Lead Opinion
The prohibition against double jeopardy, an important protection provided by the federal Constitution and our common law, precludes further prosecution of a defendant on a charge following an acquittal on that charge. That protection is triggered not only by a properly-labeled “acquittal” but also by a “ruling of the judge, whatever its label, [that] actually represents a resolution, correct or not, of some or all of the factual elements of the offense charged.”
The Circuit Court for Talbot County held that, in these circumstances, the trial court’s action was tantamount to a preliminary motion to dismiss and that the State could therefore appeal the trial court’s decision concerning service of process. We agree with the Circuit Court — and with the courts in other jurisdictions that have confronted similar situations — that a mis-labeled dismissal of charges for a purely procedural reason unrelated to guilt or innocence does not trigger the protection against double jeopardy.
Background
On March 28, 2011, Angela Jones Kendall was charged with driving under the influence of alcohol in violation of Maryland Code, Transportation Article (“TR”), § 21-902(a)(l); driving or attempting to drive a vehicle while impaired by alcohol, in violation of TR § 21 — 902(b)(1); driving or attempting to drive a vehicle while impaired by drugs or alcohol and drugs, in violation of TR § 21-902(c)(l); and failure to control vehicle speed to avoid a collision, in violation of TR § 21-801(b). The case came to trial in the District Court of Maryland sitting in Talbot County, on June 1, 2011. Ms. Kendall entered a plea
The State called five witnesses. After the State rested its case, defense counsel made a “motion for judgment,” arguing that the investigating police officer had failed to obtain a blood sample from the defendant to determine her blood alcohol concentration following the arrest in accordance with Maryland Code, Courts & Judicial Proceedings Article (“CJ”) § 10-305.
The trial judge agreed that the officer had failed to comply with CJ § 10-305 and granted the defense motion on that ground as to the charge of driving while under the influence of alcohol.
THE COURT: I’m going to grant the motion.
[PROSECUTOR]: I would note, just for the record, Your Honor, that Judge Moylan addresses that exact same rule [in Darrikhuma v. State,81 Md.App. 560 ,568 A.2d 1150 (1990) ].5
THE COURT: I understand that but I’m looking at, I read the rule and it says “shall.” And the officer is there, Ms. Kendall is there. It’s not a situation where she is unconscious or undergoing surgery, she’s in fact, he’s standing out in the hall and she is in a room. And instead of going in and serving her, he hands it to her mother. And I don’t think that’s what the rule contemplates____
[the trial court then referred to the Darrikhuma case and the practice of other officers serving citations in hospitals in other cases]
... In this case she was there, he was there, and he served somebody else and that’s not what the rule says.
[PROSECUTOR]: I understand.
THE COURT: So I think that he, the rule in this case was not complied with.
[PROSECUTOR]: For the record to entertain that motion as a preliminary motion to dismiss?
THE COURT: Maybe, yeah.
[PROSECUTOR]: Thank you. Nothing further.
THE COURT: I’m going to grant this motion based upon, I think that this is one of those situations where although*483 Judge Moylan has an analysis I think the facts in this case fly directly in the face of the requirements of the rule.
[PROSECUTOR]: Yes, Your Honor.
THE COURT: And there is no justification for not complying.
At the same time that he rendered his decision on the defense motion, the trial judge completed and signed a docket sheet for each charge.
The State subsequently noted an appeal to the Circuit Court for Talbot County with respect to the termination of the prosecution of the three charges for improper service, characterizing the trial court’s action as a “dismissal.”
On April 20, 2012, we granted Ms. Kendall’s petition for certiorari on her double jeopardy claim.
Discussion
Double Jeopardy
The federal Constitution provides that no person shall “be subject for the same offense to be twice put in jeopardy of life or limb.” United States Constitution, Fifth Amendment.
It is also well established that, if a defendant seeks to have a prosecution terminated without any submission to a judge or jury as to the defendant’s guilt or innocence of the charges and the court grants that motion, further prosecution is not barred. The critical question is “whether the ruling of the judge, whatever its label, actually represents a resolution, correct or not, of some or all of the factual elements of the offense charged.” United States v. Martin Linen Supply Co.,
For example, in United States v. Scott,
Application of Double Jeopardy Principles
The application of double jeopardy principles in this case turns on the nature of the District Court’s ruling on the three charges in question. It is abundantly clear, and the parties agree, that if the District Court acquitted Ms. Kendall of the charges against her — even if in error — the State is barred from appealing that decision.
• At the close of the State’s case, defense counsel moved “for judgment.” In context it appears clear that she was asking for a “judgment of acquittal,” as permitted by statute and rule.14
• The trial court entertained argument which dealt, in part, with the State’s compliance with a statute requiring it to obtain a certain type of evidence (blood sample) in certain circumstances.
• Based on the evidentiary issue, the trial court granted the defense motion as to the driving while intoxicated charge, but denied the motion as to the other three charges.
• The court then entertained further discussion of a procedural issue — whether the police officer had properly served the statement of charges. There was no further discussion of the blood test or any other evidentiary matter.
• The court permitted the prosecutor to put on testimony concerning how the police officer physically served the citations; that testimony did not concern the substance of the charges.
• Counsel and the court then discussed the Maryland rule on service of citations and a Court of Special Appeals decision construing that rule. There was no discussion of the substance of the charges or the evidence against Ms. Kendall.
• The trial court then “granted the motion” as to the three remaining charges and entered “NG” on the docket sheets, on the ground that the State had not complied with the rule on service of citations. The court explained that*489 the basis of its ruling was the presence of the word “shall” in the rule concerning service of process.
• The trial court agreed with the observation of the prosecutor that the “motion” that was being granted as to the three charges was actually a preliminary motion to dismiss and repeated that the basis of its decision was the interpretation of the rule on service of process.
By definition, a motion for judgment of acquittal is based “on the ground that the evidence is insufficient in law to sustain a conviction[.]” Maryland Code, Criminal Procedure Article, § 6 — 104(a)(1). Here the trial court clearly denied the motion as to the three charges to the extent it was based on the sufficiency of the evidence as to those charges. One who reads solely the portion of the record after the court denied the motion for judgment of acquittal as to the three charges would have no idea of the substance of the charges or the evidence in the case — because no mention at all was made of them. In that portion of the record, the court and counsel have turned their attention entirely to the mechanics of service of process in this case, the rule governing service, and an appellate decision concerning the consequences of a failure to comply with that rule. It could not be clearer — even if the trial court had not explicitly said so — that the termination of the prosecution of those three charges was based on a purely procedural ground having nothing to do with Ms. Kendall’s guilt or innocence of those charges. This was not “a resolution, correct or not, of some or all of the factual elements of the offense[s] charged.” Accordingly, the protection against double jeopardy was not triggered by that ruling.
To be sure, the trial court entered “NG” on the docket sheets for the three charges. Yet it appears that those notations are, at most, the equivalent of a “misspoken verdict.” See Pugh v. State,
In contrast to this case are the prior decisions of this Court where it was held that double jeopardy principles precluded further prosecution because a dismissal was based on the insufficiency — or complete lack — of evidence on the charges in case. For example, in Daff v. State,
There are numerous cases from other jurisdictions where state appellate courts have held that a trial court’s “judgment of acquittal” or “not guilty” was not in fact an acquittal for double jeopardy purposes because the trial court did not purport to be resolving any factual question relating to the offenses charged. See, e.g., Connecticut v. Kruelski,
The Massachusetts Supreme Judicial Court was confronted with a case with facts remarkably similar to those of this case and concluded that the trial court’s action did not implicate double jeopardy. In Commonwealth v. Babb,
On appeal, the Massachusetts Supreme Judicial Court first recited the principles derived from Scott and Martin Linen that whether a trial court’s action is an “acquittal” does not depend on the label attached to the ruling but whether that ruling resolved some or all of the factual elements of the crimes charged.
Like Babb, this is an unusual case. This is a rare instance in which the record is absolutely clear that the trial court denied a motion for judgment of acquittal on substantive grounds, then immediately thereafter entertained a discussion of a purely procedural matter (service of process) having nothing to do with proof of guilt or innocence, received addi
By contrast, many trial court judgments on putatively procedural matters in criminal cases may be interlaced with facts related to the merits of the charges. Under Taylor, such a decision terminating the case in favor of a defendant after jeopardy has attached will likely bar further prosecution under double jeopardy principles. Thus, our holding in this case should not be taken as an invitation to prosecutors to parse every adverse judgment for a procedural aspect to serve as an appellate foothold.
Conclusion
The District Court’s decision to terminate the prosecution of the three charges against Ms. Kendall that are the subject of this appeal was not based on a resolution of “some or all of the factual elements” of the offenses charged. For that reason, the trial court’s action did not trigger the protection against double jeopardy. The State may pursue its appeal of that ruling.
Judgment of the Circuit Court for Talbot County Affirmed. Costs in this Court to be paid by the Respondent.
BELL, C.J., BATTAGLIA, and GREENE, JJ., dissent.
Notes
. United States v. Martin Linen Supply Co.,
. State v. Taylor,
. CJ § 10-305 requires that a blood test be used to determine the defendant’s blood alcohol concentration in certain circumstances.
. The trial court apparently also relied upon State v. Werkheiser,
. Although Judge Moylan was the senior member of the panel that decided the Darrikhuma case and the trial court and counsel appeared to refer to him in their discussion of the case, the author of the opinion was actually Judge Cathell, who was then a judge on the Court of Special Appeals.
. We understand that docket sheets are used to input information into the District Court's electronic case record database.
. Under CJ § 12-401(b), the State may appeal to the circuit court a final judgment in a criminal case in the District Court “granting a motion to dismiss, or quashing or dismissing a charging document.” The State did not seek to appeal the termination of the prosecution on the charge of driving while under the influence of alcohol and concedes that further prosecution of that charge is barred by the prohibition against double jeopardy.
. Ms. Kendall also challenged the appeal as untimely, and accused the State of failing to properly transmit the record, not paying related fees,
. During oral argument before us, counsel for the State disputed whether the docket sheets had been made part of the record before the Circuit Court. In any event, there appears to be no dispute that the docket sheets presented to this Court are authentic, that the information recorded on them is also reflected in the District Court database, and that they are appropriately considered by this Court. See Chesek v. Jones,
. A defendant has the right to immediate appellate review of an adverse ruling concerning a double jeopardy claim. Pulley v. State,
. The Double Jeopardy Clause of the Fifth Amendment to the U.S. Constitution is applicable to the states through the Fourteenth Amendment. Benton v. Maryland,
. We are aware that the Supreme Court recently heard argument in a case concerning the prohibition against double jeopardy in the federal Constitution. See Michigan v. Evans,
. There is no dispute that the District Court acquitted Ms. Kendall of the first of the four charges — driving under the influence of alcohol, in violation of TR § 21-902(a)(l).
. A defendant may make a motion for judgment of acquittal at the close of the evidence for the State. Maryland Code, Criminal Procedure Article, § 6 — 104(a)(1); see also Maryland Rule 4-324 (motions for judgment of acquittal).
. In a procedure peculiar to the Massachusetts courts, the trial judge was asked to certify facts concerning his action on the charges. In response to that order, the trial judge indicated that the use of "NG” was in error. While the Massachusetts Supreme Judicial Court relied in part on that report in reaching its holding, it indicated that its conclusions were "supported by the stipulation and the events at trial.” Commonwealth v. Babb,
In the case before us, the District Court’s acknowledgment on the record that its ruling was actually the grant of a preliminary motion to dismiss is functionally equivalent to the Massachusetts trial court’s admission that the "NG” label was inaccurate.
. In Babb, the Massachusetts appellate court reversed the dismissal and remanded the charges for adjudication by the trial court. In this case, the merits of the District Court ruling are not before us, but will be considered by the circuit court on remand. We offer no opinion on that topic. We decide only the appealability of the District Court ruling.
Dissenting Opinion
dissenting, in which BELL, C.J. and BATTAGLIA, J., Join.
I disagree with the majority’s conclusion that the State was entitled to appeal the verdicts of acquittal entered by the District Court. It is well established under Maryland common law that, in a criminal trial, once jeopardy attaches and a verdict of acquittal is rendered intentionally, that verdict is final and may not be set aside.
I.
On March 29, 2011, Officers Larry Horney and Scott Kakabar responded to a single vehicular accident in St. Michaels, Talbot County. When the Officers arrived at the scene of the accident, they found a car facing downward in a ditch. The Officers testified that when they arrived the vehicle engine was running, the vehicle lights were on, and the car appeared to have struck a mailbox. Petitioner was observed in the driver’s seat and was described as “[n]ot kind of responsive” and “disoriented,” with “[slurred] speech,” and “a faint odor of
When Petitioner arrived at the hospital, she required assistance getting into her hospital gown. Hospital staff described her as “[v]ery clumsy in her movements” and “not able to stand on her own at all.” A physician met with Petitioner, and the physician’s assistant noted on an observation sheet that Petitioner, at some point in time, which is unexplained in the record, had suffered seizures, nausea, problems with vision, and vomiting. The observation sheet also indicated that the air bag in Petitioner’s car had deployed. The assisting nurse testified that during her interaction with Petitioner, Petitioner said that “she had swerved off the road and into La] ditch.” While at the hospital, Petitioner was scheduled to receive a CT scan of her head. Prior to undergoing the CT scan, Officer Kakabar asked Petitioner to complete the DR-15 form.
The relevant trial court proceedings began in the District Court for Talbot County when Petitioner entered a plea of “Not Guilty” to the charges of driving or attempting to drive a vehicle while under the influence of alcohol in violation of Md.Code (1977, 2012 Supp.), § 21-902(a)(l) of the Transportation Article (“TR”); driving or attempting to drive a vehicle while impaired by alcohol, in violation of Md.Code (1977, 2012 Supp.), TR § 21-902(b)(l); driving or attempting to drive a vehicle while impaired by drugs or alcohol and drugs, in violation of Md.Code (1977, 2012 Supp.), TR § 21-902(c)(l); and failure to control vehicle speed on a highway to avoid a collision, in violation of Md.Code (1977, 2009 RepLVol.), TR § 21 — 801(b). The Petitioner waived her right to a jury trial, and elected a bench trial in the District Court. Thereafter, the State called each of its five witnesses, presented the entirety of its evidence, and rested its case.
Following the entry of the “Not Guilty” verdict for each of the four charges, the State appealed to the Circuit Court for Talbot County. The State argued that the District Court judge did not acquit Petitioner of three of the four charges. Instead, the State maintained, the District Court dismissed the three outstanding charges on the grounds of improper service. In response, Petitioner moved to dismiss the appeal on the basis that the Court granted an acquittal, and double jeopardy barred the State from appealing the verdicts.
Treating the State’s appeal as proper, the Circuit Court held that the District Court judge’s actions with regard to the three charges did not amount to an acquittal. In ruling for the State, the Circuit Court explained that the trial judge must have interpreted the service issue raised by Petitioner’s motion for judgment as a preliminary motion to dismiss for improper service. The Circuit Court also concluded that the “Not Guilty” entries on the docket sheet were “released in
II.
When the trial judge granted the motion and terminated the proceedings, he had before him the entirety of the evidence presented by the State. This evidence constituted all of the evidence the judge needed to make a judgment on the sufficiency of the State’s evidence. The judge further confirmed his intention to acquit by checking “NG” on the docket sheet. On appeal, therefore, we cannot assume, as the majority holds, that the judge intended to dismiss the case on procedural grounds when the record of the proceedings demonstrates an intent to acquit. As such, double jeopardy was triggered when the verdict of acquittal was rendered, and accordingly “that verdict is final and cannot be set aside.” Pugh v. State,
First, the transcript of the proceedings indicates that the trial judge intended to acquit Petitioner. When the trial judge “grant[ed] the motion,” the only motion pending at that time was a motion for a judgment of acquittal. Only after the judge granted the motion did the State ask the trial judge to convert the motion or “entertain that [previously granted] motion as a prehminary motion to dismiss,” and the judge responded with an ambiguous, “[m]aybe, yeah.” When the judge first granted the motion, the most logical conclusion, therefore, is that he was referring to the motion for judgment of acquittal.
Moving beyond the oddity of considering a preliminary motion to dismiss at the conclusion of a trial, even if the judge wanted to change his mind as to the nature of the motion granted, he would have been barred under Maryland’s double jeopardy jurisprudence, which holds that a judge may not intentionally grant an acquittal and then change his or her mind. For example, in Pugh v. State, the trial judge entered
These cases support the proposition that once a motion to acquit is intentionally granted, a judge may not reverse the judgment, even if he or she intends to do so only moments after the acquittal is rendered. The same rule would apply to this case. Once the trial judge granted the acquittal, he was not permitted to change his mind. Therefore, even if we were to interpret the judge’s ambiguous response to the State’s request as a change of heart, because of double jeopardy’s prohibition, the judge was barred from changing his affirmative decision to acquit.
Next, the critical flaw in the majority’s position, that the trial judge actually granted a procedural motion to dismiss, is that when defense counsel asked for a judgment of acquittal, the trial judge was required to consider the entirety of the evidence presented. This included not only the arguments advanced by defense counsel, but also an assessment of all of the evidence or lack of evidence presented. Merely because the trial judge reviewed arguments on service of process deficiencies immediately before granting the motion, does not mean that the judge only considered the adequacy of the service issue before making his judgment. Ordinarily, when a trial judge is asked to consider the sufficiency of the evidence, the judge’s duty is to consider all of the evidence, including
Moreover, the majority is quick to conclude that the “trial court clearly denied” the motion as to the other three charges with regard to the sufficiency of the evidence.
The fact that the remaining charges were all variations of TR § 21-902(a)(l), driving while under the influence of alcohol, further supports the conclusion that the judge considered the sufficiency of the State’s evidence as to all of the charges. For example, TR § 21 — 902(a)(1) requires proof that the alcohol consumed by the driver “substantially impaired the person’s normal coordination.” One of the other charges against Petitioner, TR § 21 — 902(b)(1), driving while impaired by alcohol, requires proof that the alcohol consumed by the driver “impaired [the driver’s] normal coordination to some extent.” See Turner v. State,
Also related to these charges is TR § 21-902(c)(l), driving while impaired by drugs or drugs and alcohol, which requires a showing that the “drug so impaired the accused that he [or she] was unable to drive safely.” See Cook v. State,
Moreover, the State failed to show that Petitioner acted unreasonably in controlling the speed of her vehicle to avoid the collision under Tit § 21-801 (b). In essence, the law requires a driver “to reduce speed, from what otherwise would be a lawful maximum speed, to that which is reasonable or prudent in light of existing conditions that present an ‘actual or potential danger[,]’ ” such as, for example, a possible collision with a person or vehicle. See Warren v. State,
Thus, there is no reason to believe that the trial judge did not rule on the sufficiency of the evidence for the remaining charges after he had already ruled on the sufficiency of the evidence to support the related charge of driving under the influence. Given the lack of evidence in this case, and the relationship of the charges to each other, we cannot say that the trial judge did not rule on the sufficiency of the evidence to sustain the remaining charges.
The majority emphasizes that because the judge did not discuss the substance of the charges or the evidence in the case before granting the motion, the judge did not intend to acquit Petitioner. The fact that the trial judge did not discuss the substance of the evidence in granting the motion, however, does not, in itself, indicate that he did not consider the evidence and substance of the charges. When a trial judge grants a motion for judgment of acquittal or enters a verdict of acquittal, the judge need not explain the reason for his or her decision. The Maryland Rules provide that “[although not required, the court may state the grounds for its decision
In the present case, the trial judge did not discuss the substance of the remaining three charges when he granted the motion. The absence of a detailed explanation as to the sufficiency of the State’s evidence, however, does not render the decision to acquit any less forceful or binding. Nor does it give us reason to conclude that the trial judge must not have intended to grant a motion for judgment. Rather, in granting the motion, the judge entered a verdict of acquittal and no additional discussion by the judge was required.
Moreover, even if the judge erred in granting the motion, Maryland common law mandates that once jeopardy attaches
Finally, there is additional evidence supporting the view that the trial judge intended deliberately to terminate the proceedings and enter an acquittal. At the conclusion of the trial proceedings, the trial judge granted the motion, checked “NG” for “Not Guilty” on the docket sheet for each of the four charges, and signed his name at the bottom of the docket sheet. Though there were also boxes available for “JA” (Judgment of Acquittal) and “Dismissed,” the granting of a not guilty verdict supports the view that the judge, at the very least, intended Petitioner’s trial to end with an acquittal as to all charges. It is also further evidence that the judge had no intention of dismissing the case on purely procedural grounds, or by granting a motion to dismiss.
Thus, whether the trial judge wished to end the proceedings through a grant of judgment of acquittal, or a “Not Guilty” verdict on the merits, the judge made clear his intentions to acquit the Petitioner of the charges against her. Under either scenario, the verdicts of acquittal in favor of Petitioner were
I respectfully dissent.
Chief Judge BELL and Judge BATTAGLIA join in the views expressed herein.
. Common law protections include barring a second prosecution for the same offense after a verdict of acquittal or “autrefois acquit." In re
Maryland’s double jeopardy jurisprudence broadly interprets the principle embodied in the plea of autrefois acquit. State v. Taylor,
. The State's witnesses presented conflicting testimony with regard to Petitioner's behavior at the scene of the accident. For example, Brian Mitcheliche, the paramedic who assisted Petitioner, testified that she "was alert ... orient ... [and] able to answer [ ] questions [asked of her]."
. Cymbalta refers to a type of drug often prescribed to treat depression, anxiety disorder, or muscle pain. The main ingredient in the drug may cause drowsiness or dizziness, and may affect a person's thinking, judgment, or coordination. Other side effects include nausea, vomiting, headache, tiredness, weakness, blurred vision, or confusion. Alcohol may increase the risk of any serious side effects. See National Center for Biotechnology Information, Duloxetine, United States National Library of Medicine, http://www.ncbi.nlm.nih.gov/pubmedheahh/ PMH0000274/ (last updated Jan. 15, 2012). Officer Kakabar testified that when he approached Petitioner, she told him she had taken Cymbalta. Officer ITorney testified that when he came in contact with Petitioner, she told him she had taken muscle relaxers.
. The DR-15 is a standardized form explaining a detained driver's rights with regard to Maryland's implied consent law and the administration of a blood alcohol concentration test. The form, "in addition to advising individuals of the consequences of a [blood alcohol] test refusal, sets forth the sanctions for having a blood alcohol concentra
. According to the testifying nurse, blood may have been drawn from the Petitioner by hospital technicians for the purpose of testing Petitioner’s alcohol level. The trial transcript reveals, however, that the investigating Officer did not ask hospital staff or Petitioner for a report on Petitioner’s blood content or request a blood test. In response to defense counsel’s question, ”[o]nce [Petitioner] was at the hospital why didn't you ask the hospital to administer a blood test for both alcohol ... [and drugs]?” Officer Kakabar explained that, "[he] just didn’t ask.” Later in the proceedings, defense counsel asked Officer Kakabar, ”[y]ou didn’t ask [Petitioner] for blood though did[] you?” Officer Kakabar replied, ”[n]o.” The Officer later explained that he did not know he had to have a blood test under Md.Code (1973, 2006 Repl. VoL), § 10-305 of the Courts and Judicial Proceedings Article ("CJ”).
. Although defense counsel did not expressly use the term "motion for judgment of acquittal,” no serious argument can be made that defense counsel was not seeking an acquittal based upon the timing of the motion made at the end of the State's case, and that the motion raised deficiencies in the evidence presented by the State.
. Driving while under the influence of alcohol, TR § 21-902(a)(l), requires proof of driving or attempting to drive a vehicle, and proof that the driver had "a substantial impairment of normal coordination” due to alcohol. See Meanor v. State,
. The trial judge and counsel discussed a Court of Special Appeals decision, Darrikhuma v. State,
. This statement refers back to Darrikhuma, and although Judge Moylan was a member of the panel to decide the case, Judge Cathell, who at that time was a judge on the Court of Special Appeals, wrote the opinion.
. There are two reasonable ways to interpret the trial judge’s actions. The judge reconsidered his initial denial of the judgment for acquittal on the remaining three charges ("I'm going to deny the other[] [motions] at this stage at the end of the State’s case”), and then reversed himself, thereby granting the motion. Alternatively, the entry of "NG” on the docket sheet was evidence of a determination of the general issues in the case following a trial on the merits. Under either explanation, we should not attempt to second guess the finality of the trial judge's decision or presume to know all of the reasons for the ruling.
. To be sure, the trial judge first stated that he would, "deny the other[ ] [motions] at this stage at the end of the State’s case.” (Emphasis added). The judge obviously reconsidered because later he stated that he would "grant the motion[.]”
