Document: 420 U.S. 377 95 S.Ct. 1055 43 L.Ed.2d 265 David Emery SERFASS, Petitioner,v.UNITED STATES. No. 73—1424. Argued Dec. 9, 1974. Decided March 3, 1975. Syllabus Petitioner, who had submitted a post-induction order claim for conscientious objector status to his local board, was later indicted willful failure report and submit induction into the Armed Forces. He filed pretrial motion, accompanied by an affidavit, dismiss indictment on ground that board did not state adequate reasons refusing reopen file, motion postpone trial 'for reason Motion Dismiss has been simultaneously expeditious administration of justice will be served best considering prior trial.' The District Court dismissed indictment, noting material facts were derived from petitioner's Selective Service stipulation information petitioner 'establishes prima facie based upon late crystallization.' court held dismissal appropriate because entitled full consideration before he assigned combatant training board's statement its refusal file 'sufficiently ambiguous reasonably construed as rejection merits, thereby prejudicing right in-service review.' Government appealed under 18 U.S.C. § 3731. Appeals, rejecting contention it lacked jurisdiction 3731 Double Jeopardy Clause barred further prosecution, reversed. Held: does bar appeal United States dismissing since in situation criminal defendant 'put trier facts, whether jury or judge.' v. Jorn, 400 470, 479, 91 547, 27 543. Pp. 383-394. (a) In light language present version legislative history, is clear Congress intended authorize appeals so long prosecution would Clause. 383-387. (b) concept 'attachment jeopardy' defines point proceedings at which purposes policies are implicated. attach until put trial, occurs when empaneled sworn nonjury begins hear evidence. P. 388. (c) attached this case then trial. There no waiver trial; power determine guilt innocence; premised belief serve 'expeditious justice.' 389. (d) principle jeopardy mere technicality mechanical rule, Court's 'functional equivalent acquittal merits' without substance, word 'acquittal' significance unless attached. Sisson, 399 267, 90 2117, 26 608; Brewster, 408 501, 92 2531, 33 507, distinguished. 389-393. 492 F.2d 388, affirmed. Harry A. Dower, Allentown, Pa., petitioner. Edward R. Korman, Washington, D.C., respondent. Mr. Chief Justice BURGER delivered opinion Court. 1 We granted certiorari decide Appeals legal ruling made after examination records affidavit setting forth evidence adduced 2 * dispute. whose military service deferred two years while Peace Corps, ordered January 18, 1971. On December 29, 1970, requested form objectors, Form 150, submitting completed interview. Petitioner met with 13, 1971, thereafter informed letter considered entire 'unanimously agreed there change over (petitioner) control,' therefore 'decided re-open (petitioner's) file.' also 'still Orders Induction 1971 5:15 A.M.' appeared examining station refused 18. 3 A grand returned charging willfully failing Forces, violation 50 App. 462(a). At arraignment pleaded guilty demanded date set 1973. Prior time, file. Attached stating merely applied only communication concerning received. same moved 'to within matter now scheduled 1973, 4 5 continue oral argument indictment. Briefs submitted, hearing argument, entered directing parties copy July 16, dismissed. memorandum, noted counsel 'that Serfass Board establishes crystallization.'1 'entitled assignment service,' review.'2 Third Circuit, asserting Criminal Act, 3731, amended Omnibus Crime Control Act 84 Stat. 1890.3 'Motion Quash Appeal Lack Jurisdiction' brief, contended prohibited Fifth Amendment Constitution. rejected contention. It concluded that, although have possible existed 1970 amendments,4 those amendments 'clearly enlarge Government's include all cases such constitutionally permissible.' Relying earlier Pecora, 484 1289 (1973), waived trial,5 time ruled appealable order. Pecora appealable, based. saw 'no significant constitutional difference' arising fact 'the instant court's finding established defense law, rather than finding, insufficient law support conviction.' both undisputed raising issue waive trial,' 'denial (would have) ha(d) waived.'6 6 As Musser States, 414 31, 94 196, 38 190 'placed abrupt end (the) line cases' relied. should retroactively registrants decided, rule merits claim, review prejudiced. Accordingly, reversed remanded other consistent opinion. 7 Because apparent conflict among Courts question permits these circumstances, we certiorari. seek of, express respect to, holding merits. II 8 restricted categories descriptive action taken district court, they divided between courts appeals.7 307, 308, 2139, 608 (1970), Harlan aptly described obtaining statute read: 9 'Clarity desired any statute, but matters especially important. Otherwise must expend great energy, dispute settlement, simply deciding case. When judged terms, failure. Born compromise, reflecting coherent allocation appellate responsibility, proved most unruly child improved age. statute's roots grounded pleading distinctions common which, instances, fail coincide procedural Federal Rules Procedure. Not create uncertainty requirement one analyze nature decision falls class common-law authorized, engendered confusion brought.' 10 struggling 'common distinctions' former decisions demonstrating even apparently straightforward, deceptive. Thus, 19488 literally authorized whenever aside except where direct provision generally construed, case, supra, 381, n. 4, if 'based defect information, institution prosecution.' Apex Distributing Co., 270 747, 755 (CA9 1959). See Ponto, 454 657, 659—663 (CA7 1971). fashion, removed face 1948 preserved judicial construction. F.2d, 751—755; DiStefano, 464 845, 847—848 (CA2 1972). 11 limits resulted inability substantial number cases. lay Court, limited believed erroneous, involved (was) deemed sufficiently general importance warrant' our attention.9 12 against background undertook amend history indicates concerned what perceived major problems construed: lack appealability many cases, certain could S.Rep.No.91—1296, pp. 4—18 (1970). Particular concern expressed 'in selective judges reviewed defendants' files trials indictments errors draft boards.' Id., 14. view 'earlier versions section 3731' subject 'restrictive interpretations congressional intent.' determined 'assure may Constitution permits,' shall first appeals.' 2—3. id., 13 including admonition provisions 'shall liberally effectuate purposes,' history,10 us kind Clause.11 turn inquiry. III 14 Although articulated different ways animate, context clear. 'The prohibition 'double designed protect individual being subjected hazards conviction more once alleged offense. . underlying idea, deeply ingrained least Anglo-American system jurisprudence, State resources allowed make repeated attempts convict offense, subjecting him embarrassment, expense ordeal compelling live continuing anxiety insecurity, well enhancing possibility though innocent found guilty.' Green 355 184, 187—188, 78 221, 223, 199 (1957). 554, 543 (1971); Price Georgia, 398 323, 326, 1757, 1759, 300 15 aid invoked, useful define implicated resort jeopardy.' U.S., 480, S.Ct., 554. attaches sworn. Downum 372 734, 83 1033, 100 (1963); Illinois Somerville, 410 458, 93 1066, 35 425 (1973). McCarthy Zerbst, 85 640, 642 (CA10 1936). Wade Hunter, 336 684, 688, 69 834, 836, L.Ed. 974 (1949). consistently adhered attach, can application, Kepner 195 100, 128, 130—131, 24 797, 804—805, 49 114 (1904); Macdonald, 207 120, 127, 28 53, 55, 52 130 (1907); Bassing Cady, 208 386, 391 392, 393, 540 (1908); Collins Loisel, 262 426, 429, 618, 619, 67 1062 (1923).12 16 Under yet then, nor ever been, facts.' initiated and, course, consent court. Fed.Rule Crim.Proc. 23(a). Patton 281 276, 312, 253, 263, 74 854 (1930); Singer 380 24, 783, 630 (1965). determination regarding innocence. Petitioner's raised precisely 'trial surrounding commission offense assistance determining' validity. Covington, 395 57, 60, 89 1559, 1561, 23 (1969). 12(b)(1).13 His (to indictment) during following do grant deny neither attach. IV 17 acknowledges 'formal technical attached' However, argues "evidentiary outside constitute 506, 507' (1972), 'constructively attached.' basic interrelated premises. First, admonished use 'technicalities' interpreting Clause, contends normal attachment presumption rebuttable analysis respective interests accused frustrated prosecution. Cf. Velazquez, 490 1973). Second, maintains disposition was, circumstances merits,' concludes 663—664 disagree premises conclusion. true disparaged 'rigid, mechanical' rules interpretation 467, 1072, observed conclusion begins, ends, inquiry bars retrial.' Ibid. 303, 2137. Implicit latter premise 'constitutional underpinning Amendment's guarantee' 'jeopardy attaches.' above, This means technicality, rule. is, like rules, attempt impart content abstraction. 19 terminated often spared much expense, delay, strain, embarrassment attend 223—224. raise defenses objections 'capable issue,' 12(b)(1), 12(b)(2), 'subjected 187, 223. Moreover, 'allow prosecutor persuade second defendant's having failed first.' Wilson, 352, 1026. 484, 556. Both terms demonstrate come play proceeding 'having try innocence accused.' 133, 806. 329, 1761. Without risk guilt, constitutes double jeopardy. 20 premise, need not, reach detain us. settled 'a verdict subsequent offence.' Ball, 163 662, 671, 1192, 1195, 41 (1896); 188, supra; Fong Foo 369 141, 82 629 (1962). But from, after, cannot divorced characterized taken. 346—348, 1023—1024. itself talismanic quality Compare Oppenheimer, 242 85, 88, 37 68, 69, 61 161 (1916), Barber, 219 72, 78, 31 209, 211, 55 99 (1911), Goldman, 277 229, 236—237, 48 486, 488, 72 862 (1928). particular, conviction. 21 Our contrary. 350—351, 1025—1026, believe Sisson constitutionality take contrary view, here. For attached; basis relating case.' 290 19, 2130. 288, 2128; 478 7, 553. Whatever else said about Sisson,14 alter fundamental suffer 22 Similarly, reliance 507 misplaced. 'jurisdiction (1964 ed., Supp. V) (pretrial) appellee.' 504—505, 2533. course concluding jurisdiction, observed: 'Under lie rests, sufficiency alone, extraneous facts. If result stipulated showing evidentiary available. Findley, 439 970 (CA1 1971).' 2534. decided citation Findley,15 beyond passage Brewster virtue V correctly States' similar appealable. Nor intimate Solicitor General, afforded opportunity obtain nevertheless knowingly allows himself placed defense.' 970, 973 1971), 1293—1294. Jenkins, 868, 880 1973), aff'd, 358, 1006, 250 (1975). hold Affirmed. 25 DOUGLAS dissents, cause properly jury, Fed.Rules (4). 663 Ramos, 413 743, 744 1969). (1969); 301, 2135, (1970); Knox, 396 77, 83, 363, 367, 275 J. Moore, Practice 12.04 (2d ed. 1975). ordering relied primarily Ziskowski, 465 480 (CA3 1972), Folino, 72—1974 June 1973) (unreported). Title provides pertinent part: 'In decision, judgment, counts, clause prohibits purposes.' amendments, effective 2, '(f)rom judgment aside, count thereof Supreme provided section.' provision, concluded, 'were permissible possibly 'expressly procedures required 23(a) complied with, distinguished Hill, 473 759 unappealable alleging mailing obscene advertisements, grounds Hill (1) (2) character actually record 'so distinction 'permit unappealable,' extent inconsistent, bound Pecora. 'An behalf instances: 'From thereof, invalidity construction founded. arresting insufficiency sustaining bar, section. Provision 1942. May 1942, c. 295, 1, 56 271, codified 682 (1946 ed.). Section quashing, demurrer plea abatement 25, 1948, 62 844, II). reviser's note states '(m)inor changes conform Rule Procedure.' Department Comments S. 3132, S.Rep.No.91 1296, p. General Griswold Senator McClellan, 33. relevance 'well carefully prepared' Senate Judiciary Committee, see Schwegmann Bros. Calvert Distillers Corp., 341 384, 395, 71 745, 751, 1035 (1951) (Jackson, J., concurring), affected proposed Committee adopted modified House-Senate Conference Committee. H.R.Conf.Rep.No.91—1768, contains explanation made, themselves intent Report. 337—339, 1019 1020. Appeals. E.g., 870 250; Brown, 481 1035, 1039—1040 (CA8 see, e.g., Southern 485 309, 312 (CA4 To passages referred deal predecessors relevant orders presented problem. infra, 392. Pursuant §§ 3771 3772, Procedure, 12, transmitted April 22, postponed August 1975, 30, 1974, 88 397. overrule Sisson's amendments. 10, supra. analyzing Findley concluded: 'Collectively approach jeopardy, error cover.' 973.

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