Court Opinion

ID: 9727999
Source: CourtListenerOpinion
Date Created: 2023-08-26 13:54:51.837803+00
Date Added: 2024-06-11T18:25:44.895703
License: Public Domain

Mr. JUSTICE STOUDER, dissenting: I am constrained to disagree with the opinion of my colleagues. Defendant was found not guilty of the initial charge and the judgment of acquittal is not appealable by the State. I would grant the defendant’s motion to dismiss the State’s appeal. The majority have failed to address what is the threshold issue of this case, i.e., the extent of the State’s right to appeal. Article VI, section 6 of the Illinois Constitution of 1970 provides that “after a trial on the merits in a criminal case, there shall be no appeal from a judgment of acquittal.” At common law the State had no right whatsoever to appeal from adverse rulings by the trial court. (United States v. Sanges (1892), 144 U.S. 310, 36 L. Ed. 445, 12 S. Ct. 609.) Hence, any authority which the State may have to appeal from rulings of the trial court must have its genesis in either the constitution, statutes or court rules, and of course, decisions interpreting them. That authority is currently found in Supreme Court Rule 604(a)(1) (Ill. Rev. Stat. 1977, ch. 110A, par. 604(a)(1)). Rule 604(a)(1) together with its reference to section 114 — 1 of the Code of Criminal Procedure of 1963 (Ill. Rev. Stat. 1977, ch. 38, par. 114—1) provides: ° ° In criminal cases the State may appeal only from an order or judgment the substantive effect of which results in dismissing a charge for any of the grounds enumerated in section 114 — 1 of the Code of Criminal Procedure of 1963; arresting judgment because of a defective indictment, information or complaint; quashing an arrest or search warrant; or suppressing evidence.” Section 114 — 1 sets forth 10 grounds on which a defendant’s motion to dismiss may be granted and from which the State may appeal adverse rulings. Neither in form or in substance was there any claim made in the trial court or in this court that section 114 — 1 is any authority for the appeal in this case. Although the grounds in section 114 — 1 are those upon which dismissal of charges are ordinarily based, they have been held not to be exclusive. Where the action of the trial court results substantially in the dismissal of the charge, the action of the trial court adverse to the State may be appealed even though the basis for the relief is not specified in section 114 — 1. (See People v. Love (1968), 39 Ill. 2d 436, 235 N.E.2d 819, and People v. Lawson (1977), 67 Ill. 2d 449, 367 N.E.2d 1244.) However, neither the judgment of acquittal nor the claimed errors in the trial court’s rulings either dismissed a charge in whole or part, or have the substantial effect of doing so. In fact the action of the trial court was quite to the contrary. While the majority summarily concludes “there was no acquittal but rather an improper dismissal for failure of the State to present evidence,” it does so without mentioning Rule 604 or the statute. By characterizing the judgment of acquittal as a dismissal for the failure of the State to present evidence, the majority recognizes that the judgment was based on the failure of the State to prove its case. A judgment based on insufficient evidence is akin to a directed verdict of acquittal, which the courts of this State have long held is not appealable by the State. See People v. Augitto (1971), 1 Ill. App. 3d 78, 273 N.E.2d 15. The State has the burden of presenting sufficient evidence to convict the defendant beyond a reasonable doubt and when the State fails to do so, it is the court’s duty to enter a judgment of acquittal, as occurred in the instant case. Once a judgment of acquittal is entered for the failure of the State to prove defendant guilty beyond a reasonable doubt (see People v. Thomas (1975), 24 Ill. App. 3d 907, 322 N.E.2d 97), the State is precluded by article VI, section 6 of the 1970 Illinois Constitution and Rule 604 from appealing the trial court’s decision. City of Peoria v. Davis (1976), 39 Ill. App. 3d 557, 315 N.E.2d 531. The majority rejects the applicability of the Davis case because in that case the defendants were sworn and en masse said they were not guilty. I fail to see how this difference in procedure detracts from the rule in Davis, and the majority by such reliance fails to recognize what I consider to be the essence both of the Davis case and this case. When a case is called for hearing and the State declines to present evidence, or as in the instant case states for the record it can not prove the charge, a judgment of acquittal is the appropriate action on the merits of the controversy. The State has the affirmative obligation to prove the guilt of the defendant and its failure to do so customarily results in a judgment of acquittal. To the extent that there is any applicability of the mistrial cases or their reasoning (United States v. Jorn (1971), 400 U.S. 470, 27 L. Ed. 2d 543, 91 S. Ct. 547; People ex rel. Mosley v. Carey (1979), 74 Ill. 2d 527, 387 N.E.2d 325), I believe they support and are consistent with the view I have taken. Where a defendant seeks a mistrial, he is affirmatively requesting that the trial of the case cease and that it recommence anew on account of trial error. The defendant himself seeks to prevent a final determination. In the instant case or in those cases where the State has failed to prove its case by sufficient evidence, the defendant in moving for judgment in his favor is requesting the proceeding continue in due course to final decision. Since the action of the defendant and the court here does not represent any cessation or interruption of the proceeding at the request of the defendant, there is of course no basis for a mistrial and no reason for assessing any unfavorable consequences against the defendant on account of his conduct. The principal case cited by the majority to support the appealability of the judgment of acquittal is People v. Dellecarto (1978), 67 Ill. App. 3d 490, 384 N.E.2d 902. While Dellecarto has significant weaknesses in that the trial court was confused about the disposition it intended and the court on appeal ignored that the insufficiency of the evidence was the basis for the judgment of acquittal, I believe the opinion departs from the established concepts regarding judgments of acquittal and jeopardizes the constitutional protections afforded the defendant. I find such paucity of case precedent and statutory authority supporting the majority particularly disturbing since judgments of acquittal have traditionally not been appealable by the State. The majority has inferred that the limitation of the State’s right to appeal under 604(a)(1) is co-extensive with the limitations imposed by the double jeopardy clause. While I disagree with the majority’s analysis that defendant will not be placed twice in jeopardy, I also believe, apart from such an issue, that Rule 604(a)(1) does not authorize appeals by the State to the same extent as with the double jeopardy clause. The present situation is comparable to one previously existing in the Federal court. Prior to 1971,18 U.S.C. §3731 governed appeals and issues relating to the government’s right of appeal revolved around statutory construction more than the constitutional concepts of double jeopardy. When section 3731 was amended to provide appeals to the full extent allowed by the double jeopardy clause, the court found that previous decisions construing the statute proved to be of little assistance in determining when the double jeopardy clause of the fifth amendment would prohibit further prosecution. United States v. Scott (1978), 437 U.S. 82, 57 L. Ed. 2d 65, 98 S. Ct. 2187. Similarly, our Supreme Court Rule 604(a)(1) provides specified grounds which enable the State to prosecute an appeal. Unless the rule allowing State appeals exceeds the limits of the double jeopardy clause, it is the rule and not the double jeopardy clause which determines the State’s right to appeal. It is the rule which authorizes State appeals and not the doctrine of double jeopardy. In its notice of appeal, the State attempts to appeal from four distinct rulings. With respect to the first indictment, the State appeals from the order denying the State’s motion to dismiss, the order denying the State’s motion for a continuance and the judgment of acquittal. With respect to the second indictment the State appeals from the order dismissing the second indictment based upon defendant’s claim of double jeopardy. It is important to recognize that two judgments are involved and that on this appeal we are primarily concerned with the judgment of acquittal on the first indictment. Both parties agree that the propriety of the judgment dismissing the second indictment stands or falls dependent on the decision on the earlier judgment. The conceded appealability of the second judgment pursuant to Rule 604 has no effect on the appealability of the first judgment. Not only does the majority ignore the fact the judgment was one of acquittal for insufficient evidence, it insists the denial of the State’s motions for dismissal and continuance was erroneous and then claims such error makes the judgment reviewable. The majority concludes that the prosecutor has sole authority to decide when charges should be dismissed and thereby infers that the judge is acting in a purely ministerial capacity when deciding a State’s motion to dismiss. While I do not believe we have the authority to consider such an issue, since I also believe the majority is in error, I will respond to their opinion. First, the majority’s position ignores the trial judge’s responsibility under Illinois v. Sommerville (1973), 410 U.S. 458, 35 L. Ed. 2d 425, 93 S. Ct. 1066, and its progeny, to determine that “manifest necessity” or the “ends of public justice” require a dismissal of the prosecution upon a motion of the State. If the trial judge has such a responsibility, he is certainly more than a rubber stamp. Second, and equally as important, Illinois does not grant the prosecution such authority, but confers the trial judge with discretion in deciding both prosecution motions for dismissal and continuance. Even the Federal decision relied upon by the majority, United States v. Cowan (5th Cir. 1975), 524 F.2d 504, indicates that Illinois by judicial decision has given the courts a responsible role in dismissal of pending criminal proceedings, citing People ex rel. Hoyne v. Newcomer (1918), 284 Ill. 315, 120 N.E. 244, and People ex rel. Kunstmen v. Nagano (1945), 389 Ill. 231, 59 N.E.2d 96. Hoyne rejected the English rule that a prosecutor has absolute discretion to dismiss and held that “consent and approval of the court should be required.” While it appears that the Attorney General for the State of Illinois may have such absolute power, it is clear the state’s attorney does not. (See People v. Daniels (1956), 8 Ill. 2d 43, 132 N.E.2d 507.) Hence, the trial court was within its authority to consider the propriety of the State’s motion to dismiss. The majority also suggests that perhaps the action of the trial court was a dismissal of the charge for want of prosecution, which action was unauthorized under such cases as People v. Thomas (1975), 24 Ill. App. 3d 907, 322 N.E.2d 97. While the present record itself reveals the charge against this defendant was not dismissed for want of prosecution, the reason given by the Thomas court for its result is no longer viable. In Thomas the court said a dismissal for want of prosecution was not specified in section 114 — 1 and consequently, the charge could not be dismissed for other reasons. In the recent case of People v. Lawson (1977), 67 Ill. 2d 449, 367 N.E.2d 1244, the rule regarding the exclusiveness of the grounds enumerated in section 114 — 1 was rejected, and to that extent, Lawson reversed the reasoning of People v. Shick (1968), 101 Ill. App. 2d 377, 243 N.E.2d 285, and People v. Abel (1974), 21 Ill. App. 3d 314, 315 N.E.2d 136, and its progeny, which includes Thomas. The State’s efforts at transforming a judgment of acquittal into a dismissal for want of prosecution fail to observe the critical importance of the trial court’s pronouncement of its judgment of acquittal. Whenever judgment of acquittal is entered, certain legal consequences follow the mere pronouncement of the judgment of acquittal, not the least of which is the notion that the trial court believes there was insufficient evidence to find the defendant guilty. The constitution of our State (Ill. Const. 1970, art. VI, §6) and the Criminal Code (Ill. Rev. Stat. 1977, ch. 38, par. 3—4) prohibit appeals from judgments of acquittal. I believe that these constitutional and statutory provisions mean just what they say. To so lightly cast aside these prohibitions poses grave threats to the integrity of judgments of acquittal and allows judicial inquiry into areas not heretofore allowed. I believe the trial court’s pronouncement on November 7, 1977, was nothing more nor less than a judgment of acquittal and precludes our inquiry into matters relating to that judgment. Even though, as I have indicated, I believe the judgment of acquittal is not reviewable by this court, as I have also indicated, the trial court has the authority to review the State’s motion to dismiss its own charge. I believe the court acted properly in the exercise of that authority. The facts are not particularly in dispute. The State was aware of the problems with the indictment at least Bz weeks prior to the date scheduled for trial, and the State was informed at that time the defendant wished to proceed to trial before a jury on the date then scheduled. Neither formally nor informally did the State notify opposing counsel or the trial court in advance of the trial of its intention not to try the case because the State wanted to dismiss the charges and secure a new indictment. The case had been set for trial quite some time in advance, and the State was well aware of the trial date. On the date of trial, the defendant, his counsel, and his witnesses appeared in court ready for trial and it was only at this juncture that the State moved to dismiss the indictment and delay the trial until a new indictment could be secured. It appears the State was aware of its intention to dismiss the indictment well in advance of the trial date. The prosecution offered no reason or excuses why it had not taken the action earlier. Nor did it notify defense counsel of its intention to do so in order to avoid the vexation, inconvenience to the court and the defendant and of course, the unnecessary and unjustified delay of defendant’s right to trial. The state conceded at the time of its motion that the indictment did state an offense and was not defective in any regard. Its only reason for seeking the dismissal and a new indictment was that it could not prove the charge alleged in the indictment. The indictment had been pending for five weeks at this time. It appears the defendant was arrested sometime prior to indictment. The exercise of the trial court’s discretion in declining the motions is amply supported by the facts before it. In the recent case of People v. Hills (1979), 71 Ill. App. 3d 461, 389 N.E.2d 873, defense counsel sought a continuance on the day of trial because he had not interviewed his client or conducted any pretrial discovery, but the trial court rejected defendant’s motion when it appeared the State was ready for trial and the reasons for the continuance motion were known to defense counsel well in advance of the trial date. On appeal, the appellate court affirmed the trial court’s actions. Where, as in the instant case, the defendant was present with his witnesses for trial, delay at the request of the State is only justifiable for good cause shown and I agree with the trial court that good cause was not shown. Hence, I believe there was no error committed by the trial court in denying both the State’s motion for a dismissal and continuance. Related to statutory and constitutional prohibitions against appeals from judgments of acquittal, is the scope of the double jeopardy clause of our Federal and State constitutions. While much of what has been stated heretofore has been concerned primarily with the statutory prohibitions against appeals, it is also applicable to questions of double jeopardy.Relying on United States v. Scott (1978), 437 U.S. 82, 57 L. Ed. 2d 65,98 S. Ct. 2187, the majority holds that the double jeopardy clause will not be offended by the trial of defendant on a second indictment. While I have previously expressed the belief that the focus of our inquiry should not be on the double jeopardy clause, but rather on Rule 604(a) (1), I also believe the majority’s position on the issue of double jeopardy is incorrect. The order of November 7, 1977, was a factual resolution of the charge and trying defendant on the second indictment would place him twice in jeopardy. I do not believe the decision in Scott requires otherwise. While Scott is a relevant exposition of the principles underlying the double jeopardy clause, the majority’s reliance on its holding to support their result is misplaced. Scott held that where a defendant seeks to have the trial terminated without any submission to either judge or jury as to his guilt or innocence, an appeal by the government from his successful effort to do so is not barred by the principles of double jeopardy. Hence, reliance on Scott as controlling is improper where, as here, the defendant did not seek a dismissal, but urged the case to trial. In Scott, in ordering a dismissal for preindictment delay, the district court clearly contemplated an order premised on grounds distinct from factual questions of guilt or innocence. Contrawise, in the present case, the trial court entered a judgment of acquittal based upon the lack of evidence to convict the defendant. Whether or not any aspect of the trial court’s actions was proper or erroneous, and I believe they were proper, the fact remains the proceedings were terminated favorably to the defendant on a basis related to guilt or innocence as established by the State’s case. In discussing the significance of the entry of a judgment of acquittal, the United States Supreme Court in Scott stated: “A judgment of acquittal, whether based on a jury verdict of not guilty or a ruling by the court that the evidence is insufficient to convict, may not be appealed and terminates the prosecution when a second trial would be necessitated by a reversal. What may seem superficially to be a disparity in the rules governing a defendant’s liability to be tried again is explainable by reference to the underlying purposes of the Double Jeopardy Clause. As Kepner and Fong Foo illustrate, the law attaches particular significance to an acquittal. To permit a second trial after an acquittal, however mistaken the acquittal may have been, would present an unacceptably high risk that the Government, with its vastly superior resources, might wear down the defendant so that ‘even though innocent he may be found guilty’. [Citation.]” 437 U.S. 82, 91, 57 L. Ed. 2d 65, 74, 98 S. Ct. 2187, 2193-94. Attempts by the majority to characterize the trial court’s decision as a “pretrial dismissal” fails to recognize that the indictment of November 7 was called to trial by the judge, as he had the authority to do, and an order was entered finally disposing of the case based upon the merits of the State’s case. Based upon the proceedings at trial, the trial court felt compelled to enter a judgment of acquittal. “[T]he fact that ‘the acquittal may result from erroneous evidentiary rulings or erroneous interpretations of governing legal principles,’ * * * affects the accuracy of that determination, but it does not alter its essential character. By contrast, the dismissal of an indictment for preindictment delay represents the legal judgment that a defendant, although criminally culpable, may not be punished because of the supposed constitutional violation.” 437 U.S. 82, 98, 57 L. Ed. 2d 65, 79, 98 S. Ct. 2187, 2197. Hence, errors preceding the judgment of acquittal may affect the accuracy of the judgment but such errors can not and do not alter its essential character. While what constitutes an “acquittal” for purposes of double jeopardy is not controlled by the form of the judge’s action (United States v. Martin Linen Supply Co. (1977), 430 U.S. 564, 51 L. Ed. 2d 642, 97 S. Ct. 1349), such orders, if representing a determination that the State had not proved facts constituting the offense, whether correct or not, do bar subsequent prosecution. As was stated in Sanabria v. United States (1978), 437 U.S. 54, 64, 57 L. Ed. 2d 43, 53, 98 S. Ct. 2170, 2178: “In deciding whether a second triál is permissible here, we must immediately confront the fact that petitioner was acquitted on the indictment. That ‘[a] verdict of acquittal # e ” [may] not be reviewed * * * without putting [the defendant] twice in jeopardy, and thereby violating the Constitution,’ has recently been described as ‘the most fundamental rule in the history of double jeopardy jurisprudence.’ United States v. Martin Linen Supply Co., 430 U.S. 564, 571 (1977), quoting United States v. Ball, 163 U.S. 662, 671 (1896). The fundamental nature of this rule is manifested by its explicit extension to situations where an acquittal is ‘based upon an egregiously erroneous foundation.’ Fong Foo v. United States, 369 U.S. 141, 143 (1962); [citations].” Hence, there can be no review of a judgment of acquittal entered under Rule 29(g) of the Federal Rules of Civil Procedure (United States v. Martin Linen Supply Co.), no second trial after reversal on appeal for insufficient evidence (Burkes v. United States (1978), 437 U.S. 1, 57 L. Ed. 2d 1, 98 S. Ct. 2141), and no appeal from a midtrial exclusionary ruling and a subsequent acquittal (Sanabria v. United States, 437 U.S. 54, 57 L. Ed. 2d 43, 98 S. Ct. 2170). I believe that the defendant was tried and acquitted of the charges contained in the first indictment and subsequent retrial is barred by double jeopardy. Finally, the majority suggests the earlier judgment was not a bar to the second prosecution because the owner appears to have been described differently in the second indictment. I think it is sufficient to say this argument was not advanced in the trial court because the State in prosecuting the second indictment claimed the stay of acquittal was invalid or a nullity. No argument was made by the State that if the original judgment was valid, it nevertheless could prosecute on the second indictment. For the foregoing reasons, I believe the State’s attempted appeal from the trial court’s denial of the State’s motion to dismiss the first indictment, the trial court’s denial of the State’s motion for a continuance, and the judgment of acquittal on the first indictment should all be dismissed. The decision of the trial court to dismiss the second indictment should be affirmed.