Document: 495 U.S. 508 110 S.Ct. 2084 109 L.Ed.2d 548 William V. GRADY, District Attorney of Dutchess County, Petitionerv.Thomas J. CORBIN No. 89-474. Argued March 21, 1990. Decided May 29, Syllabus After respondent Corbin's automobile struck oncoming vehicles on a New York highway, causing the death one person and injury to another, he was served with two uniform traffic tickets directing him appear at Town Justice Court. One ticket charged misdemeanor driving while intoxicated, other failing keep right median. When Corbin pleaded guilty in Court, presiding judge not informed fatality or pending homicide investigation. Subsequently, grand jury indicted Corbin, charging with, among things, reckless manslaughter, criminally negligent homicide, third-degree assault. A bill particulars identified three acts which prosecution would rely prove charges: (1) operating motor vehicle public highway an intoxicated condition; (2) median; (3) speed too fast for weather road conditions. motion dismiss indictment on, inter alia, constitutional double jeopardy grounds denied by County He then sought writ prohibition barring prosecution, Appellate Division. However, State Court Appeals reversed, finding that State's intention "rely prior offenses as necessary assault charges" violated this Court's "pointed" dictum Illinois v. Vitale, 447 410, 100 2260, 65 228, if successive prosecutions were barred test Blockburger United States, 284 299, 304, 52 180, 182, 76 L.Ed. 306, second be establish essential element crime proving conduct defendant convicted first prosecution. Held: The Double Jeopardy Clause bars subsequent if, offense government will constitutes has already been prosecuted. Pp. 515-524. (a) To determine whether is barred, court must apply traditional test. If test's application reveals have identical statutory elements lesser included other, inquiry cease, barred. technicalcomparison required test—which developed context multiple punishments imposed single prosecution—does protect defendants sufficiently from burdens trials, see, e.g., Brown Ohio, 432 161, 97 2221, 53 187, and, thus, exclusive means determining violates Clause. See, Harris Oklahoma, 433 682, 2912, 1054. Successive prosecutions, following acquittals convictions, raise concerns extend beyond merely possibility enhanced sentence. They allow make repeated attempts convict individual alleged offense, thereby subjecting embarrassment, expense, ordeal, compelling live continuing state anxiety insecurity. also give opportunity rehearse its presentation proof, thus increasing risk erroneous conviction more charged. Were could try four consecutive trials: failure median, assault, homicide. 515-521. (b) critical prosecuted what prove, evidence use it. Thus, "actual evidence" "same While specific trial does forever prevent introducing same proceeding, see Dowling 493 342, 668, 107 708, cannot avoid altering offered conduct. P. 521-522. (c) Applying analysis instant facts straightforward. bar charges against State, particulars, admitted it entirety these offenses. holding revealed solely heavy rain recklessness negligence. 522-523. (d) That drunken national tragedy prosecutors are overworked may always time monitor seemingly minor cases they wind through judicial system do excuse need scrupulous adherence principles. With adequate preparation foresight, proceeding. 524. 74 N.Y.2d 279, 545 N.Y.S.2d 71, 543 N.E.2d 714 (1989), affirmed. BRENNAN, J., delivered opinion WHITE, MARSHALL, BLACKMUN, STEVENS, JJ., joined. O'CONNOR, filed dissenting opinion, post, p. SCALIA, REHNQUIST, C.J., KENNEDY, joined, 526. Bridget R. Steller petitioner. Richard T. Farrell, Ilene Miller, Brooklyn, N.Y., respondent. BRENNAN 1 We long held, 306 (1932), Fifth Amendment1 prohibits criminal act transaction under statutes whenever each statute "requir[e] proof fact not." In 228 (1980), we suggested even test, Today adopt suggestion set forth Vitale. hold prosecuted.2 I 2 For purposes take true. At approximately 6:35 p.m. October 3, 1987, Thomas drove his across yellow line Route 55 LaGrange, York, striking vehicles. Assistant (ADA) Dolan called scene, where learned both Brenda Dirago, who had struck, her husband Daniel seriously injured. Later evening, ADA Dirago died injuries sustained accident. hospital being treated own injuries, LaGrange 1987. violation N.Y.Veh. & Traf. Law § 1192(3) (McKinney 1986); median 1120(a). blood taken evening indicated alcohol level 0.19%, nearly twice per se illegal operate York. 1192(2). 3 Three days later, Frank Chase began gathering connection "Despite active involvement building case [Corbin], however, did attempt ascertain date [Corbin] scheduled tickets, nor inform either covering about investigation." re Hillery, 284, 73, 714, 716 (1989). Mark Glick never mentioned Dirago's statement readiness pretrial pleadings submitted 14, App. 5-10. 4 Accordingly, when 27, no member Attorney's office present court,3 unaware stemming asked any others injured night question voluntarily incriminate himself providing such information.4 accepted plea, but because sentencing recommendation, postponed until November 17, court. date, Heidi Sauter, there fatality, unable locate file, spoken case. Nevertheless, she seek adjournment so recommendation. N.Y.2d, N.Y.S.2d, N.E.2d, 716. Instead, recommended "minimum sentence,"5 sentenced $350 fine, $10 surcharge, 6-month license revocation. 12. 5 Two months January 19, 1988, investigating accident second-degree vehicular Dirago; physical intoxicated. condition, 45 50 miles hour rain, "which conditions pending." 20. Respondent moved grounds. hearing, respondent's motion, ruling counsel plea involved fatal constituted "material misrepresentation fact" "was prejudicial administration justice."6 Pet. Cert. 8c. 6 all counts indictment. Division petition without reversed. prohibited pursuant York's provision, N.Y.Crim.Proc.Law 40.20 1971 Supp. 1970-1989). further ruled manslaughter violate Amendment because, matter law, "is unquestionably degree manslaughter." 290, n. 7, 75, 720, 7. Finally, relying "pointed dictum" remaining expressed charges." 289, 74, 719, 720. judges dissented, arguing deceived pleading tickets. granted certiorari, 953, 362, 349 now affirm. II 7 contentions raised here mirror almost exactly those 10 years ago (1980). Like John Vitale allegedly caused car police officer scene issued citation reduce 11-601(a) Vehicle Code. pay $15 fine. day after conviction, involuntary based driving. argued 8 This held "require[d] [did] See Blockburger, U.S., S.Ct., 182. Although death, not. Likewise, slow manslaughter. supra, 418-419, 2266. survived 9 But stop point. writing added that, though test: "[I]t sustain find necessarily involving failure; concede much trial. case, serious charged, claim substantial [v. 187 (1977),] our later decision 682 [97 1054] (1977)." 420, 2267. 11 believe correct governs case.7 Clause, 166, 2225, (1977). 12 argues should last step permits satisfy disagree. embodies protections: "It protects acquittal. It conviction. And offense." North Carolina Pearce, 395 711, 717, 89 2072, 2076, 23 656 (1969) (footnotes omitted). "in prosecution." Garrett 471 773, 778, 105 2407, 2411, 85 764 (1985). context, "the than prescribing greater punishment legislature intended." Missouri Hunter, 459 359, 366, 103 673, 678, 535 (1983). Brown, 165, 2225. simply "rule construction," guide intended punishments.8 678. 13 convictions,9 sentence: 14 "The underlying idea, deeply ingrained least Anglo-American jurisprudence, resources power allowed expense ordeal . ." Green 355 184, 78 221, 223, 199 (1957). 15 Multiple Tibbs Florida, 457 31, 41, 102 2211, 2217, 72 652 (1982) (noting "prevents honing strategies perfecting conviction"); Ashe Swenson, 397 436, 447, 90 1189, 1196, 25 469 (1970) (the conceded acquitted trial, prosecutor did, "what every good attorney do—he refined light turn events trial"); Hoag Jersey, 356 464, 829, 913 (1958) (after robber acquitted, altered subsequent, related trial—calling only witness testified most favorably trial—and obtained conviction). Even can bring tremendous additional burden placed face separate 16 Because independent concerns, relied exclusively vindicate Clause's protection prosecutions. As stated Ohio: 17 standard impermissibly involve offense. different permit imposition sentences, some circumstances requires relitigation factual issues resolved first." 166-167, 6, 2226, 6. 18 Powell, provided examples. robbing participant poker game defendant's acquittal previous conclusively established robbery. Nielsen, 131 176, 672, 33 118 (1889), cohabiting wives over 21/2-year period adultery end period. permitted sentences cases, nonetheless 19 Furthermore, Term decided reiterated 1054 (1977), strict Harris, felony murder companion shot grocery store clerk course robbery firearm. offense" since, matter, felony, just robbery, firearm require death. " 'it ingredients Robbery Firearms proved' felony-murder unanimously 682-683, n., 2913, (quoting Brief Opposition 4). Payne Virginia, 468 1062, 104 3573, 82 801 (1984). described reasoning: "[W]e consider generally distinct various elements. Rather, killing itself species lesser-included 20 These recognized technical comparison trials. similarly demonstrates limitations analysis. entire homicide.10 Tr. Oral Arg. 17-18. improve assessing witnesses gave persuasive testimony, documents greatest impact, opening closing arguments persuaded jurors. forced contest trials plead harassment expense. 21 survive government, prosecuted.11 test.12 708 (1990). On hand, dictates example, bystanders witnessed accident, difference testify crossed (or nobody guilty) 22 concedes offenses.13 25-26. rest simplified 25, 1988.14 prosecution's theory binding amended, amended date. 8. states following: "[T]he [ ] operated condition having .10 percent content blood, failed nine feet [and drove] forty-five fifty pending. By manner above described, aware consciously disregarded unjustifiable likelihood result occurred. perceive manner, wife, Dirago." 24 pleadings, Therefore, properly prohibition. (i.e., negligence).15 III Drunken tragedy. Prosecutors' offices often system. Santobello 404 257, 260, 92 495, 497, 30 427 (1971) ("This record represents another example unfortunate lapse orderly prosecutorial procedures, part, doubt, enormous increase workload understaffed prosecutor's offices. well explain episodes, them"). avoiding question. concluded demands announced today, confident proper planning attention able meet justice Nation's roads unsafe. 26 judgment 27 Affirmed. 28 dissenting. 29 agree SCALIA says opinion. write separately, note my dissent premised primarily view inconsistency between today (1990), earlier Term, indicates strayed interpretation scope Dowling, considered eyewitness' testimony regarding admissible unrelated eyewitness man entered house "wearing knitted mask cutout eyes carrying small handgun" come off during struggle, revealing identity. Id., 344, 670. Based evidence, burglary, attempted weapons offenses, charges. bank Government witness' Dowling's identity robber. introduction evidence: represent determination masked home, 348-352, 672-674. 31 effectively renders nullity many circumstances. situation arose today's decision, conscientious attempting enunciated ante, 510, 521, probably conclude offering identity, "an [the subsequent] prosecution," likely "prove prosecuted." Ibid. O.T. 1989, 88-6025, pp. 15-29. Under reasoning, Government's introduce practical Grady. 32 inconsistent approach longstanding rules evidence. declined reading "exclude relevant probative otherwise admissible" Federal Rule Evidence 404(b) Rules Evidence, 348, wide sweep casts doubt continued vitality 404(b), makes "other crimes" "motive, opportunity, intent, preparation, plan, knowledge, absence mistake accident." view, correctly delineated protection. leads me reject expansive respectfully dissent. 34 whom Chief REHNQUIST KENNEDY join, 35 seeks prosecute actions took guaranteed put conduct, guarantees interpreted since inception, common-law antecedent, upon crime. holds otherwise, departing clear text precedent justification except recent (dictum unsupported, inconclusive boot). effects innovation substantial. practice, observe rule explicitly rejected principle: arising out occurrence joined previously prosecuted, reverse judgment. 36 * made applicable States Fourteenth Amendment, Benton Maryland, 784, 794, 2056, 2062, 707 (1969), provides: "[N]or shall subject offence life limb." Const., Amdt. 5. 'protect[s] subjected hazards possible once offense.' Burks 437 1, 11, 98 2141, 2147, 57 (1978), quoting summarized violating provisions offence" purposes: 37 provisions, applied one, provision Gavieres 220 338, 342 [31 421, 422, 489 (1911) ], authorities cited. quoted adopted language Supreme Massachusetts Morey Commonwealth, 108 Mass. (1871) ]: 'A statutes; not, exempt thedefendant other.' 38 furnishes, observed, "established test" offence." focuses crimes secure "If [statute] satisfied, notwithstanding overlap crimes." Iannelli 420 770, 785, 95 1284, 1293-94, 43 616 (1975); Gore 357 386, 1280, 1405 (1958); American Tobacco Co. 328 781, 788-789, 66 1125, 1129, 1575 (1946). 39 departed Blockburger's focus situations. occurs expressly incorporates specifying latter's (1977) (per curiam ), armed (because Oklahoma felony), impermissible again force defend charge relaxed "elements" favor (1970). 40 Subject exceptions, adhere constitute contains regardless particular best gives effect individuals "for offence," actions. "Offence" commonly understood 1791 mean "transgression," is, Violation Breaking Law." Dictionarium Britannicum (Bailey ed. 1730); Kersey, English Dictionary (1702); Sheridan, General Language (1780); Walker, Critical Pronouncing (1791); N. Webster, An (1828). more) laws, separately Of course, say create "distinct" appearing headings; i.e., 41 Another textual supports Since "twice jeopardy," stand (see, Respublica Shaffer, Dall. 236, 237, 116 (Pa.1788)), presupposes sameness determined before Otherwise, "conviction" "sentence" determine, involves sense, Constitution entitles "to nature cause accusation." entitle him, "proof-of-same-conduct" implementable happens show issue, jurisdiction's procedure happen submit exceeded. More words, succeed preventing tried twice. 42 Relying alone, therefore, meant said. addition wealth historical effect. pleas auterfoits acquit convict, valid "upon crime." W. Blackstone, Commentaries 330 (1769) (emphasis added). respect differed attaint, invoked sentence "whether felony." 1791, recognize whose distinct, act. larceny, trespass taking, Trespass Larceny Offences Nature, Judgment entirely differs other." Hawkins, Pleas Crown, ch. 36, 376 (4th 1762); id., 35, 5, 371. Sir Matthew Hale similar terms: 44 A. commit burglary county B. likewise steal goods house, larciny yet "And e converso, larciny, several offences, tho committed time. 46 burglary. 47 "Thus hath happened, stealing horse, arraigned saddle, done time." M. Hale, 245-246 (1736 ed.). 48 Treatises slightly vintage accord. Starkie (frequently cited early cases) says: 49 [of vicious offences indictments perfectly point however connected fact. 51 "So general charge, consisting only, obviously includes special C. former, third. consist D. E. then, circumstance belongs them common substantive offence, include Starkie, Criminal Pleading, xix, 322-323 (2d 1822). Likewise: contemplation law dissimilar analogous [I]f former latter it, pleaded." Petersdorff, Abridgment 738, (1825). Chitty, 455-457 (1816). 54 few, lend support view. Turner's Case, Kelyng 30, 84 Eng.Rep. 1068 (K.B.1708), breaking entering Tryon taking away great sums money. Turner removing money Tryon's servant. "now house; agreed, might servant]. felonies, before. Case —that burglary—was limited famous King Vandercomb, Leach 168 455 (K.B.1796). There, goods. Crown abandoned removed property. intent steal, bad: offence; them; necessary, completion entering, accompanied actually committed; their nature, Eng.Rep., 460 (citations 56 court's Vandercomb "evidence other," 461, precise equivalent "each rule. Sonnerkalb, Nott McCord 280 (S.C.1820), retailing liquor license. "dealing, trading trafficking negro," 281, sale, given part state," 280. offense: "[L]et admitted, physically act; 283. (but "immaterial retail," 282), sale Negro immaterial product sold), legal contemplation." 58 Commonwealth Roby, Pickering 496 (Mass.1832), analyzing Chitty's treatise, distilled follows: 59 "In considering vicious, [I]t sufficient virtually second, differ degree. Thus murder; instance, guilty, found indictment; aggravation enlarge into murder." 504 original). 60 Unless "same" 61 Standifer, Porter 523 (Ala.1837), murdering Levi Lowry. battery Lowry, affray plea: unfrequent occurrence, individual, time, transaction, commits crimes, 531. lawfully returned verdict Lowry "no appearance identity." 532. 62 Sias, N.H. 558 (1845), obtaining property conspiracy. "facts proposed proved precisely facts, larceny indictment." barred: 63 acquitted; former. conspiracy this. shown codefendant] conspiracy, charged; which, reason, neither case." 559. 64 Taylor, Bailey 49, (S.C.1830) (conviction "trading slave" receiving stolen slave "founded act"; "two committed" within other); Hite Tenn. 357, (1836) (following ); Glasgow, Dudley 40, (S.C.1837) Sonnerkalb Coombs, Maine 529, 530 (1851) selling seller liquors: selling, larger Such proceedings expose offence"); Wilson Conn. 57, (1855) not: "A doctrine prevailed, wherever discussed"); Warner, Ind. 572 (1860) (same rule). definition invented 1932, reflected venerable understanding. 343, (1911), Burton 202 380-381, 688, 698-99, 1057 (1906), leading cases. 433, 435 (1871), Roby. Roby-Morey- Gavieres-Blockburger formulation defining Blockburger. Jones Thomas, 491 376, 384-385, 2522, 2526, 322 (1989); Woodward, 105, 108, 611, 612, 83 518 (1985) Ohio Johnson, 467 493, 499, 8, 2536, 2541, 81 425 (1984); Albernaz 450 333, 337, 101 1137, 1141, 67 275 (1981); Whalen 445 684, 691, 1432, 1437, 715 (1980); Simpson 909, 912, 70 (1978); 1293, 17; 392, 1284. abandons "any Ante, 521 purports derive motorist unlawful speed, reversed lower Manslaughter, death; down. remanding, noted ground: 2267 68 decide convicted. possibly issue presented us. way dictum, said "substantial," ibid.; 2268, deferring successful. answer no. 69 begin argument "substantial" finds whatever thought substance, first, nothing straightforward There thief "joyriding," consisted "tak[ing], operat[ing], keep[ing] consent owner." 162, 2223, 1. auto theft, joyriding plus permanently deprive owner car. prosecution: "invariably" 168, 2226. hint passed successful facts. brief disposition followed incorporated (rather than, conviction) "When," said, "conviction crime, murder, firearms, one." 2913. Again, indication if—not case—guilt short, call proposition little stretching reaches foreclosed few introduced perpetration fashion (both ski masks), acquitted. Proof tended commission one. second] [had] prove[d] constitute[d] ha[d] 521. violated. rationally explained unlike transactions; alters central vice (according holding) here, establishing upon, existence element. offend here. 71 principle adopts radically jurisprudence; effect, applies, down requirement arise 'single act, episode, transaction,' "must proceeding," 170, 2228 (BRENNAN, concurring)—a hitherto "steadfastly refused" impose, 790, 2417, Suppose, prosecutes group Cf. Pinkerton 640, 645-646, 1180, 1183, 1489 (if can) offense—even overt charge. assuredly existed. Or suppose initial occurred engaged burglary—not motive intentional embraced Just as, crossing strip invalidates also, hypotheticals given, invalidate shrink apparent novel saying repetitive meaningless limitation, course. All pertaining guilt [the] offense," excluded tendency. 73 half new seem import am sure imagine justifies refer means, presumably, wish order simultaneously; crime—not enough offense"—can But, reasonably ask, reason alone (having precedent) limiting fashion? defends ground exposes embarrassment resisting proceedings, enables "rehearse charged." 518. exist prosecution; exists some, rather them—i.e., fact) both. necessity refuting) opposed defending equally bad first. Apart lack rational basis greatly perplexed (as rootless decision) means. how go deciding introduced) "proves conduct" Is supposed pretend let proceed charge? readily suggests) really "proves" (perhaps reasonable doubt)? Consider unusually simple case: Suppose remand, shows, came collision located was, vehicle, wrong side road. produces testifies "weaving back forth"—without saying, weaving center line. "proving" road? defense asks cross-examination, "When you 'weaving forth,' line?"—to replies "yes." Will self-inflicted wound count "proved"? so, impeach showing recollection vehicle's inaccurate? fact? questions answers ridiculous. Whatever selected criterion offense—enough jury, presumably line; provoke assist in) delicious role reversal, discovered mandated lo 200 years, high comedy inferior justice. Often, performance encore. initially decides "will proved" (whatever means) conclusion "has means). Indeed, periodically terminated soon evident. rejection adequately supported modest desire ridicule. 75 limitation unsupported absurd unlikely survive. Today's lead predictably extending fully BRENNAN's transaction" theory, history merit easy apply. words effecting extension: Grady 'will conduct' completeness convict. suffices 'proves' sense tending jurisprudence transmogrification easy. may, unnecessary, confronted inscrutability advised assumption adopted. hard tell else has. current place offenses" were, respectively, road, N.Y. Veh. 1120(a) 1986), 1192(3). covered dismissal challenged here* are, recklessly person, Penal 125.15 1987), negligently 125.10, 120.00. concedes, 522, element, meaning therefore states: enforceable Amendment. (1969). us resolution. Fugate Mexico, 470 904, 1858, 777 (affirming divided Court); Thigpen Roberts, 2916, (1984) (deciding alternative grounds). indicate why return dates changed 27. event, deprived meaningful participate wanted combine containing later-charged counts, availed 170.20(2) 1982), "At entry commencement accusatory instrument [containing misdemeanor], district local intends prosecuting superior adjourn affords pursue action, subsequently grant adjournments purpose circumstances." participation amounted move adjournment. papers indicating Sauter appeared behalf People although misrepresent "a practitioner representing client expected volunteer information highly damaging client's position." 288, 718, (1989) refused characterize misconduct behavior attorney, affirmative misrepresentations mislead accepting accept. notes proceeding state: "Atty: My willing [sic] request minimum "Judge: Read accept your guilty. Any recommendation sentence? Minimum sentence." contends counsel, Sauter. interpret notes, accurate interpretation, nevertheless establishes objected resulted fatality. colloquy 287-288, 718-719, characterization proceedings. 4, supra. 169, 2227, "[a]n exception outset despite exercise due diligence. Diaz 223 442, 448-449 [32 250, 251, 500] (1912); [397 453, 1194, concurring)." inapplicable SCALIA's legislative term Post, 528-530. contention, asserts "[w]e [Blockburger test] 'same offense' Blockburger." 535-536. Every eight proposition, describes permissibility cumulative punishments. None suggests (case punishments, prosecutions); curiam) (describing Congress punishment"); (Blockburger determines imposed"); (1981) ("[T]his looked punished cumulatively"); (1980) (1978) 'whether distinguishable punishment' "), 2225; (1975) used identify "congressional impose sanctions transaction"); proceeding). contention relies lengthy discussion. 530-536. 1889. infra, 519 (discussing Nielsen ). found, find, dispositive claims. Compare 532-533 (SCALIA, dissenting) (relying (K.B.), England 1708, homeowner homeowner's servant entering), (holding prevents participants game). 498-499, 2540-41, Ex parte Lange, Wall. 163, 872 (1874). recognizes 17. Similarly, securing comprising (a "component offense"), component ("When, one") (footnote omitted); cf. 2226 irrelevant precedes versa). Terminology area confused best. Commentators alike referred Note, Bar Reintroducing Yale L.J. 962, 965 Ashe, 448, 1196 concurring). misnomer. concerned true preceding discuss, adopt, Appeals' 12; 18, Application depend, argues, "happens issue" jurisdiction "happen[s] exceeded." 529-530. Courts Appeals, confronting procedural mechanism claims Circuits addressed "when puts non-frivolous formerly jeopardy, shifts offenses." Ragins, 840 F.2d 1184, 1192 (CA4 1988) (collecting cases). ensure "implementable," 529 dissenting). Adoption transaction' Clause." 388-389, 2529, (maintaining requires, very circumstances, growing proceeding"). below 12, reach

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