Double jeopardy and collateral estoppel

• Author: Robert K. Gill/Mark Daniel
• Pages: 345-378

DOUBLE JEOPARDY AND

COLLATERAL ESTOPPEL

8-1

CHAPTER 8

DOUBLE JEOPARDY AND

COLLATERAL ESTOPPEL

I. AUTHORITY AND GENERAL PRINCIPLES

§8:01 Constitutional and Statutory Provisions

§8:02 General Double Jeopardy Principles

§8:03 The Blockburger Test

§8:04 The Legislative Intent Test

§8:05 Allowable Units of Prosecution Analysis

§8:06 Application of Double Jeopardy Principles

§8:07 When Jeopardy Attaches

II. RAISING DOUBLE JEOPARDY CLAIMS

§8:10 Habeas Corpus Writs

§8:11 Claim Based on Previous Conviction

§8:12 Claim Based on Previous Acquittal

§8:13 Claim Based on Multiple Punishments in a Single Trial

§8:14 Claim Based on Improper Mistrial

III. SPECIAL PLEAS OF DOUBLE JEOPARDY

§8:20 Statutory Law

§8:21 Case Law Analysis

§8:22 Double Jeopardy Claims on Appeal

§8:23 Remedy for Double Jeopardy Violations

IV. THE COLLATERAL ESTOPPEL DOCTRINE

§8:30 Basic Collateral Estoppel Principles

§8:31 Raising Collateral Estoppel Claims

§8:32 Collateral Estoppel at Punishment Phase

§8:33 Collateral Estoppel at Probation Revocation Proceedings

DOUBLE JEOPARDY AND

COLLATERAL ESTOPPEL

Texas Criminal Forms 8-2

V. FORMS

Form 8-1 Application for Writ of Habeas Corpus Based on Prior Conviction

Form 8-2 Application for Writ of Habeas Corpus Based on Prior Acquittal

Form 8-3 Application for Writ of Habeas Corpus Based on Multiple Punishments at Single Trial

Form 8-4 Application for Writ of Habeas Corpus Based on Improper Mistrial

Form 8-5 Special Plea on Double Jeopardy (Prior Conviction)

Form 8-6 Special Plea on Double Jeopardy (Prior Acquittal)

Form 8-7 Special Plea on Double Jeopardy (Multiple Punishments in a Single Trial)

Form 8-8 Special Plea on Double Jeopardy (Improper Mistrial)

Form 8-9 Special Plea—Collateral Estoppel

Form 8-10 Application for Writ of Habeas Corpus Based on

Collateral Estoppel (Guilt/Innocence Phase)

Form 8-11 Application for Writ of Habeas Corpus Based on Collateral Estoppel (Punishment Phase)

Form 8-12 Application for Writ of Habeas Corpus Based on Collateral

Estoppel (Probation Revocation Proceeding)

DOUBLE JEOPARDY AND

COLLATERAL ESTOPPEL

8-3 Double Jeopardy and Collateral Estoppel §8:03

I. AUTHORITY AND GENERAL PRINCIPLES

§8:01 Constitutional and Statutory Provisions

Υνιτεδ Στατεσ Χονστιτυτιον Αµενδ. ς.

… nor shall any person be subject for the same oense to be twice put in jeopardy of life or limb.

Τεξασ Χονστιτυτιον Αρτ. 1, ♣14.

“No person for the same oense shall be twice put in jeopardy of life or liberty; nor shall a person be

again put upon trial for the same oense, after a verdict.”

Τεξ. Χοδε Χριµ. Προ. Αρτ. 1.10. ϑεοπαρδψ

No person for the same oense shall be twice put in jeopardy of life or liberty; nor shall a person be

again put upon trial for the same oense, after a verdict of not guilty in a court of competent jurisdiction.

Τεξ. Χοδε Χριµ. Προ. Art. 1.11. Acquittal a Bar

An acquittal of the defendant exempts him from a second trial or a second prosecution for the same oense,

however irregular the proceedings may have been; but if the defendant shall have been acquitted upon trial

in a court having no jurisdiction of the oense, he may be prosecuted again in a court having jurisdiction.

Τεξ. Χοδε Χριµ. Προ. Art. 28.13. Former Acquittal or Conviction

A former judgment of acquittal or conviction in a court of competent jurisdiction shall be a bar to any

further prosecution for the same oense, but shall not bar a prosecution for any higher grade of oense

over which said court had not jurisdiction, unless said judgment was had upon indictment or information,

in which case the prosecution shall be barred for all grades of the oense.

§8:02 General Double Jeopardy Principles

The Double Jeopardy Clause is a guarantee against being twice put to trial for the same oense. Αβνεψ ϖ.

Υ.Σ., 431 U.S. 651, 97 S.Ct. 2034, 52 L.Ed.2d 651 (1977); Πηιλλιπσ ϖ. Στατε, 787 S.W.2d 391 (Tex.Cr.App. 1990).

Protection against double jeopardy consists of three separate constitutional protections: 1) against a second

prosecution for the same oense after acquittal; 2) against a second prosecution for the same oense after con−

viction; 3) against multiple punishments for the same oense. Υ.Σ. ϖ. Ηαλπερ, 490 U.S. 435, 109 S.Ct. 1892, 104

L.Ed.2d 487 (1989); Εξ παρτε Στοϖερ, 946 S.W.2d 343 (Tex.Cr.App. 1997).

For additional case law on this topic, σεε Τεξασ Χριµιναλ Λαωψερσ Ηανδβοοκ §§8:11-12.

§8:03 The Blockburger Test

Texas employs the Βλοχκβυργερ test for deciding when two oenses are the same for double jeopardy purposes.

The applicable rule is that where the same act or transaction constitutes a violation of two distinct statutory pro−

visions, the test to be applied to determine whether there are two oenses or only one, is whether each provision

requires proof of a fact which the other does not. Βλοχκβυργερ ϖ. Υ.Σ., 284 U.S. 299, 52 S.Ct. 180, 76 L.Ed.2d 306

(1932); Υ.Σ. ϖ. ∆ιξον, 509 U.S. 688, 113 S.Ct. 2849, 125 L.Ed.2d 556 (1993); Εξ παρτε Ερϖιν, 991 Σ.Ω.2δ 804

(Tex.Cr.App. 1999).

If application of the Βλοχκβυργερ test reveals that the oenses have identical statutory elements or that one is

a lesser included oense of the other, then the two oenses are the same for double jeopardy purposes. Εξ παρτε

Γρανγερ, 850 S.W.2d 513 (Tex.Cr.App. 1993).

Τηε Βλοχκβυργερ test’s status as a rule of statutory construction raises an inverse conclusion as well: the

Βλοχκβυργερ test cannot authorize two punishments where the legislature clearly intended only one. This raises