Bretz v. Crist
Opinion of the Court
The tension between federalism and the doctrine of selective incorporation of Bill of Rights guarantees via the Fourteenth Amendment inevitably generates appeals such as this. Appellants contend that a second prosecution brought against them by • the State of Montana violated the double jeopardy clause of the Fifth Amendment as applied to the states through the due process clause of the Fourteenth Amendment. In denying their petition for habeas corpus, following conviction at the second trial, the United States District Court for the District of Montana agreed with the state that state, not federal, law determines when jeopardy attaches and therefore under the controlling Montana statute appellants had not been put in jeopardy by the first prosecution; and, in the alternative, that federal standards for reprosecution following a declaration of mistrial had been met. Cunningham v. District Court, 406 F.Supp. 430, 432-434 (D.Mont. 1975) (consolidated case).
The evidence at the trial would justify finding that appellants Bretz and Cline concocted a scheme to fraudulently obtain workmen’s compensation payments as beneficiaries of one Wampole, deceased. The plan’s particulars were not illuminated on appeal, but it appears that appellants filed a claim with the Montana Workmen’s Compensation Division, alleging that Wampole was an employee of Courtesy Mobile Home Transporting, Inc.; that he suffered a fatal injury in the course of his employment; and that they were entitled to benefits on his behalf. Appellants prepared and submitted three different documents to the Workmen’s Compensation Division: a “Claim for Compensation;” an “Employer’s First Report of Occupational Injury or Disease;” and a “Petition for Compromise Settlement.” Based on these documents, the Division paid a settlement of $5400 to the appellants.
A. The Charges
Claiming that Wampole had never been employed by Courtesy, and had not been fatally injured in the course of his alleged employment, the state filed a nine-count information on October 3, 1974. The state leveled the following charges against the appellants:
(1) Count I contended that the entire scheme constituted grand larceny in violation of REV. CODE OF MONTANA § 94-2701(l)(1948), and specified that the offending conduct occurred between January 13, 1973 and February 19, 1974.
(2) Count II also applied to the entire scheme, and maintained that appellants committed the crime of obtaining money and property by false pretenses in violation of REV. CODE OF MONTANA § 94-1805 (1947). Due to a typographical error, however, the information specified that the offending conduct occurred between January 13, 1974 and February 19, 1974.
(3) Counts III through VIII fragmented1 appellants’ conduct into three instances of preparing false evidence in violation of REV. CODE OF MONTANA § 94-1703 (1947) and three instances of offering false evidence in violation of REV. CODE OF MONTANA § 94-1701 (1947). Each of the three documents submitted by appellants to the Division anchored a pair of offenses. Thus, the “Claim for Compensation” was the basis for charges of preparing false evidence and offering false evidence between the dates of February 5,1973 and February 13,1973 (Counts III and IV); the “Employer’s First Report” was the basis for similar charges of criminal conduct during the period March 19, 1973 to March 22, 1973 (Counts V and VI); and the “Petition for Compromise Settlement” was the basis for similar charges of criminal conduct during the period January 30, 1974 to February 1, 1974 (Counts VII and VIII);
(4) Count IX returned to the entire scheme and alleged that the appellants’ conduct amounted to presenting false proofs upon a policy of insurance in violation of REV. CODE OF MONTANA § 94-2202 (1947), the offending activity supposedly having occurred between January 13, 1973 and February 19, 1974.
B. The First Prosecution
The following facts are conclusively established by the record. On March 10,1975, counsel for the state and for appellants answered ready in the state trial court. On March 12, 1975, before voir dire had been completed, the trial court granted the state’s motion to dismiss Count IX of the information (presenting false proofs upon a policy of insurance). On March 13, 1975, a
The state resisted this attempt to excise Count II from its case, and on March 21, 1975, moved to amend Count II to correct the typographical error. On March 24, 1974, the trial court denied this motion and sua sponte dismissed Count II for failing tosíate an offense.
C. The Second Prosecution
On the same day that the trial court dismissed the first information, the state filed a second, two-count information. Count I accused the appellants of grand larceny, and tracked the language of Count I of the original information. Count II charged them with obtaining money and property by false pretenses, and corrected the typographical error that had flawed the original information. A new jury was impaneled, appellants’ motion to dismiss on grounds that the prosecution placed them twice in jeopardy was denied, and appellants were found guilty of obtaining money and property by false pretenses. After exhausting available state postconviction remedies, appellants sought and were denied habeas corpus relief by the district court.
II. ATTACHMENT OF JEOPARDY
Before 1969, the Supreme Court employed different criteria to test the constitutional permissibility of reprosecutions by state and federal authorities. Even though double state trials might run afoul of Fifth Amendment barriers to federal reprosecutions, the Fourteenth Amendment was thought to pose no constitutional obstacle to state retrials unless the proceedings exposed the accused to “that kind of double jeopardy [which creates] a hardship so acute and shocking that our polity will not endure it.” Palko v. Connecticut, 302 U.S. 319, 328, 58 S.Ct. 149, 153, 82 L.Ed. 288 (1937).
A. A Question of Lawmaking Competence
An arithmetical as well as constitutional precondition to being “subject for the same offense to be twice put in jeopardy of life or limb,” U.S.Const. Amend. V, is to be once put in jeopardy. Hence the theory of attachment of jeopardy, admittedly an attempt at ratification, but nevertheless serving to signify that point in the state’s efforts to secure a conviction when the interests protected by the double jeopardy clause are sufficiently implicated to warrant barring a second prosecution absent special countervailing considerations. If the state rule — that jeopardy does not attach until “after the first witness is sworn,” Rev. Code of Montana, § 95 — 1711(3)(d) (1947) — is controlling, then petitioners were never put in jeopardy by the first prosecution and their second trial a fortiori could not have contravened the constitutional command. See Alexander v. Fogliani, 375 F.2d 733, 734 (9th Cir. 1967) (no double jeopardy violation where, because jury had not been impaneled, jeopardy could not have attached). But if the federal rule — that jeopardy attaches when a jury is impaneled and sworn, e. g., Downum v. United States, 372 U.S. 734, 735-36, 83 S.Ct. 1033, 10 L.Ed.2d 100 (1963) — is of constitutional dimension, then jeopardy attached at the first trial and unless the mistrial declaration was consonant with the “manifest necessity”-doctrine, see Part III infra, the second trial was constitutionally impermissible. The threshold question is thus whether the federal attachment of jeopardy rule is a product of constitutional exegesis or simply a nonconstitutional consequence of the Supreme Court’s supervisory power over federal courts and federal officials.
We reject at the outset the notion that while the double jeopardy clause constrains reprosecutions by the states, it countenances different constitutional applications in state and federal courts. To be sure, this double-barreled incorporation doctrine can claim its supporters,
Neither the Court’s application of the exclusionary rule nor the jury trial cases embarrass the Supreme Court’s position that the coverage of selectively incorporated provisions of the Bill of Rights must be coextensive in state and federal tribunals. It is true that although the Fourth Amendment’s prohibition of unreasonable searches and seizures was made applicable to the states in Wolf v. Colorado, 338 U.S. 25, 69 S.Ct. 1359, 93 L.Ed. 1782 (1949), the Supreme Court delayed full enforcement of the federal exclusionary rule, see Weeks v. United States, 232 U.S. 383, 34 S.Ct. 341, 58 L.Ed. 652 (1914), against the states for another twelve years. See Mapp v. Ohio, 367 U.S. 643, 81 S.Ct. 1684, 6 L.Ed.2d 1081 (1961); cf. Elkins v. United States, 364 U.S. 206, 80 S.Ct. 1437, 4 L.Ed.2d 1669 (1960) (evidence illegally obtained by state officials may not be used in federal prosecutions). Recent Supreme Court decisions, however, demonstrate that the exclusionary rule is a “judicially created remedy designed to safeguard Fourth Amendment rights generally through its deterrent effect, rather than a personal constitutional right of the party aggrieved,” United States v. Calandra, 414 U.S. 338, 348, 94 S.Ct. 613, 620, 38 L.Ed.2d 561 (1974); accord, United States v. Peltier, 422 U.S. 531, 538-39, 95 S.Ct. 2313, 45 L.Ed.2d 374 (1975). The Court’s holding in Stone v. Powell, 428 U.S. 465, 96 S.Ct. 3037, 49 L.Ed.2d 1067 (1976), that a state prisoner afforded an adequate opportunity to contest the admission of illegally seized evidence at his state trial is not entitled to federal habeas corpus consideration of such a claim, confirms that the exclusionary rule, while constitutionally inspired, is not constitutionally required. Thus the hiatus between Wolf and Mapp gives us no pause: because the exclusionary rule is not constitutionally required — that is, it forms part of “a substructure of substantive, procedural and remedial rules . a constitutional common law subject to amendment, modification, or even reversal by Congress”
The state misreads Williams v. Florida, 399 U.S. 78, 90 S.Ct. 1893, 26 L.Ed.2d 446 (1970), and Apodaca v. Oregon, 406 U.S. 404, 92 S.Ct. 1628, 32 L.Ed.2d 184 (1972), as encouraging respect for state “procedural” rules that leave the “substance” of federal constitutional rights intact. Williams held that a state need not provide a 12-person jury in order to comply with the jury trial requirements of the Sixth Amendment. In Apodaca, a plurality of four Justices maintained that when a state dispenses with the unanimity requirement, it does not scuttle the Duncan -incorporated jury trial guarantee. The crucial point, however, is that the Williams majority and the Apodaca plurality treated the 12-person and unanimity requirements, respectively, as non-constitutional rules in federal as well as state courts.
B. Constitutional Status of the Attachment of Jeopardy Rule
The attachment of jeopardy rule performs a crucial service in double jeopardy
Before Downum v. United States, 372 U.S. 735, 83 S.Ct. 1033 (1963), the Supreme Court had no occasion to announce a rule governing the attachment of jeopardy: all previous mistrial cases had held that the declaration of mistrial was proper and that therefore retrial did not give rise to a cognizable double jeopardy claim, see, e. g., note 24, infra. Leading Courts of Appeals cases did not observe an analytical distinction between situations when jeopardy attaches during the first proceeding and those in which a subsequent proceeding subjects the accused to a second jeopardy,
We hold that the attachment of jeopardy rule applied in Downum, Somerville and Serfass is a constitutional requirement of the Fifth Amendment which is binding on the states as well as the federal government. The rule itself serves as the lynchpin for all double jeopardy jurisprudence. Serfass v. United States, 420 U.S. 377, 393, 95 S.Ct. 1055, 1065, 43 L.Ed.2d 265 (1975) (“fundamental principle that an accused must suffer jeopardy before he can suffer double jeopardy”); Illinois v. Somerville, 410 U.S. 458, 467-68, 93 S.Ct. 1066, 1072, 35 L.Ed.2d 425 (1973) (“the conclusion that jeopardy has attached begins . the inquiry . . . . Only if jeopardy has attached is a court called upon to determine whether the declaration of a mistrial” comports with the double jeopardy clause). Justice Harlan writing for the Court in United States v. Jorn, 400 U.S. 470, 91 S.Ct. 547, 27 L.Ed.2d 543 (1971),
The Supreme Court has consistently applied the federal attachment of jeopardy rule to state cases. In Illinois v. Somerville, 410 U.S. 458, 93 S.Ct. 1066, 35 L.Ed.2d 425 (1973), the Court unhesitatingly turned to the federal rule as the first step in a two-step analysis to determine (1) when jeopardy attached and (2) whether subsequent proceedings amounted to a second jeopardy. See 410 U.S. at 467-68, 93 S.Ct. 1066. Montana points out that the federal and state attachment of jeopardy rules in Somerville were identical, see, e.g., People v. Somerville, 88 Ill.App.2d 212, 232 N.E.2d 115, 117 (1967), but this erroneously equates a circumstance with a dispositive factor in a Supreme Court opinion. The Somerville Court never mentions the state rule, and a thorough sifting of the opinion fails to discover even a shard of evidence suggesting that the Court did not consider federal standards controlling.
Breed v. Jones, 421 U.S. 519, 95 S.Ct. 1779, 44 L.Ed.2d 346 (1975), resolves any doubt that federal standards determine when jeopardy attaches. In Breed, a unanimous Court ruled that a juvenile may not be tried as an adult for violation of a criminal statute when the alleged violation has previously been the basis for a juvenile court’s adjudicatory determination of delinquency. The state contended that jeopardy
Montana correctly urges that Breed v. Jones did not “baldly assert that a state cannot determine at what point a trial commences,” and argues that no constitutional violation occurred here because under the Montana statute appellants were “tried but one time.” Brief for Appellees at 7. But the circularity of the argument is palpable, and the reliance on Breed transmutes literal facts into constitutional finding. Montana neglects to point out that Breed also rejected — on federal constitutional grounds — the state law doctrine that the adult division trial merely “continued” the juvenile jeopardy. 421 U.S. at 532-35, 95 S.Ct. 1779. If the constitutional protection against double trials as well as double punishment
Illinois v. Somerville and Breed v. Jones leave little room for argument, although the eases do not contain unequivocal language specifying federal rules of decision in attachment of jeopardy cases. Montana thus claims that a distinguishable state decision,
“the [state’s] contention that petitioner was not ‘put to trial’ or was in no way prejudiced by the dismissal of the proceedings before testimony was presented has been decided adversely to it by the Supreme Court in Downum and . . . Somerville. ... In both cases the Supreme Court held that jeopardy attached when the first jury was selected and sworn. The mere introduction of evidence has no spontaneous effect on a defendant which can be said to automatically charge him with an appreciable degree of insecurity once he has made the preparations for trial and selected those of his peers who will determine his fate.”
Montana debates the comparative efficacy of the federal rule versus its own rule, relying on the belief of the Montana Supreme Court that there is “no substantial difference between the two rules,” State v. Cunningham, 535 P.2d 186,189 (Mont. 1975). One must, of course, concede that line drawing — an unavoidable incident of judicial decision — “cannot be wholly satisfactory, for it requires attaching different consequences to events which, when they lie near the line, actually differ very little,” Duncan v. Louisiana, 391 U.S. 145, 161, 88 S.Ct. 1444, 1453, 20 L.Ed.2d 491 (1968). But to make the very difficulty of constitutional decisionmaking a reason to disregard authoritative Supreme Court precedent is not a proposition to be considered. See, e. g., Baldwin v. New York, 399 U.S. 66, 73-74, 90 S.Ct. 1886, 26 L.Ed.2d 437 (1970) (state may not employ its own felony/misdemean- or classification, rather than federal potential sentence rule, to trigger jury trial guarantee despite similar results of the rules.)
Moreover, we question the accuracy of the Montana Supreme Court’s view that there is “no inherent merit in the federal rule over Montana’s state law,” State v. Cunningham, 535 P.2d 186,188 (Mont. 1975). Cunningham incorrectly proceeds on the assumption that the attachment of jeopardy rule is designed to prevent prosecutorial manipulation. 535 P.2d at 188-89. But as the Montana Supreme Court recognized, the trial court’s correct application of mistrial doctrine, see Part III infra, is the only effective safeguard against prosecutorial overreaching. 535 P.2d at 188-89. The attachment of jeopardy rule addresses different concerns: (1) protecting the accused from the financial, physical and psychological enervation worked by repetitive prosecutions;
III. RETRIAL AFTER MISTRIAL Preconstitutional courts in America and England offered protection against double jeopardy only to defendants who had been pursued to the point of a final judgment or verdict. Whether the framers envisioned the double jeopardy clause as affording a broader protection against reprosecution after prematurely terminated trials is not disclosed by available historical evidence.
A declaration of mistrial anticipates re-prosecution, but as early as Simmons v. United States, 142 U.S. 148, 12 S.Ct. 171, 35 L.Ed. 968 (1891), an erroneously declared mistrial was viewed as creating a potential double jeopardy problem. Simmons and Logan v. United States, 144 U.S. 263 (1892), attached constitutional significance to Perez ’ delphic concepts of “manifest necessity” and “the ends of public justice,” which are now firmly established as constitutional standards of review of mistrial cases, see e. g., United States v. Dinitz, 424 U.S. 600, 603-607, 96 S.Ct. 1075, 1078-1080, 47 L.Ed.2d 267 (1976); Illinois v. Somerville, 410 U.S. 458, 461, 93 S.Ct. 1066, 35 L.Ed.2d 425 (1973). Since appellants were put in jeopardy at their first trial, see Part II supra, the remaining question on appeal is whether, under the Perez standards, the mistrial was declared in circumstances that permit reprosecution.
A. The Legacy of Perez
The rationale behind allowing retrial following mistrial rulings that meet the Perez standards — for any retrial exposes a de
“The double-jeopardy provision of the Fifth Amendment . . . does not mean that every time a defendant is put to trial before a competent tribunal he is entitled to go free if the trial fails to end in a final judgment. Such a rule would create an insuperable obstacle to the administration of justice in many cases in which there is no semblance of the type of oppressive practices at which the double-jeopardy prohibition is aimed.”
■In administering the Perez test, the Court has been reluctant to resort to mechanical rules to resolve the conflict between a defendant’s Fifth Amendment rights and society’s interest in full enforcement of the criminal law. Nevertheless, ever since Justice Story cautioned that the power to declare a mistrial should be employed only “under urgent circumstances, and for very plain and obvious causes,” 22 U.S. (9 Wheat.) at 580, one uniform requirement has been imposed on all mistrial cases. That requirement and the reason for it were explained in United States v. Jorn, 400 U.S. 470, 485, 91 S.Ct. 547, 557, 27 L.Ed.2d 543 (1971):
“If [the] right to go to a particular tribunal is valued, it is because, independent of the threat of bad-faith conduct by judge or prosecutor, the defendant has a significant interest in the decision whether or not to take the case from the jury when circumstances occur which might be thought to warrant a declaration of mistrial. . . . [T]he Perez doctrine of manifest necessity stands as a command to trial judges not to foreclose the defendant’s option until a scrupulous exercise of judicial discretion leads to the conclusion that the ends of public justice would not be served by a continuation of the proceedings.”
Accord, United States v. Dinitz, 424 U.S. 600, 603-611, 96 S.Ct. 1075, 1078-1082, 47 L.Ed.2d 267 (1976); Illinois v. Somerville, 410 U.S. 458, 462-63, 93 S.Ct. 1066, 35 L.Ed.2d 425 (1973).
Applying this principle to the instant case, we hold that retrial on Count I (grand larceny) of the original information was prohibited by the double jeopardy clause. Unlike Count II (obtaining money and property by false pretenses), Count I was sufficient to state an offense. Its dismissal necessarily denied appellants the chance to take the grand larceny charge “to the first jury and, perhaps, end the dispute-then and there with an acquittal,” United States v. Jorn, 400 U.S. 470, 484, 91 S.Ct. 547, 557, 27 L.Ed.2d 543 (1971). Yet no reason — other than the state’s convenience in litigating the case as a unit — appears to have prompted the mistrial declaration. Certainly the “public’s interest in fair trials designed to end in just judgments,” Wade v. Hunter, 336 U.S. 684, 689, 69 S.Ct. 834, 837, 93 L.Ed. 974 (1949), could have been adequately served by completing the trial on Count I. In these circumstances, the mistrial and retrial on Count I amounted to an archetypal double jeopardy violation.
B. Mistrials and State Procedural Rules
Count II (obtaining money and property by false pretenses) of the original information presents a different issue. The trial court dismissed Count II sua sponte after denying the state’s motion to amend the information in order to correct a typographical error. Unamended, Count II failed to state an offense, but unfortunately that circumstance is not dispositive in determining the constitutionality of retrial. It has long been clear, for example, that an acquittal on a defective indictment is nonetheless a bar to subsequent prosecution for the same offense.
The Count II mistrial does not conveniently appear under the rubrics of the classic mistrial cases — hung jury, juror disqualification, tactical exigencies of a wartime court-martial, or prolonged illness or incapacity of judge, counsel or witnesses.
As the first Supreme Court case to hold that the double jeopardy clause prevented reprosecution after a mistrial Downum v. United States, 372 U.S. 734, 83 S.Ct. 1033, 10 L.Ed.2d 100 (1963), looms rather large on the constitutional landscape. When the government’s key witness on two of six counts of passing checks stolen from the mail failed to appear, the United States asked that the jury be discharged. The defendant countered by requesting that the two counts be dismissed for want of prosecution and that trial continue on the other four. There was no suggestion that the witness’ nonappearance was caused by anything other than the marshal’s inability to serve him with a subpoena. The prosecution knew of this difficulty, but answered ready, apparently assuming that service had been made. The trial court granted the government’s motion. In holding that retrial on any of the six counts violated the double jeopardy clause, the Downum Court established two propositions. First, Downum’s disposition of the two affected counts means that the fact that the government’s unpreparedness is due to “excusable oversight,” 372 U.S. at 742, 83 S.Ct. 1033 (Clark, J., dissenting), rather than a plan to capture unfair tactical advantage, is not by itself sufficient to support a mistrial declaration. Second, Downum’s disposition of the four other counts shows that the government may not frustrate a defendant’s right to take the case to the jury by claiming possible adverse collateral estoppel effects if a multiple-count indictment is separated for trial. Downum is thus fully congruent with our own holding on Count I (grand larceny). Downum also tells us that Montana may not justify retrial in Count II (obtaining money and property by false pretenses) by claiming that the prosecutorial error was inadvertent or by asking for unitary adjudication of both counts.
In Illinois v. Somerville, 410 U.S. 458, 93 S.Ct. 1066, 35 L.Ed.2d 425 (1973), the trial court granted the state’s motion for a mistrial after it was discovered that the indictment failed to allege a necessary element of the offense charged. Illinois law prevented amendment of the information. The Supreme Court held that where a state law “procedural defect might or would preclude the public from either obtaining an impartial verdict or keeping a verdict of conviction if its evidence persuaded the jury,” a mistrial is constitutionally available when “the mistrial [is], under [state] law, the only way in which a defect in the' indictment could be corrected.” 410 U.S. at 468-69, 93 S.Ct. at 1072.
Somerville’s explanation of its holding is not entirely satisfactory. The state rule was designed to “implement the State’s policy of preserving the [state-created] right of each defendant to insist that a criminal prosecution against him be commenced by the action of a grand jury,” 410 U.S. at 468, 93 S.Ct. at 1072, and it was that policy which Somerville respected. It is hard to see, however, how a state’s interest in protecting its citizens’ state procedural rights should be sufficient to deprive those same citizens of what otherwise would be a federal constitutional right not to be placed twice in jeopardy. Indeed, it would seem that the more Procrustean a state rule is, the more likely it will be — under Somerville —sufficient cause for subjecting defendants to two trials and two juries.
Somerville’s anomalies need not detain us, however, for the facts of this case point to a result that is fully consistent with Downum, Jorn, and Somerville. The applicable Montana statute, § 95-1505, Rev.Code of Mont.1947 (Smith ed. 1969), provides:
“(a) A charge may be amended in matters of substance at any time before the defendant pleads, without leave of court.
(b) The court may permit any charge to be amended as to form at any time before verdict or finding if no additional or different offense is charged and if the substantial rights of the defendant are not prejudiced.
(c) No charge shall be dismissed because of a formal defect which does not tend to prejudice a substantial right of the defendant.”
One can hardly imagine a more “formal” matter than the correction of a glaring typographical error, and surely no “rights of the defendant” would have been undercut by the requested alteration. No state policy of ensuring that all criminal charges are initiated by indictment by the grand jury is involved here, for an information can be filed at the discretion of the prosecutor. Finally, although the standard by which a trial judge’s action must be measured is ultimately federal, our researches indicate that Montana case law fully comports with our conclusion that the trial court’s failure to grant the motion to amend was an abuse of discretion,
REVERSED and REMANDED.
. “There is probably some correlation between the slighting of [the interest of society in preventing the guilty from going unpunished] and the development of rules allowing a liberal splitting of offenses . . . when one slip may result in total immunity from prosecution . . . the temptation to multiply the number of bites at the apple may become irresistible.” Note, Double Jeopardy: The Reprosecution Problem, 77 Harv.L.Rev. 1272, 1274 (1964); see Johnson v. Commonwealth, 201 Ky. 314, 256 S.W. 388 (1923) (each of 75 hands of poker a separate offense).
. The district court’s finding that Count II was dismissed at the defendant’s request, 406 F.Supp. at 431, was clearly erroneous. The trial court acted sua sponte.
. Compare Brock v. North Carolina, 344 U.S. 424, 73 S.Ct. 349, 97 L.Ed. 456 (1953) (retrial after mistrial declared to allow state to secure testimony of witness claiming privilege against self incrimination did not violate Fourteenth Amendment), with Gori v. United States, 367 U.S. 364, 369, 81 S.Ct. 1523, 6 L.Ed.2d 901 (1961) (dictum) (declaration of mistrial to afford prosecution more favorable opportunity to convict violates Fifth Amendment); and compare Hoag v. New Jersey, 356 U.S. 464, 471, 78 S.Ct. 829, 2 L.Ed.2d 913 (dictum) (criminal collateral estoppel not required by Fourteenth Amendment), with Ashe v. Swenson, 397 U.S. 436, 445, 90 S.Ct. 1189, 1195, 25 L.Ed.2d 469 (1970) (collateral estoppel “is embodied in the Fifth Amendment guarantee against double jeopardy).”
. See, e.g., Ludwig v. Massachusetts, 427 U.S. 618, 628-632, 96 S.Ct. 2781, 2787-2788, 49 L.Ed.2d 732 (1976) (Powell, J., concurring) (jury trial); Baldwin v. New York, 399 U.S. 66, 76-77, 90 S.Ct. 1886, 26 L.Ed.2d 437 (1976) (Burger, C. J., dissenting) (same); Duncan v. Louisiana, 391 U.S. 145, 213, 88 S.Ct. 1444, 20 L.Ed.2d 491 (1968) (Fortas, J., concurring) (same).
. Monaghan, The Supreme Court, 1974 Term— Foreword: Constitutional Common Law, 89 Harv.L.Rev. 1, 2-3 (1975).
. Wiliiams v. Florida, 399 U.S. 78, 79, 90 S.Ct. 1893, 26 L.Ed.2d 446 (1970) (“the 12-man requirement cannot be regarded as an indispensable component of the Sixth Amendment”); Apodaca v. Oregon, 406 U.S. 404, 406, 92 S.Ct. 1628, 32 L.Ed.2d 184 (1972) (unanimity requirement is “not of constitutional stature”).
. See, e. g., Ex parte Lange, 85 U.S. (18 Wall.) 163, 21 L.Ed. 872 (1874).
. See, e. g., Abbate v. United States, 359 U.S. 187, 79 S.Ct. 666, 3 L.Ed.2d 729 (1959) (federal government may prosecute after state has convicted defendant); Bartkus v. Illinois, 359 U.S. 121, 79 S.Ct. 676, 3 L.Ed.2d 684 (1959) (state may prosecute after acquittal in federal trial); Waller v. Florida, 397 U.S. 387, 90 S.Ct. 1184, 25 L.Ed.2d 435 (1970) (state may not prosecute individual for same offense for which he has been prosecuted in municipal court); Ashe v. Swenson, 397 U.S. 436, 90 S.Ct. 1189, 25 L.Ed.2d 469 (1970) (collateral estoppel is requirement of Fifth Amendment double jeopardy clause).
. See, e. g., Kepner v. United States, 195 U.S. 100, 129-30, 24 S.Ct. 797, 49 L.Ed. 114 (1904) (no government appeal from verdicts or judgments of acquittal, no matter how erroneous their foundation in law or fact).
. See, e. g., United States v. Sisson, 399 U.S. 267, 288-90, 90 S.Ct. 2117, 26 L.Ed.2d 608 (1970).
. See, e. g., United States v. Ball, 163 U.S. 662, 672, 16 S.Ct. 1192, 41 L.Ed. 300 (1896).
. Mr. Justice Holmes first advanced the continuing jeopardy theory, see Kepner v. United States, 195 U.S. 100, 134-35, 24 S.Ct. 797, 49 L.Ed. 114 (Holmes, J., dissenting), to justify government appeal after acquittal, but neither appeal after acquittal, nor the theory has been accepted by the Court, see, e. g., Green, v. United States, 355 U.S. 184, 192-94, 78 S.Ct. 221, 2 L.Ed.2d 199 (1957); United States v. Wilson, 420 U.S. 332, 351-52, 95 S.Ct. 1013, 43 L.Ed.2d 232 (1975). As an alternative to the untidy “waiver” theory, continuing jeopardy has served as a metaphor to explain why a defendant who appeals his conviction may be retried, see, e. g., Price v. Georgia, 398 U.S. 323, 326, 90 S.Ct. 1757, 26 L.Ed.2d 300 (1970), but the Court currently deprecates both theories and finds retrial after defendant’s appeal to be justified by analysis of the “respective interests involved,” Breed v. Jones, 421 U.S. 519, 534, 95 S.Ct. 1779, 44 L.Ed.2d 346 (1975). For an attempt to structure a comprehensive set of double- jeopardy rules around the continuing jeopardy concept, see Mayers & Yarbrough, Bis Vexari: New Trials and Successive Prosecutions, 74 Harv.L.Rev. 1 (1960).
. Compare Cornero v. United States, 48 F.2d 69 (9th Cir. 1931) (holding jeopardy attaches when jury is impaneled but finding “exceptions to this general rule as to what constitutes former jeopardy”) and Himmelfarb v. United States, 175 F.2d 924, 932 & n. 2 (9th Cir. 1949), cert. denied, 338 U.S. 860, 70 S.Ct. 103, 94 L.Ed. 527 (1949) (“in numerous circumstances either the jeopardy attaching when the jury was sworn didn’t count or didn’t attach when the jury was sworn”), with Downum v. United States, 300 F.2d 137, 139-40 (5th Cir. 1962), rev’d, 372 U.S. 734, 83 S.Ct. 1033, 10 L.Ed.2d 100 (1963) (suggesting jeopardy might not attach if no evidence introduced but nevertheless requiring a “sound reason” for termination of proceedings after jury has been impaneled).
. Accord, United States v. Olsen, 504 F.2d 1222, 1224 (9th Cir. 1974) (“Since no jury had been empaneled and sworn, jeopardy has not attached.”)
. The Chief Justice joined Justice Harlan’s plurality opinion. See 400 U.S. at 487, 91 S.Ct. 547.
. There is an indication in the Court of Appeals opinion that the state may have conceded that jeopardy attached during the juvenile proceedings, see Jones v. Breed, 497 F.2d 1160, 1166 (9th Cir. 1974), vacated and remanded, 421 U.S. 519, 95 S.Ct. 1779, 44 L.Ed.2d 346 (1975), but it is clear that in the Supreme Court and in the federal district court, the state argued that jeopardy did not attach during the juvenile proceedings and, in the alternative, that the second trial did not constitute a second jeopardy but a continuation of the first proceedings, see Breed v. Jones, 421 U.S. 519, 532, 95 S.Ct. 1779, 44 L.Ed.2d 346 (1975); Jones v. Breed, 343 F.Supp. 690, 692 (D.C. 1972).
. Although Ex parte Lange, 85 U.S. (18 Wall.) 163, 172, 21 L.Ed. 872 (1873), indicated in dictum that “[i]t is the punishment that would legally follow the second conviction which is the real danger guarded against by the constitution,” it has been firmly established ever since United States v. Bail, 163 U.S. 662, 669, 16 S.Ct. 1192, 1194, 41 L.Ed. 300 (1896), that the “prohibition is not against being twice punished, but against being twice put in jeopardy; and the accused, whether convicted or acquitted, is equally put in jeopardy at the first trial.”
. State v. Padilla, 107 Ariz. 134, 483 P.2d 549, 553 (1971), cert. denied, 404 U.S. 1049, 92 S.Ct. 718, 30 L.Ed.2d 740 (1972), did hold that Benton “did not define what constituted jeopardy and we believe the States are still allowed a certain degree of discretion,” in adopting an attachment of jeopardy rule similar to Montana’s. The reasoning in Padilla, however, is conclusory and the case itself was decided before United States v. Jom, Illinois v. Somerville and Breed v. Jones. Moreover, because the Arizona Supreme Court in Padilla held that the mistrial had been justified because a juror was “irrevocably committed” to leave the jurisdiction, see 483 P.2d at 553-54, we doubt that the case’s attachment of jeopardy rule can be considered as anything more than an alternative holding.
. The classic quotation is from Mr. Justice Black’s opinion for the Court in Green v. United States, 355 U.S. 184, 187-88, 78 S.Ct. 221, 223, 2 L.Ed.2d 199 (1957):
“The underlying idea, one that is deeply ingrained in at least the Anglo-American system of 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.”
. United States v. Jorn, 400 U.S. 470, 484-85, 91 S.Ct. 547, 557, 27 L.Ed.2d 543 (1971); accord, United States v. See, 505 F.2d 845, 851 (9th Cir. 1974), cert. denied, 420 U.S. 992, 95 S.Ct. 1428, 43 L.Ed.2d 673 (1975).
. E. g., Serfass v. United States, 420 U.S. 377, 390-91, 95 S.Ct. 1055, 1064, 43 L.Ed.2d 265 (“the ‘constitutional policies underpinning the Fifth Amendment’s guarantee’ are not implicat
The Montana statute is nearly a verbatim adoption of the Model Penal Code provision governing improper termination of trial. See Model Penal Code § 1.08 (P.O.D. 1962). In the only ALI commentary on § 1.08, an earlier tentative draft noted the difference between the rule that jeopardy attaches in a jury trial when the jury is sworn, and the rule that jeopardy attaches in a bench trial when the first witness is sworn, but the reporter could find “no reason” for the difference. Model Penal Code, Comment to § 1.09, at 53 (T.D. No. 5, 1956). The reporter, we believe, failed to recall that the Supreme Court has consistently recognized a major purpose of the double jeopardy clause as the protection of a 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, 837, 93 L.Ed. 974 (1949); accord, United States v. Dinitz, 424 U.S. 600, 603-607, 96 S.Ct. 1075, 1078-1080, 47 L.Ed.2d 267 (1976); Illinois v. Somerville, 410 U.S. 458, 469-71, 93 S.Ct. 1066, 35 L.Ed.2d 425 (1973); United States v. Jorn, 400 U.S. 470, 484-85, 91 S.Ct. 547, 27 L.Ed.2d 543 (1971); Downum v. United States, 372 U.S. 734, 736, 83 S.Ct. 1033, 10 L.Ed.2d 100 (1963). When one sees that the two attachment of jeopardy rules are necessary if this “valued right” is to be protected, the reason for the distinction seems plain.
. See United States v. Wilson, 420 U.S. 332, 342, 95 S.Ct. 1013, 43 L.Ed.2d 232 (1975); Note, Double Jeopardy: The Reprosecution Problem, 77 Harv.L.Rev. 1272, 1273 & nn. lile (1964).
. “But, although the indictment was fatally defective, yet, if the court had jurisdiction of the cause and of the party, its judgment is not void, but only voidable by writ of error . . If the judgment is upon an acquittal, the defendant, indeed, will not seek to have it reversed; and the government cannot.” United States v. Ball, 163 U.S. 662, 669-70, 16 S.Ct. 1192, 1195, 41 L.Ed. 300 (1896). As the Court recognized in Illinois v. Somerville, 410 U.S.
. See, e. g., Logan v. United States, 144 U.S. 263, 12 S.Ct. 617, 36 L.Ed. 429 (1892) (hung jury); Thompson v. United States, 155 U.S. 271, 15 S.Ct. 73, 39 L.Ed. 146 (1894) (juror disqualified because member of grand jury); Simmons v. United States, 142 U.S. 148, 12 S.Ct. 171, 35 L.Ed. 968 (1891) (outside influence brought to bear on jury); Wade v. Hunter, 336 U.S. 684, 69 S.Ct. 834, 93 L.Ed. 974 (1949) (court-martial); United States v. Moon, 491 F.2d 1047, 1048 (5th Cir. 1974) (illness of defense counsel); United States ex rel. Gibson v. Ziegele, 479 F.2d 773 (3d Cir.), cert. denied, 414 U.S. 1008, 94 S.Ct. 370, 38 L.Ed.2d 246 (1973) (illness of key witness occurring after trial had begun).
. Cf. Bickel, The Supreme Court, 1960 Term— Foreword: The Passive Virtues, 75 Harv.L.Rev. 40, 43 n. 17 (1961).
. See, e. g., State v. Terry, 77 Mont. 297, 250 P. 612 (1926) (amendment at close of state’s case to change date of unlawful liquor possession from April 10, 1925 to April 24, 1925 was proper); State v. Polich, 70 Mont. 523, 226 P. 519, 519-20 (1924) (clerical error in an information which made date read “19122” instead of “1922” was “matter of form” under statute
Reference
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