Martinez v. Illinois
Martinez v. Illinois
Opinion
*834 The trial of Esteban Martinez was set to begin on May 17, 2010. His counsel was ready; the State was not. When the court swore in the jury and invited the State to present its first witness, the State declined to present any evidence. So Martinez moved for a directed not-guilty verdict, and the court granted it. The State appealed, arguing that the trial court should have granted its motion for a continuance. The question is whether the Double Jeopardy Clause bars the State's attempt to appeal in the hope of subjecting Martinez to a new trial.
The Illinois Supreme Court manifestly erred in allowing the State's appeal, on the theory that jeopardy never attached because Martinez "was never at risk of conviction."
*2072
We therefore grant Martinez's petition for certiorari and reverse the judgment of the Illinois Supreme Court.
I
A
The State of Illinois indicted Martinez in August 2006 on charges of aggravated battery and mob action against Avery Binion and Demarco Scott. But Martinez's trial date did not arrive for nearly four years. 1
*835 The story picks up for present purposes on July 20, 2009, when the State moved to continue an August 3 trial date because it had not located the complaining witnesses, Binion and Scott. The State subpoenaed both men four days later, and the court rescheduled Martinez's trial to September 28. But the State sought another continuance, shortly before that date, because it still had not found Binion and Scott. The court rescheduled the trial to November 9, and the State reissued subpoenas. But November 9 came and went (the court continued the case when Martinez showed up late) and the trial was eventually delayed to the following March 29. In early February, the State yet again subpoenaed Binion and Scott. When March 29 arrived, the trial court granted the State another continuance. It reset the trial date for May 17 and ordered Binion and Scott to appear in court on May 10. And the State once more issued subpoenas. 2
On the morning of May 17, however, Binion and Scott were again nowhere to be found. At 8:30, when the trial was set to begin, the State asked for a brief continuance. The court offered to delay swearing the jurors until a complete jury had been empaneled and told the State that it could at that point either have the jury sworn or move to dismiss its case. When Binion and Scott still had not shown up after the jury was chosen, the court offered to call the other cases on its docket so as to delay swearing the jury a bit longer. But when all these delays had run out, Binion and Scott were still nowhere in sight. The State filed a written motion for a continuance, arguing that it was "unable to proceed" without Binion and Scott. Tr. 7. The court denied that motion:
"The case before the Court began on July 7, 2006. In two months we will then be embarking upon half a decade of pending a Class 3 felony. Avery Binion, Jr., and *836 Demarco [Scott] are well known in Elgin, both are convicted felons. One would believe that the Elgin Police Department would know their whereabouts. They were ordered to be in court today. The Court will issue body writs for both of these gentlemen.
"In addition, the State's list of witnesses indicates twelve witnesses. Excluding Mr. Scott and Mr. Binion, that's ten witnesses. The Court would anticipate it would take every bit of today and most of tomorrow to get through ten witnesses. By then the People may *2073 have had a chance to execute the arrest warrant body writs for these two gentlemen.
"The Court will deny the motion for continuance. I will swear the jury in in 15, 20 minutes. Perhaps you might want to send the police out to find these two gentlemen." Id., at 8-9.
After a brief recess, the court offered to delay the start of the trial for several more hours if the continuance would "be of any help" to the State. Id., at 9. But when the State made clear that Binion and Scott's "whereabouts" remained "unknown," the court concluded that the delay "would be a further waste of time." Id., at 10. The following colloquy ensued:
"THE COURT: .... It's a quarter to eleven and [Binion and Scott] have not appeared on their own will, so I'm going to bring the jury in now then to swear them.
"[The Prosecutor]: Okay. Your Honor, may I approach briefly?
"THE COURT: Yes.
"[The Prosecutor]: Your Honor, just so your Honor is aware, I know that it's the process to bring them in and swear them in; however, the State will not be participating in the trial. I wanted to let you know that.
"THE COURT: Very well. We'll see how that works." Id., at 10-11.
*837 The jury was then sworn. After instructing the jury, the court directed the State to proceed with its opening statement. The prosecutor demurred: "Your Honor, respectfully, the State is not participating in this case." Id., at 20. After the defense waived its opening statement, the court directed the State to call its first witness. Again, the prosecutor demurred: "Respectfully, your Honor, the State is not participating in this matter." Ibid. The defense then moved for a judgment of acquittal:
"[Defense Counsel]: Judge, the jury has been sworn. The State has not presented any evidence. I believe they've indicated their intention not to present any evidence or witnesses.
"Based on that, Judge, I would ask the Court to enter directed findings of not guilty to both counts, aggravated battery and mob action.
"THE COURT: Do the People wish to reply?
"[The Prosecutor]: No, your Honor. Respectfully, the State is not participating.
"THE COURT: The Court will grant the motion for a directed finding and dismiss the charges." Id., at 21.
B
The State appealed, arguing that the trial court should have granted a continuance. Martinez responded that the State's appeal was improper because he had been acquitted. The Illinois Appellate Court sided with the State, holding that jeopardy had never attached and that the trial court had erred in failing to grant a continuance.
The Illinois Supreme Court granted review on the jeopardy issue and affirmed.
Here, the court concluded, Martinez "was never at risk of conviction"-and jeopardy therefore did not attach-because "[t]he State indicated it would not participate prior to the jury being sworn."
Justice Burke dissented, writing that the majority's conclusion "that impaneling and swearing the jury had no legal significance" ran "contrary to well-established principles regarding double jeopardy."
Id.,
¶ 57,
II
This case presents two issues. First, did jeopardy attach to Martinez? Second, if so, did the proceeding end in such a manner that the Double Jeopardy Clause bars his retrial? Our precedents clearly dictate an affirmative answer to each question.
*839 A
There are few if any rules of criminal procedure clearer than the rule that "jeopardy attaches when the jury is empaneled and sworn."
Crist,
Our clearest exposition of this rule came in
Crist,
which addressed the constitutionality of a Montana statute providing that jeopardy did not attach until the swearing of the first witness. As
Crist
explains, "the precise point at which jeopardy [attaches] in a jury trial might have been open to argument before this Court's decision in
Downum v. United States,
The Illinois Supreme Court misread our precedents in suggesting that the swearing of the jury is anything other than a bright line at which jeopardy attaches. It relied on
Serfass,
understanding that case to mean "that in assessing whether and when
*2075
jeopardy attaches, ' "rigid, mechanical" rules' should not be applied."
But Serfass does not apply a functional approach to the determination of when jeopardy has attached. As to that question, it states the same bright-line rule as every other case: Jeopardy attaches when "a defendant is 'put to trial,' "
*840
and in a jury trial, that is "when a jury is empaneled and sworn."
The Illinois Supreme Court's error was consequential, for it introduced confusion into what we have consistently treated as a bright-line rule: A jury trial begins, and jeopardy attaches, when the jury is sworn. We have never suggested the exception perceived by the Illinois Supreme Court-that jeopardy may not have attached where, under the circumstances of a particular case, the defendant was not genuinely at risk of conviction. 3 Martinez was *841 subjected to jeopardy because the jury in his case was sworn.
B
" '[T]he conclusion that jeopardy has attached,' " however, " 'begins, rather than ends, the inquiry as to whether the Double Jeopardy Clause bars retrial.' "
*2076
without putting [a defendant] twice in jeopardy, and thereby violating the Constitution.' "
Martin Linen,
"[O]ur cases have defined an acquittal to encompass any ruling that the prosecution's proof is insufficient to establish criminal liability for an offense."
Evans v. Michigan,
568 U.S. ----, ----,
The Illinois Supreme Court thought otherwise. It first opined that "[b]ecause [Martinez] was not placed in jeopardy, the [trial] court's entry of directed verdicts of not guilty did not constitute true acquittals."
Here, as in
Evans
and
Martin Linen,
the trial court's action was an acquittal because the court "acted on its view that the prosecution had failed to prove its case."
Evans,
III
The functional rule adopted by the Illinois Supreme Court is not necessary to avoid unfairness to prosecutors or to the public. On the day of trial, the court was acutely aware of the significance of swearing a jury. It repeatedly delayed that act to give the State additional time to find its witnesses. It had previously granted the State a number of continuances for the same purpose. See
supra,
at 2072. And,
*843
critically, the court told the State on the day of trial that it could "move to dismiss
*2077
[its] case" before the jury was sworn. Tr. 3. Had the State accepted that invitation, the Double Jeopardy Clause would not have barred it from recharging Martinez. Instead, the State participated in the selection of jurors and did not ask for dismissal before the jury was sworn. When the State declined to dismiss its case, it " 'took a chance[,] ... enter[ing] upon the trial of the case without sufficient evidence to convict.' "
Downum v. United States,
* * *
The motion for leave to proceed in forma pauperis and the petition for a writ of certiorari are granted. The judgment of the Supreme Court of Illinois is reversed, and the case is remanded for further proceedings not inconsistent with this opinion.
It is so ordered.
Much of that delay was due to Martinez and his counsel. See
These facts are set forth in the opinion of the Illinois Appellate Court.
Some commentators have suggested that there may be limited exceptions to this rule-
e.g.,
where the trial court lacks jurisdiction or where a defendant obtains an acquittal by fraud or corruption. See 6 W. LaFave, J. Israel, N. King, & O. Kerr, Criminal Procedure § 25.1(d) (3d ed. 2007). The scope of any such exceptions is not presented here. Nor need we reach a situation where the prosecutor had no opportunity to dismiss the charges to avoid the consequences of empaneling the jury. Cf.
People v. Deems,
Indeed, even if the trial court had chosen to dismiss the case or declare a mistrial rather than granting Martinez's motion for a directed verdict, the Double Jeopardy Clause probably would still bar his retrial. We confronted precisely this scenario in
Downum v. United States,
Reference
- Full Case Name
- Esteban MARTINEZ, Petitioner v. ILLINOIS.
- Cited By
- 74 cases
- Status
- Published