Serfass v. United States

Background

A man who had deferred military service while in the Peace Corps applied for conscientious objector status after receiving an induction order. His local draft board refused to reopen his file, he refused induction, and he was indicted for failing to report. Before trial he moved to dismiss based on the board’s file and an affidavit. The District Court reviewed those records and granted dismissal. The Government appealed to a federal court of appeals under a revised statute that broadened the Government’s right to appeal dismissals.

Reasoning

The central question was whether the Fifth Amendment’s protection against being tried twice (double jeopardy) prevents the Government from appealing a pretrial dismissal that rests on an examination of records and affidavit. The Court explained that constitutional protection against double jeopardy is triggered only when a defendant is actually put to trial before the trier of facts — when a jury is sworn or a judge begins hearing evidence. Because the accused had not been tried, the Court concluded that double jeopardy did not block an appeal under the statute and that Congress intended the statute to allow such appeals unless prosecution would be constitutionally barred.

Real world impact

The decision lets federal prosecutors appeal some dismissals entered before trial when the defendant has not yet faced a jury or judge. The Court did not decide whether a dismissal reached after trial began would be appealable, and it did not rule on the District Court’s factual or legal conclusions about the draft claim.

Dissents or concurrances

Justice Douglas dissented, arguing the District Court’s ruling rested on evidentiary facts that could amount to a merits defense and thus, in his view, caused jeopardy to attach.