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State of Vermont v. Stuart Forbes, No. 85-496 (Vt. Jan. 16, 1987)

Factual and Procedural Background

On January 24, 1985 the State filed three informations against Stuart Forbes charging (1) common law manslaughter, (2) aggravated assault (13 V.S.A. § 1024), and (3) reckless endangerment (13 V.S.A. § 1025). At arraignment on January 28, 1985 Forbes pleaded not guilty to manslaughter and aggravated assault, and tendered a plea of guilty to reckless endangerment. Immediately after the guilty plea was tendered, the State moved under V.R.Cr.P. 48(a) to dismiss the aggravated assault and reckless endangerment informations. The presiding judge did not rule on the motion to dismiss and did not accept the guilty plea. A subsequent hearing resulted in the district court granting the State's motion to dismiss the aggravated assault and reckless endangerment charges. The only remaining pending information charged manslaughter.

Forbes moved to dismiss the manslaughter information on double jeopardy grounds, arguing jeopardy had attached when he pled guilty to reckless endangerment (which he contended was a lesser-included offense of manslaughter). The district court denied the motion, concluding reckless endangerment is not a lesser-included offense of manslaughter and, in any event, the guilty plea had not been accepted so jeopardy had not attached. Forbes obtained interlocutory review under V.R.A.P. 5(b), and three certified questions were presented to the Supreme Court of Vermont.

Legal Issues Presented

  1. Did jeopardy attach when Forbes voluntarily and in open court entered a guilty plea to the reckless endangerment information?
  2. Is reckless endangerment, 13 V.S.A. § 1025, as charged, the same as or a lesser-included offense of manslaughter, 13 V.S.A. § 2304?
  3. Is continued prosecution of Forbes for manslaughter barred by double jeopardy?

Arguments of the Parties

Defendant's Arguments

  • Jeopardy attached when he knowingly and voluntarily tendered a guilty plea to reckless endangerment in open court; consequently further prosecution for manslaughter is barred because reckless endangerment is a lesser-included offense of manslaughter.
  • Relied principally on Riadon v. United States, United States v. Barbosa, and State v. Vincent for the proposition that jeopardy attaches at the time the plea is made, before court acceptance.

State's / Trial Court's Position

  • The State moved under V.R.Cr.P. 48(a) to dismiss the aggravated assault and reckless endangerment informations; the trial court relied on the Reporter's Notes to V.R.Cr.P. 48(a) treating the State's right to nol pros prior to trial as absolute and on authority that a defendant has no absolute right to have a guilty plea accepted by the court (citing United States v. Jackson and Lynch v. Overholser).
  • The trial court concluded reckless endangerment was not a lesser-included offense of manslaughter and that jeopardy had not attached because the guilty plea had not been accepted.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
United States v. Jackson, 390 U.S. 570, 584 (1968) Authority indicating a defendant has no absolute right to have a guilty plea accepted. Used to support the trial court's view that plea acceptance is not an absolute entitlement of the defendant.
Lynch v. Overholser, 369 U.S. 705, 719 (1962) Quoted for the proposition that a defendant has no absolute right to have his guilty plea accepted by the court. Relied on by trial court to justify not being compelled to accept the plea.
North Carolina v. Alford, 400 U.S. 25, 38 n.11 (1970) Noting a criminal defendant does not have an absolute right to have a guilty plea accepted. Cited as supporting the principle that courts may refuse to accept pleas in certain circumstances.
United States v. Gaskins, 485 F.2d 1046, 1047-48 (D.C. Cir. 1973) Refusal to accept guilty plea solely because defendant does not admit facts of crime can be abuse of discretion. Noted as a limiting authority to the principle that courts may refuse pleas; distinguished from the present facts.
Riadon v. United States, 274 F.2d 304, 306 (6th Cir.), cert. denied, 364 U.S. 896 (1960) Authority relied on by defendant for proposition that jeopardy attaches when a plea is tendered. Distinguished: involved two separate indictments and an accepted guilty plea in one case; thus not controlling here.
United States v. Barbosa, 224 F. Supp. 628, 630 (D.P.R. 1963) Authority cited by defendant supporting attachment of jeopardy at time of plea. Distinguished: in Barbosa the plea had been accepted by the court.
State v. Vincent, 25 Conn. Sup. 96, 100, 197 A.2d 79, 82 (Conn. Super. Ct. 1961) Authority cited by defendant for plea-time jeopardy attachment. Distinguished because in Vincent the plea had been accepted by the court.
Brown v. Ohio, 432 U.S. 161, 162-65 (1977) Conviction based on a guilty plea is sufficient to sustain a double jeopardy defense in subsequent prosecution for the same offense. Used to explain that an accepted plea/conviction will bar later prosecution for the same offense.
United States v. Combs, 634 F.2d 1295, 1297 (10th Cir. 1980), cert. denied, 451 U.S. 913 (1981) Authority on double jeopardy consequences of convictions by guilty plea. Cited to support that a conviction based on guilty plea sustains a double jeopardy defense.
United States v. Jerry, 487 F.2d 600, 606 (3d Cir. 1973) Pleas accepted by court generally mark attachment of jeopardy. Cited to support the proposition that jeopardy attaches on acceptance of a plea.
Gilmore v. Zimmerman, 619 F. Supp. 859, 862 (E.D. Pa. 1985), aff'd, 793 F.2d 564 (3d Cir. 1986) Court decisions recognizing that plea acceptance triggers jeopardy. Used as supporting authority for the timing of jeopardy attachment.
Burgess v. Griffin, 585 F. Supp. 1564, 1571 (W.D.N.C.), aff'd, 743 F.2d 1064 (4th Cir. 1984) Authority that plea acceptance generally causes jeopardy to attach. Cited among cases establishing timing for jeopardy attachment.
State v. De Nistor, 143 Ariz. 407, 412, 694 P.2d 237, 242 (1985) Holding that a plea must be accepted by the court before jeopardy attaches. Relied on for the rule that an unaccepted plea does not place defendant in jeopardy.
People ex rel. Grogan v. Morhous, 270 A.D. 871, 871, 60 N.Y.S.2d 326, 327 (1946) Authority that plea acceptance is required before jeopardy attaches. Cited to reinforce the same principle on timing of jeopardy.
Bassing v. Cady, 208 U.S. 386, 391-92 (1908) Rule that a nolle prosequi before jeopardy attaches does not operate as an acquittal or prevent further prosecution. Applied to show that the State's nol pros prior to attachment does not bar reprosecution.
Stowers v. State, 266 Ind. 403, 408-10, 363 N.E.2d 978, 982-84 (1977) Authority holding that a tendered but unaccepted guilty plea does not place defendant in jeopardy. Directly cited to support the holding that Forbes was not in jeopardy when his plea was unaccepted.
Banks v. State, 56 Md. App. 38, 48, 466 A.2d 69, 74 (Md. Ct. Spec. App. 1983) Similar authority that an unaccepted plea does not create jeopardy. Cited alongside Stowers to support the same proposition.
Blockburger v. United States, 284 U.S. 299, 304 (1932) Test for whether an offense is a lesser-included offense (whether each offense requires proof of an element the other does not). Applied to define the lesser-included-offense inquiry for reckless endangerment versus manslaughter.
State v. Poirier, 142 Vt. 595, 598, 458 A.2d 1109, 1111 (1983) Principle that same act may constitute two separate crimes and prosecution may proceed for each where lesser is not a necessary element of greater. Used to support that separate prosecutions can proceed when elements are not necessarily included.
State v. Parker, 123 Vt. 369, 371, 189 A.2d 540, 541-42 (1963) Similar principle regarding relationship of lesser and greater offenses. Cited to support the court's analysis of lesser-included offenses under Vermont law.
In re Estate of Mahoney, 126 Vt. 31, 35, 220 A.2d 475, 478 (1966) Quoted for definition of involuntary manslaughter as killing "caused by an unlawful act, but not accompanied with any intention to take life." Used to identify the elements of manslaughter relevant to the lesser-included-offense analysis.
State v. Bourn, 139 Vt. 14, 15-16, 421 A.2d 1281, 1281-82 (1980) Holding that in double jeopardy analysis the elements of the lesser offense must "necessarily be included" within the greater offense. Applied to require that each element of the alleged lesser offense be always necessary to the greater offense.
Illinois v. Vitale, 447 U.S. 410, 419 (1980) More precise statement that the lesser offense is included only if each of its elements is "always a necessary element" of the greater. Used to refine the court's lesser-included-offense test.
Ohio v. Johnson, 467 U.S. 493, 500-01 (1984) Acceptance of a guilty plea to a lesser-included offense while greater charges remain pending does not bar continued prosecution on remaining counts of a multicount indictment. Noted in a footnote as an additional rationale that even acceptance of a lesser plea would not necessarily bar prosecution of greater charges where counts remain pending or could have been joined.

Court's Reasoning and Analysis

The Court reviewed the chronological and procedural facts: Forbes tendered a guilty plea to reckless endangerment which the trial court did not accept, and the State moved to dismiss that information under V.R.Cr.P. 48(a). The Court addressed the certified questions by applying established principles on double jeopardy and lesser-included offenses drawn from the cited authorities.

On the first question, the Court held jeopardy did not attach at the moment Forbes tendered his guilty plea because the plea had not been accepted by the court when the State moved to dismiss. The Court emphasized that acceptance by the court, not mere entry by the defendant, is the determinative event for attachment of jeopardy, citing cases holding a tendered but unaccepted plea does not place a defendant in jeopardy (Stowers v. State; Banks v. State) and other authorities that acceptance of a plea or conviction will bar later prosecution (Brown v. Ohio; United States v. Combs).

On the second question, the Court applied the Blockburger test and Vermont authority requiring that every element of the lesser offense be necessarily included in the greater offense. The Court compared statutory reckless endangerment (requiring recklessness) with involuntary manslaughter (requiring an unlawful act) and concluded that the unlawful act underlying manslaughter may be negligent rather than reckless; therefore reckless endangerment contains an element (recklessness) not necessarily included in manslaughter and is not a lesser-included offense.

In a supplemental note, the Court observed that even if reckless endangerment were a lesser-included offense, acceptance of a guilty plea to a lesser offense while greater charges remain pending does not bar continued prosecution on remaining counts (citing Ohio v. Johnson), and the State could have joined the allegations in one information under V.R.Cr.P. 8(a)(2).

Applying these principles, the Court answered the certified questions in the negative and remanded for continued prosecution of the manslaughter charge.

Holding and Implications

The three certified questions are answered in the negative.

Direct effect: Jeopardy did not attach when Forbes tendered but did not have his guilty plea accepted, reckless endangerment is not a lesser-included offense of manslaughter under the applicable test, and continued prosecution for manslaughter is not barred by double jeopardy. The case is remanded for continued prosecution on the manslaughter information.

No broader changes to legal precedent were announced beyond the Court's application of established double jeopardy and lesser-included-offense principles to the facts of this case.

State of Vermont v. Stuart Forbes

1. Constitutional Law — Double Jeopardy — Guilty Plea

2. Constitutional Law — Double Jeopardy — Guilty Plea

Jeopardy did not attach when defendant voluntarily and in open court entered guilty plea to criminal information charging him with reckless endangerment, as plea had not been accepted by court when State moved to dismiss charge; it is not entering of plea by defendant that determines whether jeopardy attached; it is acceptance of plea by court that is determinative.

3. Criminal Law — Lesser-Included Offense — Defined

Offense is lesser-included offense of another if it is composed of some, but not all, elements of greater offense and does not have any element not included in greater offense; same act may constitute two separate crimes, and, if they are not so related that lesser of them is necessary element in greater, then prosecution may be had for each offense.

4. Criminal Law — Reckless Endangerment — Lesser-Included Offense

Reckless endangerment, 13 V.S.A. § 1025, is not same as or lesser-included offense of common law manslaughter; "unlawful act" necessary to sustain conviction for manslaughter could be reckless but it could also be negligent; as such, offense of reckless endangerment has element not necessarily included in offense of manslaughter and thus is not lesser-included offense.

Allen, C.J.

This is an interlocutory appeal from the trial court's decision to deny defendant's motion to dismiss a criminal information. We answer three certified questions in the negative and remand for continued prosecution.

On January 24, 1985, the State filed three informations against the defendant. The first alleged a violation of common law manslaughter (penalty provided by 13 V.S.A. § 2304); the second a violation of 13 V.S.A. § 1024, aggravated assault; and the third a violation of 13 V.S.A. § 1025, reckless endangerment.

At arraignment, on January 28, 1985, defendant entered pleas of not guilty to the alleged manslaughter and aggravated assault. He tendered a plea of guilty to the third information, reckless endangerment. Immediately thereafter, the State moved, pursuant to V.R.Cr.P. 48(a), to dismiss the second and third informations alleging the crimes of aggravated assault and reckless endangerment. The presiding judge did not rule on the motion to dismiss and did not accept the defendant's guilty plea to the charge of reckless endangerment. A hearing on the State's motion to dismiss the aggravated assault and reckless endangerment charges was subsequently held, and the district court granted the State's motion. The court's decision was based principally on its conclusion that V.R.Cr.P. 48(a) "gives the state an absolute right to nol pros prior to trial," Reporter's Notes to V.R.Cr.P. 48(a), and on case law indicating that "`a criminal defendant has [no] absolute right to have his guilty plea accepted by the court.'" United States v. Jackson, 390 U.S. 570, 584 (1968) (quoting Lynch v. Overholser, 369 U.S. 705, 719 (1962); see also North Carolina v. Alford, 400 U.S. 25, 38 n.11 (1970) (criminal defendant does not have absolute right to have guilty plea accepted); cf. United States v. Gaskins, 485 F.2d 1046, 1047-48 (D.C. Cir. 1973) (refusal to accept guilty plea solely because defendant does not admit facts of crime is abuse of discretion). At that point, the only information pending against the defendant was the one alleging a violation of common law manslaughter.

The defendant thereafter moved to dismiss the pending manslaughter information, arguing that because jeopardy had attached the moment he made a judicial admission in open court by pleading guilty to the reckless endangerment charge, further prosecution of the manslaughter charge was barred since reckless endangerment is a lesser-included offense of manslaughter.

The district court denied defendant's motion to dismiss, concluding that reckless endangerment is not a lesser-included offense of manslaughter. The court also determined that even if reckless endangerment were a lesser-included offense of manslaughter, jeopardy had not attached, since defendant's plea, although entered, had not been accepted by the court.

The defendant then moved for interlocutory appeal to this Court, pursuant to V.R.A.P. 5(b). This motion was granted and the following certified questions of law were subsequently filed with this Court:

1. Did jeopardy attach when Stuart Forbes voluntarily and in open court entered a guilty plea to a criminal information filed by the State charging him as follows: "On the 23rd day of November 1984, [Stuart C. Forbes] was then and there a person who recklessly engaged in conduct which placed another in danger of death, to wit, firing a rifle in the direction of Steven Brown and killing him."
2. Is reckless engangerment [sic], 13 V.S.A. § 1025, as charged in Docket No. 60-1-85Acr:
Recklessly engag[ing] in conduct which placed another in danger of death, to wit; fir[ing] a rifle in the direction of Steven Brown and killing him,
the same offense as or a lesser included offense of manslaughter, 13 V.S.A. § 2304, as charged in Docket No. 60-1-85Acr:
On the 23rd day of November 1984, [Stuart C. Forbes] was then and there a person who feloniously killed and slayed another human being; to wit did kill Steven Brown.
3. Is continued prosecution of Stuart Forbes for manslaughter barred by double jeopardy?

The defendant argues that jeopardy attached when the guilty plea to reckless endangerment was tendered in open court and that subsequent prosecution of the pending manslaughter information is barred.

Defendant relies principally on Riadon v. United States, 274 F.2d 304, 306 (6th Cir.), cert. denied, 364 U.S. 896 (1960); United States v. Barbosa, 224 F. Supp. 628, 630 (D.P.R. 1963); and State v. Vincent, 25 Conn. Sup. 96, 100, 197 A.2d 79, 82 (Conn. Super. Ct. 1961). These cases, the defendant argues, support the proposition that jeopardy attaches at the time a defendant knowingly and voluntarily exposes himself to the danger of entry of a valid judgment against him, i.e., at the time the plea is made, prior to the time the plea is accepted.

Defendant's reliance on Vincent and Barbosa is misplaced. In both Vincent, 25 Conn. Supp. at 97, 197 A.2d at 80, and Barbosa 224 F. Supp. at 629, pleas had been accepted by the court. Riadon concerned two separate cases involving counterfeiting. The defendant pled guilty to an indictment arising out of a transaction in Nashville, and not guilty to an indictment arising out of a transaction in Memphis, Tennessee. He was eventually convicted for incidents arising out of the Memphis transaction. On appeal from the Memphis conviction, he argued that his earlier plea of guilty in the pending Nashville case had placed him in jeopardy for his later Memphis conviction. Riadon, 274 F.2d at 305. Riadon is distinguishable from the present case for two reasons: it involved two separate indictments, and his guilty plea in the Nashville case had been accepted by the court. Id.

A conviction based on a guilty plea is clearly sufficient to sustain a defense of double jeopardy in a subsequent prosecution for the same offense. See Brown v. Ohio, 432 U.S. 161, 162-65 (1977); United States v. Combs, 634 F.2d 1295, 1297 (10th Cir. 1980), cert. denied, 451 U.S. 913 (1981). Moreover, jeopardy generally attaches when a guilty plea has been accepted. United States v. Jerry, 487 F.2d 600, 606 (3d Cir. 1973); Gilmore v. Zimmerman, 619 F. Supp. 859, 862 (E.D. Pa. 1985), aff'd, 793 F.2d 564 (3d Cir. 1986); Burgess v. Griffin, 585 F. Supp. 1564, 1571 (W.D.N.C.), aff'd, 743 F.2d 1064 (4th Cir. 1984). A plea of guilty must be accepted by the court, however, before jeopardy attaches. See State v. De Nistor, 143 Ariz. 407, 412, 694 P.2d 237, 242 (1985); People ex rel. Grogan v. Morhous, 270 A.D. 871, 871, 60 N.Y.S.2d 326, 327 (1946). A nolle prosequi before jeopardy attaches does not operate as an acquittal or prevent further prosecution of the offense. Bassing v. Cady, 208 U.S. 386, 391-92 (1908).

Answering the first certified question, we hold that jeopardy did not attach when defendant voluntarily and in open court entered a guilty plea to a criminal information filed by the State charging him with reckless endangerment on November 23, 1984. The plea had not been accepted by the court when the State moved to dismiss the charge. It is not the entering of a plea by a defendant that determines whether or not jeopardy attached; it is the acceptance of the plea by the court that is determinative. A tendered but unaccepted plea of guilty does not place a defendant in jeopardy. Stowers v. State, 266 Ind. 403, 408-10, 363 N.E.2d 978, 982-84 (1977); Banks v. State, 56 Md. App. 38, 48, 466 A.2d 69, 74 (Md. Ct. Spec. App. 1983).

As to the second certified question, reckless endangerment, 13 V.S.A. § 1025, is not the same as or a lesser-included offense of common law manslaughter. An offense is a lesser-included offense of another if it is composed of some, but not all, elements of the greater offense and does not have any element not included in the greater offense. Blockburger v. United States, 284 U.S. 299, 304 (1932). The same act may constitute two separate crimes, and, if they are not so related that the lesser of them is a necessary element in the greater, then a prosecution may be had for each offense. State v. Poirier, 142 Vt. 595, 598, 458 A.2d 1109, 1111 (1983); State v. Parker, 123 Vt. 369, 371, 189 A.2d 540, 541-42 (1963).

The offense of reckless endangerment is committed when "[a] person . . . recklessly engages in conduct which places or may place another person in danger of death or serious bodily injury." 13 V.S.A. § 1025. Involuntary manslaughter is defined as a killing "`caused by an unlawful act, but not accompanied with any intention to take life.'" Poirier, 142 Vt. at 598, 458 A.2d at 1111 (quoting In re Estate of Mahoney, 126 Vt. 31, 35, 220 A.2d 475, 478 (1966)). This Court has previously ruled that in a double jeopardy analysis the elements of the lesser offense must "necessarily be included" within the greater offense in order for it to be considered a lesser-included offense. State v. Bourn, 139 Vt. 14, 15-16, 421 A.2d 1281, 1281-82 (1980). More precisely, the lesser offense is considered to be included in the greater offense only if each of its elements is "always a necessary element" of the greater offense. Illinois v. Vitale, 447 U.S. 410, 419 (1980).

In order to conclude that reckless endangerment is a lesser-included offense of involuntary manslaughter, it would be necessary to equate recklessness with unlawful conduct. No such conclusion may be reached. Not all unlawful conduct, resulting in a killing, need rise to the level of recklessness. The "unlawful act" necessary to sustain a conviction for manslaughter could be reckless. Such conduct could also, however, be negligent. As such, the offense of reckless endangerment has an element not necessarily included in the offense of manslaughter. It is not therefore a lesser-included offense.

Even were we to conclude that reckless endangerment is a lesser-included offense of manslaughter, the acceptance of a guilty plea to a lesser-included offense, while charges on greater offenses remain pending, does not raise a double jeopardy bar to the continued prosecution on any remaining counts of a multicount indictment. Ohio v. Johnson, 467 U.S. 493, 500-01 (1984). Although Ohio v. Johnson is technically distinguishable in that a multicount indictment was at issue, the State could have joined all three allegations in a single information in the present case. V.R.Cr.P. 8(a)(2).

Answering the third certified question, continued prosecution of defendant for manslaughter is not barred by double jeopardy.

The three certified questions are answered in the negative.

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STATE v. FORBES
(Jan 16, 1987)