6 N.Y.3d 224 (2005)

Dismissal of charges due to insufficient evidence is equivalent to an acquittal for double jeopardy purposes, barring subsequent prosecution for the same offense or a lesser included offense.

Summary

Suarez was indicted for murder but the trial court withdrew the intentional murder counts due to insufficient evidence, submitting only depraved indifference murder and manslaughter charges. The jury acquitted Suarez of murder but couldn’t reach a verdict on manslaughter. He was then indicted for first-degree manslaughter. The New York Court of Appeals held that withdrawing the intentional murder charges was an acquittal, and since first-degree manslaughter is a lesser included offense of intentional murder, retrying Suarez for manslaughter violated double jeopardy. This case clarifies that a dismissal for insufficient evidence acts as an acquittal.

Facts

In February 1999, Suarez fatally shot two individuals. He was indicted on multiple counts, including first-degree murder, second-degree murder (both intentional and depraved indifference), and weapons possession. The trial court repeatedly stated there was insufficient evidence of intentional murder. The court only submitted depraved indifference murder and second-degree manslaughter (as a lesser included offense) to the jury.

Procedural History

The jury acquitted Suarez of the murder charges but deadlocked on the manslaughter charges, resulting in a mistrial. Suarez was subsequently indicted for first-degree manslaughter and second-degree manslaughter. The trial court denied Suarez’s motion to dismiss the second indictment, arguing double jeopardy. A second jury convicted Suarez of two counts of first-degree manslaughter. The Appellate Division affirmed. The New York Court of Appeals reversed, holding that the second trial violated double jeopardy principles.

Issue(s)

1. Whether the trial court’s withdrawal of the intentional murder counts from the jury’s consideration due to insufficient evidence constituted an acquittal for double jeopardy purposes?
2. Whether first-degree manslaughter is the same offense as intentional second-degree murder for double jeopardy purposes, such that acquittal of the greater offense precludes subsequent prosecution for the lesser offense?

Holding

1. Yes, because the trial court’s decision not to submit the intentional murder counts to the jury, based on a finding of insufficient evidence, amounted to a dismissal of those charges and thus the equivalent of an acquittal for double jeopardy purposes.
2. Yes, because first-degree manslaughter is a lesser included offense of second-degree intentional murder, requiring no proof beyond that which is required for conviction of the greater offense.

Court’s Reasoning

The Court of Appeals relied on established double jeopardy principles, stating that double jeopardy protects against a second prosecution for the same offense after an acquittal. Citing United States v. Martin Linen Supply Co., the court emphasized that the label given to a judge’s action is not controlling; rather, the key is whether the ruling represents a resolution of some or all of the factual elements of the offense charged. Here, the trial judge’s repeated statements regarding the insufficiency of evidence for intentional murder, coupled with the decision to withhold those charges from the jury, constituted a dismissal amounting to an acquittal.

The court then applied the Blockburger v. United States test to determine whether first-degree manslaughter and second-degree murder are the “same” offense for double jeopardy purposes. The Blockburger test asks whether each provision requires proof of an additional fact that the other does not. Second-degree murder requires intent to cause death, while first-degree manslaughter requires intent to cause serious physical injury. The court reasoned that it is impossible to intend to kill someone without simultaneously intending to cause serious physical injury. Therefore, first-degree manslaughter is a lesser included offense of second-degree murder. As stated in Brown v. Ohio, “the lesser offense…requires no proof beyond that which is required for conviction of the greater.”

Because Suarez was acquitted of intentional murder, and first-degree manslaughter is the same offense as second-degree murder under Blockburger, the Double Jeopardy Clauses of both the Federal and State Constitutions barred his subsequent indictment and prosecution for first-degree manslaughter. The court clarified that unpreserved statutory double jeopardy claims are not reviewable.