement rather than
tactical design or a desire
to procure some advantage over the defense.
37. The defendant attempts to ascribe a willful selectivity to
Lieutenant
Strong’s Discovery disclosure omissions. Defendant’s Motion at ¶
159(d) (“By failing to
have a system that included documentation of each assignment,
Strong was able to
exclude interviews of witnesses which were not helpful to the
State’s theory, but
contained exculpatory information for the defense”). That was
not borne out by the
evidence before Judge Houran when he issued his ruling on the
matter, and is also not
borne out by the post-mistrial disclosures. Indeed, the
defendant’s actual bases of
claimed prejudice constitute a minor portion of those
disclosures, and objective analysis
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24
establishes that the defendant’s claim that his identified
disclosures contained exculpatory
information largely lack merit. See infra (discussion of
prejudice).
38. Moreover, that claim ignores the fact that the vast bulk of
materials that
formed the basis of the defense case, to wit, Dean Smoronk as
alternative perpetrator,
were gathered and timely provided to the defense with ample time
to use in preparation
for and at trial by the very same lead investigator responsible
for the untimely provided
materials – Lieutenant Strong. Indeed, the witnesses who the
defense called at trial all
came to be known to the defense through the investigation
conducted by State Police.
And, the various threats against victim Christine Sullivan
voiced by Dean Smoronk, as
well as her voiced concerns about him, were well known to the
defense far in advance of
trial, based upon law enforcement investigation and interviews
timely provided in
Discovery. Had the late disclosures at issue truly been the
effort of a deliberate design to
withhold exculpatory information, all of these timely reports
and interviews germane to
the heart of the defense case would have been the ones not
provided. That they were
provided, as well as the largely innocuous nature of the
undisclosed materials, only
reinforces Judge Houran’s factual finding of no bad faith.
39. Moreover, although it is clear that the “State” is
responsible for the
Discovery violations, see State v. Lucius, 140 N.H. 60, 63
(1995), it is notable that none
of the information at issue was known to prosecutors, and would
not be known in the
normal course. None of the materials was referenced either
directly or indirectly in
materials timely provided to prosecutors. In addition, a review
of the materials at issues
show no known nexus to provided Discovery that would have
alerted prosecutors to the
materials’ omission. The fact that prosecutors were actually
unaware, and would not
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25
have been aware, of the very existence of the materials at issue
through review of
received materials and absent assurances that material had been
provided, also
underscores that the violations were not willful.
40. With respect to those few materials that can be considered
exculpatory,
their earlier disclosure would not have altered or assisted the
defense. Specifically, some
material contained information to the effect of threats made by
Dean Smoronk to or with
respect to Christine Sullivan, or statements that the latter
made of fear as to the former.
But the defense already was able to, and did, elicit such
information from numerous trial
witnesses, in a variety of forms (i.e., statements, text
messages), in the first trial, largely
without objection. And, even more importantly, none of this was
ever disputed by the
State. In fact, that Dean Smoronk may have wanted to cause harm
to Ms. Sullivan was a
topic discussed by prosecutors with every one of the prospective
jurors in voir dire, and a
motive that the State utilized to further bolster its case
against the defendant (i.e., that the
defendant was the instrument through which Smoronk effectuated
his voiced threats).
Additional evidence along these same lines, provided through
newly-disclosed materials,
would not have added to the defense case but would have been
merely cumulative. As to
culpability, that such information was duplicative in substance
to a host of information
already provided to the defense in a timely manner further
belies any claim that the late
disclosure was other than grossly negligent.
41. By no means can the nondisclosure of the materials at issue
be viewed,
even with the most jaundiced eye, as something that was
deliberate in design. Nor could
omission reasonably be determined in any way to be a tactical
decision to withhold
information from the defense. In fact, the omission prejudiced
the prosecution, both in
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26
terms of ending a lengthy trial in which prosecutors provided a
compelling case of the
defendant’s guilt, and in terms of depriving prosecutors of even
more evidence that
supported guilty verdicts. See infra. For these reasons, as well
as the reasons fully
articulated by Judge Houran in his earlier ruling, this is not
an instance of malfeasance,
either by a single or multiple members of state police, or by
prosecutors. The prior
judicial findings on the matter should remain unchanged.
2. Institutional Culpability
42. The newly-disclosed materials also should not change Judge
Houran’s
finding that no institutional misconduct occurred necessitating
the severe sanction of
dismissal with prejudice. Almost all of the materials at issue
were in the possession of a
single person: the lead investigator. Moreover, as to those
other items not in his
possession, as the lead investigator he should have known about
and had them as well.
Again, returning to the New Hampshire Supreme Court’s decision
in Cotell:
If there has been a consistent pattern and practice of negligent
nondisclosure, resulting in actual prejudice to defendants, the
court might conclude that government misconduct has reached a level
warranting the extraordinary relief of dismissal. When the court
identifies such a pattern, its resort to dismissal, in lieu of less
severe measures, requires a finding that other remedies would not
have a deterrent effect. Furthermore, the misconduct constituting
the “last straw” in the pattern cannot be a case of nonfeasance
that falls short of actually prejudicing the defendant.
143 N.H. at 281 (citations and internal quotation marks omitted;
emphasis added).
43. First, there has not been “a consistent pattern and practice
of negligent
nondisclosure,” id., let alone a pattern and practice that has
“result[ed] in actual prejudice
to defendants.” Id. There have plainly been Discovery violations
in this case. Just as
plainly, what occurred here is an aberration. The three
prosecutors assigned to the case
have combined prosecutorial experience of over thirty years, in
three states, with no
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27
similar issue arising. A recent review of all other active cases
within the Major Crime
Unit uncovered no similar Discovery issue.
44. Moreover, the Court can draw on its own experience over the
past several
years as a sitting judge, with respect to law enforcement units
and prosecutors in general,
and the Major Crime Unit and the Attorney General’s Office in
particular. The
misconduct that has happened in this case is not routine or
regular. Although the Court
likely has encountered occasional discovery issues, they
undoubtedly are specific to the
case at hand rather than the result of misconduct at the
organizational level. In short, this
case presents an anomaly.
45. Nor do the defendant’s attempts to assign culpability beyond
the
parameters of this case, to an institutional “atmosphere” of
reckless disregard of statutory
and constitutional Discovery obligations, have factual merit.
Defendant’s Motion, at ¶
159. As an example, the defendant asserts that “[t]he [Attorney
General’s Office]
purposefully does not review what the investigators have
collected, abdicating the
responsibility of determining what is Brady material to the
investigators.” Id., at ¶
159(c). That neither was shown in this case, nor, as the
defendant more broadly posits, is
an institutional defect. As to this case, the record reflects a
fundamental breakdown in
the Discovery collection and reporting process by the lead
investigator. That in hindsight
prosecutors’ good-faith reliance on representations of full
disclosure to them was
misplaced in no way amounts to an abdication of the prosecutors’
constitutional duties.
And, the defendant’s attempt to elevate the obvious and
regrettable Discovery
shortcomings in this case to an agency-wide problem – either by
the State Police, the
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28
Attorney General’s Office, or both – has absolutely no factual
basis.9 Indeed, the
defendant has pointed to no case similar in nature to what
occurred here, let alone a series
of cases that would demonstrate the “atmosphere” that he claims
exists. As well, the
Court can draw on its own experience now as a sitting jurist,
and from prior criminal
litigation as a practicing attorney, as well as experiences from
fellow jurists. There
simply is no atmosphere or history.
46. Because there is no pattern and practice of institutional
wrongdoing by the
“State,” however broadly or narrowly the Court construes that
term, there is no such
misconduct to deter in the first instance. Deterrence
presupposes a practice that warrants
curtailment, and this case has presented an anomaly. But even if
deterrence were a valid
consideration in such an isolated case, that effect has been or
can be achieved by
measures other than dismissal with prejudice. As to specific
deterrence, the lead
investigator is no longer assigned to the case, and generally is
no longer in a position in
which he has similar duties of Discovery oversight and
processing. Further, the
meaningful sanctions that Judge Houran already has imposed, see
Initial Order, at pp. 19-
20, as well as the wide array of numerous other sanctions still
available to the Court, see
infra, constitute adequate and effective specific deterrent.
47. Turning to general deterrence, again, given the individual
nature of the
violations that have occurred, there is no general misbehavior
to change, through sanction
9 Similarly groundless is the defendant’s belief that the
Attorney General’s Office operates a Discovery procedure whereby
particular Discovery is not provided unless asked for by the
defense. Defendant’s Motion, at ¶ 159(e). That was neither the
practice here, nor is the practice generally. The standard
practice, since institution of the “Felonies First” procedures, is
that the lead investigator provides prosecutors whatever Discovery
is in his or her possession on a “rolling basis” – that is, a
continuing duty to provide as new reports are generated or
materials obtained. The prosecutors, in turn, provide their
received materials to defense counsel. There is no, nor has there
ever been, withholding of Discovery until specific request is made,
and the latter was never shown to occur in this case, despite the
defendant’s characterization attempt to the contrary.
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29
of dismissal or otherwise. But that being said, those violations
that occurred in this single
case have prompted action at an institutional level, as outlined
in the attached affidavit of
Captain Ebert. In particular, as set forth in that affidavit,
because of this case, the Major
Crime Unit undertook reviews in order to verify Discovery
compliance in other cases.
That process also verified the anomaly presented by this
case.
48. Moreover, in order to ensure that the lapses in records
documentation and
management that occurred here are not repeated in the future,
new institutional
prophylactic verification procedures have been implemented, and
a new records
management system will soon be used. These concrete steps
clearly will address the
deficiencies in communication and recordkeeping relied upon by
the defendant in his
motion, e.g., Defendant’s Motion, at ¶¶ 5, 7, and that resulted
in such negligent oversight
in this oneinstance..
49. To be sure, this case has had individual and institutional
consequences,
and an effect on law enforcement and the prosecution. Dismissal
with prejudice will not
further highlight or remedy the error that has occurred. As the
Massachusetts Supreme
Judicial Court discussed in a situation involving at its core
misconduct – perjury – far
more pernicious and condemnable than the gross negligence at
issue here:
The only reason to dismiss criminal charges because of
nonprejudicial but egregious police misconduct would be to create a
climate adverse to repetition of that misconduct that would not
otherwise exist. . . . The officers’ attempts to cover up their
misconduct were not designed to aid in the conviction of the
defendant of murder and other crimes and in fact may have seriously
hampered, rather than aided, proof of the defendant’s guilt. The
police perjury and cover-up were not entwined in proof of the
charges against the defendant but rather concerned a largely
separate matter (illicit drug dealing) that, to be sure, may have
some connection with proof of the defendant’s guilt. These acts do
not require dismissal of the charges for prophylactic reasons.
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30
Repetition of such conduct by others will be sufficiently
discouraged without dismissal of the charges. The officers’ police
careers are over, their reputations are greatly damaged, and they
face serious criminal charges. Knowledge of these adverse
consequences to the police officers should be a deterrent to
similar future misconduct. A properly constructed and diligently
supervised police department procedure for monitoring and
controlling the content of applications for search warrants based
on information from undisclosed informants should also provide a
deterrent to misconduct, provided it is endorsed by responsible
superiors and contains provisions for discipline when prescribed
procedures are not followed. . . . The likelihood that misconduct
of the type involved in this case will not be uncovered, unless the
dismissal of charges is assured when one is caught in such
wrongdoing, is not so great as to require dismissal of the
indictments in this case in order to encourage earlier disclosure
of wrongdoing in future cases. In the absence of a demonstrated
need for deterrence, a prophylactic remedy is inappropriate. In
order to express its outrage at the reprehensible police conduct in
this case, society need not punish itself by freeing a man who may
be guilty of murder in the first degree and other serious crimes.
If the defendant can receive a fair trial in spite of the police
misconduct . . . that misconduct provides no reason to dismiss the
charges in this case.
Lewin, 542 N.E.2d at 287 (internal quotation marks and citations
omitted).
50. Here, because of the noncriminal nature of the misconduct
that occurred
there will be no pending criminal charges to act as a deterrent.
But that being said, the
other deterrent consequences and effects discussed by the
Massachusetts Supreme
Judicial Court exist and provide powerful incentive for the
“State” – both police agencies
and prosecutors – to ensure that no further errors occurs in
this case going forward.
Moreover, the adverse consequences to the State that have
already transpired – including
but not limited to mistrial in a lengthy case that had
established guilt beyond a reasonable
doubt of serious crimes – serve as weighty reminder to all state
actors of the need to be
diligent in satisfying Discovery obligations and adhering to
judicial directives.10
10 So too can the Court take judicial notice of the state-wide
publicity received from the mistrial that occurred as a result of
the State’s Discovery violations, which focused on that error and
the State’s sole
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31
51. In short, dismissal will not promote change beyond that
which has
occurred. Rather, dismissal will solely punish. And, even if
this case was one in a
pattern and practice of institutional nondisclosure, “the
misconduct constituting the ‘last
straw’ in the pattern cannot be a case of nonfeasance that falls
short of actually
prejudicing the defendant.” Cotell, 143 N.H. at 281. As
discussed infra, the nonfeasance
here, albeit extraordinary and grave, has not actually
prejudiced the defendant.
B. Prejudice
52. Turning next to prejudice, as Judge Houran has found, the
Discovery
violations in this case were the product of culpable negligence.
Consequently, in order
for the possibility of dismissal with prejudice to be warranted,
the defendant must have
suffered actual prejudice from the untimely disclosure that
cannot be adequately
addressed by alternative sanctions and remedial measures.
Michaud, 146 N.H. at 33
(“We . . . decline to hold that automatic dismissal is required
upon a showing of culpable
negligence alone. In this case, where the court found the State
acted in good faith but
with culpable negligence, we conclude that a showing of
prejudice was required before
the court could dismiss the indictment.”). Indeed, even were the
Court to find, upon
consideration of the materials disclosed after Judge Houran’s
ruling on the defendant’s
initial motion to dismiss, that the violations have elevated to
an even greater level of
culpability, requiring a showing of actual prejudice is still
appropriate. Compare Bain,
responsibility for the mistrial. E.g.,
https://www.fosters.com/news/20191031/we-failed-mistrial-declared-in-double-murder-case;
https://www.unionleader.com/news/courts/nh-state-police-apologize-to-families-for-mistrial-in-double/article_5e448488-8380-5fee-9f07-bf45619ce435.html;
https://www.unionleader.com/news/courts/mistrial-declared-in-farmington-double-murder-state-police-withheld-evidence/article_bb5b6713-e707-5023-a67c-81b14a713bc6.html;
https://apnews.com/21061b66fe7747b9881d8cc87a5cc547;
https://www.wmur.com/article/judge-declares-mistrial-in-farmington-double-homicide-case/29670702.
To be sure, any possible preconceived notions held by prospective
jurors at a retrial – that the State withheld information from the
defense – would inure to the defendant’s benefit.
https://www.fosters.com/news/20191031/we-failed-mistrial-declared-in-double-murder-casehttps://www.fosters.com/news/20191031/we-failed-mistrial-declared-in-double-murder-casehttps://www.unionleader.com/news/courts/nh-state-police-apologize-to-families-for-mistrial-in-double/article_5e448488-8380-5fee-9f07-bf45619ce435.htmlhttps://www.unionleader.com/news/courts/nh-state-police-apologize-to-families-for-mistrial-in-double/article_5e448488-8380-5fee-9f07-bf45619ce435.htmlhttps://www.unionleader.com/news/courts/mistrial-declared-in-farmington-double-murder-state-police-withheld-evidence/article_bb5b6713-e707-5023-a67c-81b14a713bc6.htmlhttps://www.unionleader.com/news/courts/mistrial-declared-in-farmington-double-murder-state-police-withheld-evidence/article_bb5b6713-e707-5023-a67c-81b14a713bc6.htmlhttps://apnews.com/21061b66fe7747b9881d8cc87a5cc547https://www.wmur.com/article/judge-declares-mistrial-in-farmington-double-homicide-case/29670702https://www.wmur.com/article/judge-declares-mistrial-in-farmington-double-homicide-case/29670702
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145 N.H. at 373 (where intentional misconduct at issue did not
impede trial court’s ability
to administer justice, “under the circumstances of this case,
the court was required to find
prejudice before dismissing the charges as a sanction for [such]
misconduct.”). After all,
as just discussed supra, there is no institutional level of
misconduct that needs to be
remedied, and, as will be discussed infra, harm caused by
dismissal in a case such as this
is disproportionately borne by the victims’ families as well as
by society as a whole.
1. Prejudice to the Defendant
53. As to prejudice to the defendant, the State addresses such
harm in two
distinct contexts. The first is overall prejudice to the
defendant. That is, whether the
delayed disclosure of Discovery has caused him prejudice that
should have entitled him
to relief beyond the mistrial that he received. For this
assessment of prejudice, the State
analyzes any actual substantive detriment to overall defense
trial strategy and tactics, as
well as potential effect on the newly disclosed information on
the first trial’s potential
outcome. The second context is prejudice to the defendant at his
retrial.
a. Overall Prejudice
54. The defendant argues that he was prejudiced at the first
trial by the late
disclosure. Judge Houran already thoroughly addressed the matter
with respect to the
materials that were the subject of the Initial Order, and found
that whatever prejudice
suffered by the defendant could be addressed by the curative
measures and the imposition
of numerous substantive penalties. Initial Order, at pp. 10-15,
19-20. The defendant has
not articulated how the materials disclosed since the issuance
of that Order changes those
relevant findings.
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55. Turning to the defendant’s claims of irremediable prejudice
flowing to
him from subsequently disclosed materials, those claims are
unpersuasive. The State
infra, as well as in a separate Appendix to this objection
individually identifies and
describes in detail the materials at issue, and also addresses
the potential use of those
materials by the defense either at trial, or in formulating
particular trial tactics or broad
trial strategy. As that full analysis reveals, none of those
materials, viewed objectively,
would have changed in any substantive manner or degree overall
defense trial strategy.
56. In fact, very little of the newly disclosed information that
could be used at
trial is even germane to legitimate trial issues. Most of the
information involves events
that have at best tangential relevance to the murders, such as
canine searches,
nonsubstantive message exchanges between investigators and
interviewees, the reporting
of additional patently false hearsay about the murders, and
synopses of unrelated criminal
matters. Such information neither exculpates the defendant
directly or indirectly, nor
supports his theory of defense as advanced at trial. That
information also could not be
used effectively to impeach the State’s witnesses or otherwise
legitimately undermine or
rebut its case.
57. Moreover, particular defense trial tactics would not have
deviated in a
significant degree. Most of the material also would have had
(and has) absolutely no
value for use at trial either for supporting the defense case or
for impugning that of the
State. The defense has pointed to very few materials that it
claims would have, for
example, altered how witnesses presented by the State were
cross-examined, or who the
defense would or would not have called to testify. And, with
respect to those materials,
as discussed infra no irremediable prejudice has occurred.
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34
58. Admittedly, the amount of newly provided materials is large.
But those
materials pale both in quantity and in actual usefulness to the
defense to the Discovery
timely provided to the defense in this particular case as a
whole – over ten thousand
pages of written material and 275 media disks. More to the point
as to the lack of actual
prejudice to the defense, as the analysis set forth below and in
the attached Appendix
reveals, there are no new materials that would have had
significant substantive use for the
defense. Furthermore, to the extent any materials could have had
an actual use by the
defense at the first trial, remedies and sanctions similar to
those instituted by Judge
Houran in his initial Order would have alleviated that
prejudice.
59. Lastly, none of the materials would have legitimately
changed defense
preparation for trial. Again, an objective review of the
materials uncovers no new areas
of investigation to be pursued by the defense. Nor has the
defense identified any actual
new avenues that they would have or could have explored had they
received the materials
when they were supposed to. This reality further supports the
conclusion of an absence
of actual prejudice by the defense from late disclosure.
b. Prejudice at Retrial
60. The defendant claims prejudice as to retrial, in that his
attorneys have
“showed their hand” with respect to particular tactics and
strategies. Defendant’s
Motion, at p. 84. But the reality is that such tactics and
strategies before trial even began
were well known to the prosecutors, based on the extensive
pretrial litigation that
occurred, and the information that the defense sought to
introduce at trial, in terms of
alternative perpetrator evidence, alleged ties between Dean
Smoronk and “motorcycle
gangs,” Smoronk’s threats against Christine Sullivan, and the
like.
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35
61. The reality also is that the defense saw the entirety of the
State’s
presentation of evidence, and at retrial can change tactics
accordingly. Indeed, at the
defendant’s trial the State made a series of tactical choices –
chief among them not
calling Dean Smoronk to testify – of which counsel for the
defendant is now aware, and
can prepare for in a second trial. In terms of adjustment by the
State at retrial, frankly
little would be done in retrospect – the State presented a
compelling case of the
defendant’s guilt. See infra.11
62. Next, the defense has received the untimely disclosed
materials, and
counsel have had (or at the very least, by the time of retrial
will have had) ample time to
review them in order to conduct any investigative follow-up they
deem to be warranted.
So too has the defense been afforded – and rightly so –
extraordinary latitude in
developing further investigative leads, such as unopposed
requests for depositions.
Furthermore, the defense has had (or at the very least, by the
time of trial will have had)
ample time and opportunity to possibly incorporate any of the
newly-provided materials,
or any investigative leads derived therefrom, either in
supporting the defense or in
attacking the State’s case at retrial, whether broadly or more
discretely, through the use of
impeachment through inconsistencies and the like.
63. The defendant makes no claim that the passage of time has
inured or will
inure to his detriment – i.e., making witnesses otherwise
available to him unavailable, or
creating recollection issues that harm his case. To the
contrary, any such ill effects of
retrial likely will be borne by the State, given the
disproportionate amount of factual
11 Along those same lines, although prosecutors at this point
can contact jurors to discuss aspects of the case, a practice
typically conducted after a mistrial in order to gain insight into
a case’s presentation and make any adjustments that can be made,
the prosecutors here have deliberately not contacted or had any
communications with jurors in this case, nor will they do so in the
future, in order to maintain a status quo.
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36
witnesses that the State produced at the first trial. Those
State witnesses also would be
disproportionally subject to possible impeachment from prior
sworn inconsistent
statements made at the first trial.
c. Specific Claims of Prejudice
64. In the Appendix to the State’s Objection, the State has
specified the
materials disclosed since Judge Houran’s ruling on the
defendant’s initial motion to
dismiss, and has discussed each in the context of prejudice.
Below, the State addresses
the specific claims of prejudice articulated by the defendant in
his present motion.
Tanner Crowley (Defendant’s Motion, at ¶¶ 163-67)
65. The defendant is correct that to date he has not received
any report or
recording of an interview conducted of Tanner Crowley by a
federally-designated
investigator. The State has inquired of the United States
Attorney’s Office and was
notified that the interview was not recorded and that no report
or notes for the interview
were generated. The State has attempted to make the investigator
who conducted that
interview available to the defense for deposition; however, as
said investigator was a
Task Force Officer with the DEA at the time, the DEA has taken
the position that the
Touhy process needs to be followed.12 It is the State’s
understanding that the defendant
has begun or will soon begin the Touhy process. The State
assents to any supplement
that the defendant files to his motion based on that
deposition.
Jenna Guevara (Defendant’s Motion, at ¶¶ 168-77)
66. For context to this particular claim of prejudice, prior to
trial the defendant
had in his possession, through Discovery timely provided by the
State, a transcript of an
interview investigator conducted with Jenna Guevara, reports of
additional conversations 12 See the below section about the drug
investigation for more information on the Touhy process.
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37
that investigators had with her, and photos of text messages
between her and Dean
Smoronk taken from her cellphone. See Defendant’s Motion, at ¶
168. The defendant
also had his own investigator interview Guevara prior to trial.
The defendant called
Guevara to testify in his case.
67. After the declaration of a mistrial, the defendant received
a recording of an
additional conversation between Lieutenant Strong and Guevara,
as well as text messages
exchanged between the two. The defendant’s claim of prejudice
with respect to these
materials is his assertion that a single text message contained
corroboration of the claim
of Fidencio Arellano – someone who the defendant was well aware
of prior to trial and
had not called to testify at trial at the time when the mistrial
was declared – that Dean
Smoronk attempted to hire him to kill victim Christine Sullivan,
as well as an Edgar
Morales. Id., at ¶ 169.
68. As an initial matter, although the defendant appears to
assert that the
March 19 recording contained information pertaining to Smoronk’s
alleged solicitation of
Arellano, upon review of that recording it appears that no such
information is conveyed
either directly or indirectly. The volume of the recording
admittedly is low. To the
extent that the defendant does in fact claim that the recording
contains a direct or indirect
reference to the alleged solicitation, the State invites him to
specify for the State and the
Court where in the recording such reference is made.
69. In any event, more dispositive of the defendant’s claim of
prejudice is that
its underlying premise is, as he well knows, false. It is
undisputed that the defendant
knew well before trial, based on Discovery provided by the
State, of the existence of
Arellano, as well as his claims that Smoronk had solicited him
to kill Morales and
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38
Sullivan. Defendant’s Motion, at ¶ 34. According to the
defendant, “prior to trial the
defense had at best only a supposition, unsupported with
specific evidence, that Guevara
had made the statements demonstrating knowledge of Smoronk’s
solicitation and
therefore was denied the opportunity to obtain this
corroborations,” and that “[h]ad the
defense received this information pre-trial, as they were
constitutionally entitled to,
Guevara could have been questioned about her knowledge of
Smoronk’s solicitation of
Arellano and potentially offered trial testimony in
corroboration of Arellano.” Id., at ¶
177.
70. As noted, the defendant through timely provided Discovery
knew of Jenna
Guevara, and had his investigator interview her well before
trial. The relevant portion of
the defense investigator’s written report, dated May 18, 2018 –
over a year before trial –
directly refutes the defendant’s claim that he was unaware of
the information about
Arellano possessed by Guevara:
Fedencio Arellano “Chencho” is Jenna’s best friend. They met
when Chucho defended Jenna when she was being robbed outside her
business in Naples. Jenna said that Chucho saved her life. Chucho
confided to Jenna that Dean [Smoronk] wanted to pay him to kill
Edgar and Christine. Dean gave Chucho the key to the van Edgar was
driving also the address in Bonita. Jenna convince Chucho to speak
with the NH State Police. . . .
(Emphasis added).13
71. The reality is that, over a year before trial, the
defendant’s trial team not
only knew of Guevara, but also knew from her directly of the
information that she
possessed regarding Arellano. As to why his trial lawyers did
not elicit such information
13 Should the defendant actually dispute these contents of the
report prepared by his own investigator, and given to the State by
his trial attorneys as part of reciprocal discovery, the State will
provide a copy to the Court.
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39
from her at trial, the answer is not that they were ignorant of
such because of untimely
Discovery, but because the information was inadmissible. The
information was plain
hearsay (reflecting not what Guevara heard from Smoronk
directly, but second-hand
through Arellano), inadmissible under any exception. And,
because Arellano had not
testified at the time when defense counsel called Guevara to
testify,14 to the extent her
information could be admitted as a prior consistent statement or
other means of
rehabilitation, there was no testimony to rehabilitate.
72. In short, any prejudice with respect to Guevara resulted –
and would result
upon retrial – not from untimely Discovery, but from application
of the pertinent rules of
evidence.
Jessica Rodrigue (Defendant’s Motion, at ¶¶ 178-79)
73. The material pertaining to Jessica Rodrigue was a subject of
the
defendant’s first motion to dismiss; there were no additional
materials pertaining to her
disclosed after the declaration of a mistrial. The defendant
raises no different claim of
prejudice with respect to her material that he did not address
before Judge Houran. The
State relies on the oral arguments that the State made at the
hearing on the initial motion,
as well as Judge Houran’s ruling on that matter, including his
ordered sanction/remedy.
Initial Order, at pp. 10-11, 19. The State does emphasize that,
as to claimed prejudice,
the same evidentiary impediments just discussed with respect to
the Guevara would have
and do apply to the actual use of the information provided by
Rodrigue; that is, the
defendant could at best offer the information for
rehabilitation, for a witness that in the
14 Nor was it likely that the defense would call Arellano before
resting its case. The evidence that Arellano had regarding alleged
solicitations made by Smoronk were inadmissible hearsay, as Smoronk
was available to testify. See N.H. R. Evid. 804.
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40
first trial they likely would not have called, because his
proffered exculpatory testimony
was inadmissible hearsay.
Lieutenant Strong’s text messages and emails with witnesses
(Defendant’s Motion, at ¶¶ 180-88)
74. The defendant points to only a few of the text messages that
were
disclosed post-mistrial as having caused actual prejudice. The
first is a text from Lt.
Strong to Fidencio Arellano from September 21, 2017. Defendant’s
Motion, at ¶ 182.
The defendant claims that had this text message been timely
disclosed, it may have led to
Jessica Rodrigue’s interview being disclosed. However, as noted
above, and as Judge
Houran correctly found in his Initial Order, there is no
irremediable prejudice with
respect to the Rodrigue material. Therefore, a text message
which, at best, would have
the Rodrigue materials being disclosed sooner, cannot itself be
the cause of actual
prejudice.
75. The defendant also points to text messages between Lt.
Strong and Arnold
Bennett as being a source of actual prejudice. Defendant’s
Motion, at ¶¶ 183–84. Mr.
Bennett, together with his wife, Jen, and their son, Michael,
were individuals known to
the defense through timely disclosed discovery. The defendant
chose not to interview
any of the three in advance of trial. The defendant’s claim of
prejudice based on the late-
disclosed text messages is speculative, at best. As the
defendant notes, “other[ text
messages] indicate that Arnold Bennett seems to have additional
information about
witnesses in the case.” Id. (emphasis added). Since receiving
the late-disclosed text
messages approximately six months ago, the defendant has had
ample opportunity to
interview M