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State of Tennessee v. Joey DeWayne Thompson
285 S.W.3d 840
Tenn.
2009
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*1 of Tennessee STATE

Joey Dewayne THOMPSON. Tennessee,

Supreme Court

at Knoxville. 7, 2009 Session.

Jan.

6,May *2 murder, II, degree

second and for Count murder, both of the first victim. After the returned verdicts for the voluntary lesser-included offenses of man- I slaughter degree on Count and second II, murder on Count the trial court im- Poston, Knoxville, Tennessee, Bruce E. posed merged sentence and the two con- Dewayne Thomp- Joey for the appellant, victions. The appealed, defendant con- son. tending that because the prior Jr., Attorney Cooper, E. General Robert effect returned verdict of on Moore, & Michael E. Solicitor Reporter; the attempted degree first murder of the General; L. victim, H. Bledsoe and Cameron John alleged second and because the at- General; Hyder, Attorneys Assistant tempted degree only first murder was the Nichols, Attorney E. District Gen- Randall possible predicate offense support to Morton, eral; District Philip retrial, and Assistant charge murder General, Attorney appellee, trial court had allowing erred the felo- of Tennessee. ny murder trial. go Criminal affirmed the conviction. Because collateral estoppel, as

OPINION corollary in criminal cases of the consti- WADE, J., delivered the GARY R. protection tutional against jeopar- double court, in which M. opinion of JANICE dy, precludes guilty on the requi- verdict C.J., HOLDER, A. CORNELIA CLARK murder, site offense for LEE, JJ., joined. SHARON G. we must reverse and dismiss the second KOCH, JR., J„ filed a WILLIAM C. degree murder conviction as a lesser-in- concurring opinion. improper primary cluded offense of the initially charged with The defendant was Otherwise, charge. judgment of the and fel- premeditated first murder Appeals upholding Criminal (Counts I and II ony murder of one victim voluntary conviction and sentence for man- indictment) attempted slaughter is affirmed. (Count of a second victim degree murder III). Latoya of the lesser- On June Robinson guilty He was found (“Robinson”), killed, degree was shot and and her included offense of second count, (“Burgins”), boyfriend, Burgins on the first a mistrial resulted on Travis count, and, seriously injured. driving a Buick the second as to the third While count, on LaSabre on McPherson Street Knoxville jury acquitted defendant Avenue, near its intersection with Texas primary charge guilty but returned degree mur- Robinson suffered two bullet wounds attempted verdict of second der, right leg, right On direct her lower one to her fore- a lesser-included offense. arm, right thigh. be- and one to her The fatal appeal, Appeals, the Court of Criminal shot, however, her passed through upper cause of error the instructions chest, breaking ribs right I arm and into the jury, reversed the convictions Counts piercing lungs trial. the heart and both be- and III and remanded for a new trial, passing through the side of her the State volun- fore left Prior to second III, gunshot body. Burgins sustained one tarily attempted dismissed Count which fractured his charge, prose- leg, wound to his left I, right leg. to his thigh, and four wounds cuted the defendant History jury by completely omitting portion and Factual Procedural statutory “knowing,” definition of summary procedural A detailed essential element as to each of the crimes.1 history of case order. and factual 39-ll-106(a)(20) *3 § Ann. See Tenn.Code (the Dewayne Thompson “Defen- Joey Ducker, (1997); 889, 27 State v. S.W.3d 896 dant”) initially charged pre- with the (Tenn.2000). A new trial was ordered. degree first murder of Robinson meditated v. Thompson, State No. E2003-00569- attempted degree and the first murder of (Tenn. CCA-R3-CD, 2004 1592817 WL Later, the State Burgins. charged also 2004). Crim.App. July The State did degree felony the Defendant with the first file application permission Robinson, charge predicated murder of appeal. attempt to commit the first de- Burgins. of gree murder Defendant court, After the trial remand to the April of 2002 of was tried and convicted Defendant a motion to strike the filed degree two crimes: the second murder of pending degree felony first murder count Robinson, as a lesser-included offense to from the indictment. The Defendant con- charge premeditated degree of first tended that because the conviction on the (Count I); murder attempted and the sec- charge attempted degree lesser of second degree ond murder of Burgins, as lesser- Burgins murder of an acquittal served as charge attempt- included offense to the of primary charge on the of attempted first (Count III). degree ed first murder Be- degree Burgins, murder of and because cause the was unable to reach a ver- attempted degree second murder was not degree felony dict on the first among statutory list of felo- (Count II), charge a mistrial was declared. necessary nies charge for a of mur- der,2 appeal by On direct of the two the State was barred convictions, principles Court Criminal of double reversed, finding that the trial prosecuting court from on that count in the in- provide adequate Although failed to instructions to dictment. the trial court denied (Tenn.2001), 1. The United States Constitution and that of 727 this Court ruled that guarantee right State Tennessee right to instructions on lesser-included of Const, VI; jury. trial amend. Tenn. fenses had foundations both statute and Const, I, (providing right § art. “that the Recently, our Id. constitution. at 727. inviolate”). by jury trial shall remain This upheld principles these in the context right encompasses an entitlement to a correct challenge validity of a to the of an instruction Teel, complete charge of the law. State v. requiring jury acquit primary to first (Tenn. 1990). 793 S.W.2d In conse considering any before lesser offenses. quence, duty give the trial court has a “to Davis, (Tenn. State v. 266 S.W.3d complete charge applicable of the law 2008). Harbison, facts of a case.” State v. (Tenn. 1986); see State v. degree § 2. Tenn.Code Ann. 39-13-202. First Forbes, (Tenn. 1995); 918 S.W.2d see (a) degree First murder is: murder. — consequence, also Tenn. R.Crim. P. In (1) “each of fact issue raised the evidence will premeditated killing A and intentional proper another; be submitted to the instruc Garrison, tions.” Stale 40 S.W.3d killing A of another committed in the (Tenn.2000). perpetration attempt perpetrate any of or right complete The constitutional to a in murder, terrorism, arson, degree act of requires struction on the law trial courts to theft, rape, robbery, burglary, kidnapping, charge juries every on each and lesser-includ abuse, aggravated aggravated child child Burns, ed offense. State 6 S.W.3d 453 neglect piracy... or aircraft . (Tenn.1999). Ely, State Avenue, strike the the motion to and Ohio gunshots, pushed heard count, State, inside, on the eve the second grandchildren her telephoned trial, prosequi attempt- filed a nolle police. When she looked out her Burgins. murder of window, ed she observed the car occupied by Thus, prosecuted on two counts: the two victims traveling slowly toward I, for the second murder of Count yard. her The man inside used his left II, Robinson for her push hand to the woman off the steering murder. wheel in order to stop the vehicle. King, still on her telephone cordless with the Pfefferle, Wright dispatcher

Carol police, hurriedly went her outside with *4 center, the 911 was the first witness for husband. When Burgins she asked who State in She the the second trial. testified shots, answered, had fired the he “Thug p.m. at approximately 5:00 on June King, shot me.” was who unfamiliar with 23, 2001, she received a call telephone from the “Thug,” weapons name did not see any shooting. an caller a reporting unidentified inside the car at the time. She testified audiotape The of the conversation was Robinson, who had to wounds her jury. caller played reported the The side, arm, legs, her and her was unable to that a black had up, man thrown his hands talk apparently and died before the ambu- pulled weapon from his shorts pocket, lance arrived. gun” and “unloaded his into a vehicle. Dixon, Daley, specialist Dr. Brian general

Julian who on lived Texas Ave- crime, surgery nue near the critical care at the scene of the was also a unit the University Center, of On Tennessee State witness. the afternoon of the Medical Burgins treated shooting, his arrival at he noticed small black car come the hospital. He stop to a on found four on McPherson Street near its wounds the Burgins’ right leg outside of matching intersection with Texas Avenue. When a with on leg “marks” the approached right second car behind the inside and from cai’, Defendant, just one wound the black he saw the whom he above left knee. Ac- life,” cording Dr. Daley, Burgins, had known “all his from to who was step the curb able to during into the and communicate the course of street trot the direction of treatment, Dixon, his According initially the second vehicle. identified himself as to Begin. Tyran of pistol Burgins’ the Defendant had “a down None wounds at his thigh.” threatening. were life As the black car was away, driven began the Defendant to fire shots into the Elkins, Dr. Sandra the chief medical of passenger side vehicle. Dix- second examiner for County, performed Knox on testified vehicle lurched for- autopsy on Robinson. She testified that ward and along- the Defendant followed grazed Robinson was shot five times and side, firing seven to ten shots from three bullets, a sixth bullet. One of the which away. four shooting stopped feet The wounds, caused the most of serious beyond when the car traveled Dixon’s upper right passed entered her arm and vision, Defendant, range of but the who through just the arm into her chest foot, still was on into view and returned armpit, fracturing below the one rib then went “back across Texas [Avenue].” right and one side left. The bullet At shooting, Shirley passed heart, time of the through lung, the right King, who was her husband and left lung exiting three and the before the left Elkins, grandchildren porch body. of her side of the According resi- to Dr. forearm, at the dence corner McPherson Street shot the right fractured bullet, cop- Beretta. As to fourth right thigh shot entered the third only the jacket separated, per the lower tissue behind soft lodged remained; therefore, Agent core lead right pelvis. causing fracture spine origin was unable to determine Scott wounds were gunshot Two other markings. . there no the bullet because were knee. leg below right Smith, with the agent a federal Todd Smith, Officer Gerald Police Knoxville Firearms, Alcohol, Bureau Tobacco scene within investigated the crime who patrol officer with the Knoxville was shooting, nine discovered minutes the time of the Department Police all which were cartridges, mm spent scene, he at the shooting. arrived When have fired from determined later fired who Agent Burgins Smith asked were cartridges The weapon. same answered, “Joe, Burgins Thug.” shots. Texas Av- Street at on McPherson located he asked whether “Amo When square of some 240 over a enue distance brother, Joey Wright’s Thompson,” Bur- passenger side window feet. answered, According to gins Agent “Yes.” LeSabre, partial- which was victims’ Buick *5 Smith, “very, very a had weak Robinson down, single a was shattered ly rolled he arrived and “almost no pulse” when scene, investigating the Offi- While bullet. Burgins in- respiration.” He recalled that weapon notice a cer Smith did him that the Defendant ran at formed Afterward, however, the Buick vehicle. car, pistol, a and then fired displayed their search and towed for a more extensive was the several shots into vehicle. impound contents. At the inventory the “Beretta, lot, Reeves, found a caliber Officer Smith Eric also an officer with the 380,” a short ... better known as Department, nine knew the Knoxville Police passen- front seat the the on prior shooting underneath Defendant and had magazine gun A contain- ger given pager side. him his number. Unaware the front was found on a ing shooting, eleven rounds that there had been Officer a of the vehicle underneath CD case. page seat Reeves received a from Defen- any Defendant, find usable la- Smith did not Officer dant and then called him. The the Beretta. There fingerprints tent if who nervous and asked “the sounded spent two bullets the driver’s side explained were was he girl” okay, that had on the floor on of the vehicle and another problem Burgins, who had shot at his weapon conversation, The Defendant’s During the driver’s side. Officer brother. recovered. apparently was never on his Reeves turned radio learned suspect that the Defendant in a was Scott, a forensic at the Steve scientist calls, shooting. “back After and forth” laboratory at the Tennessee Bureau crime encouraged the Defendant to turn officer Investigation, pistol examined the found police. Although himself in to the LaSabre, cartridge Buick nine so, agreed Defendant to do he failed to street, found in the the three bullets cases designated appear location also vehicle, the one bullet removed failed to show at a second location. On the from He determined that the Robinson. however, meet following day, he did Offi- cartridge fired from a nine cases police department. cer Reeves at the An pistol. 9 mm automatic examination of case, bullets, After three of the one taken from the the State rested its de- vehicle, Burgins, from indi- fense called who had testified for body and two taken trial, the first as its initial through that had been the State in cated all fired Although admitted that pistol, Burgins barrel of a 9 mm and not the witness. single brother, he and the Defendant’s Amo tionship between the two “rough.” Wright, shortly had confrontation before Defendant claimed that their relationship shooting, he believed that everything even continued after began Robinson “cool” was between them. When he saw Burgins, date whom the Defendant had later, Defendant few minutes Bur- known all of explained his life. He that his and, claimed, gins peace sign flashed he brother telephoned him just before the the Defendant responded kind. Bur- shooting claiming that he had been threat- gins anticipating any denied trouble until gun by ened with a Burgins. While insist- he gun heard a click from a as the Defen- ing that he prior had no issues with Bur- “jogging” dant was towards his vehicle and gins, the Defendant admitted that his began the black car Burgins move. experienced brother had difficulties with testified that placed Defendant had Burgins. The Defendant acknowledged about one-half of the gun barrel his into that he armed himself after receiving the the car when the first shots were dis- brother, call from his contending that Bur- charged. While that acknowledging gins always gun. carried a The Defendant Defendant was not looking into the car claimed that approached as he the passen- during gunfire, Burgins that estimated vehicle, ger side of the Burgins “point- the Defendant shot inside some ten times. ing gun at my direction.” He asserted Although police he was aware that “slumped Robinson was over” when lot, gun found a in his car at impound pulled he gun his Burgins ordered Burgins spec- denied it was his. He “drop it.” The explained Defendant *6 “somebody ulated that it threw in there.” he had no intention of shooting Robinson He also drugs denied that there were in and had aimed for Burgins’ legs so he Burgins, the vehicle. ” testimony whose “wouldn’t kill him.... conflicting, was often also that denied he Officer Gerald Smith was recalled to had testified at the preliminary hearing testify for the defense. He confirmed that that the first bullet struck in the Robinson he had recovered the gun from the Defen- head. When with confronted the tran- vehicle, magazine, dant’s and some bul- said, script of the hearing, he “I ain’t never lets. He acknowledged that he also found say .... that wrong.” [t]hat’s On cross- a small bag marijuana in the interior State, by examination the Burgins ac- handle of the passenger side at the front knowledged that charged he had been plastic door. A cigar tube in the middle of criminal impersonation for several times the front seat contained “four crack “givfing] police.” fake name to the rocks.” Defendant, who testified on his own behalf, deliberations, completing After their the acknowledged that some had called guilt him returned verdicts of for Thug” “Joe since he volun- was about ten years tary manslaughter on I explained big old. He that he and second had eyes degree as a child and his friends him murder on Count II. The trial called Bug,” imposed “Joe which court eventually twenty became “Joe sentences of and six half-brother, Thug.” years respectively, He stated that merged his and then the Amo Wright, dated for single judgment Robinson about offenses into a of convic- year and a half. He the described rela- tion.3 (or provides merger degree felony Our law of dual murder its lesser-included offenses): degree premeditated "Obviously, convictions person for first mur when one (or offenses) murdered, der guilt its lesser-included and first has been verdict of on ‘prior degree the mit first murder as suit’ for appeal, Court of Criminal

On direct sufficiency the con purposes.” the upheld Appeals rejected the claim victing evidence Thompson, No. E2006-02093-CCA-R3- verdict of second (Tenn.Crim. Defendant CD, 465269, at *8 2008 WL murder for death of Robinson degree 2008). Feb.21, App. aside as inconsistent with should be set application This for granted Placing manslaughter verdict. voluntary permission to consider whether appeal protec on fact that significance some acquittal charge of attempted not against jeopardy double do bar tions first murder in first trial was felony both and its convictions for murder final collateral estoppel, and whether offense,4 the Court ruled that grounded in and state constitution- federal prosecution charge, murder protections against jeopardy, ap- al double mur which resulted plies to Our these circumstances. stan- conviction, doc der barred questions dard of mixed law review for estoppel.

trine of collateral Because any and fact without presump- is de novo mistrial court concluded Rush, tion correctness. State trial on the first (Tenn.2001). 5.W.3d it refused to prosecution, extended the the attempted classify “prior for collat degree murder as suit” Jeopardy and Double Collateral estoppel purposes. eral The Court Estoppel distinguished holding Criminal jeopardy The double clause of States United provides the United States Constitution Swenson, U.S.

Ashe subject that no “be person shall (1970), ruling 25 L.Ed.2d put same offence to be twice “pro the mistrial Const, or life limb.” V.5 amend. prosecution through another longed] Similarly, article section 10 of Ten transforming] ... it than] trial [rather *7 provides nessee per Constitution “no prosecution. three ‘subsequent’ into a The shall, offense, son for the same be twice launched together counts were put in limb.” of life or Tenn. jeopardy and we do not prosecution, stream of this Const, 1, attempt § deem the to com art. 10.6 In State v. Penning- 1, charg Although application of an 6. more than one count indictment our of article sec- committing ing "guided means of by different tion 10 in part” is sometimes only support judgment of murder will one precedents construing the similar federal con- Cribbs, v. 967 conviction....” State 773, S.W.2d precedents provision, stitutional these federal (Tenn. State, 1998); 788 Carter v. 958 are "useful" but "not conclusive.” State v. 620, (Tenn. 1997). n. 6 S.W.2d 624 Denton, 373, (Tenn.1996) 379 938 S.W.2d (discussing Blockburger the role of v. United 251, (Tenn. Ralph, 6 S.W.3d 256 States, 180, 299, S.Ct. 284 U.S. 52 76 L.Ed. 1999), legis Court confirmed that "when (1932), Black, application 306 of State in clear, may lative intent is defendant be 913, (Tenn.1975)). 524 S.W.2d 919 The dou- separately convicted of two which offenses jeopardy ble clauses of the United States and from one criminal transaction.” arise distinct, are indepen- Tennessee constitutions that, times, protections dent at differ in their guarantee against 5. The Fifth Amendment Stephenson, details. 195 See State S.W.3d jeopardy against is double enforceable 574, (considering jeopardy double through 586-88 the Fourteenth Amendment. stales 784, Maryland, claims the federal and Benton v. 2056, 395 (1969). 89 S.Ct. under Tennessee con- U.S. separately). L.Ed.2d 707 23 stitutions

847 ton, (Tenn.1997), 420 we ex- anxiety insecurity, 952 S.W.2d state of as well as plained enhancing the possibility that even [when] innocent may guilty.” he be found State v. jeopardy only

double violations arise Smith, 667, (Tenn.1994) 871 S.W.2d 671 in placed when an individual is twice States, (quoting Green v. 355 United U.S. jeopardy for same offense. Custom- 184, 187-88, 221, 2 78 S.Ct. L.Ed.2d 199 in arily, jury proceedings, jeopardy at- (1957)); K. Mayers see also Daniel & sworn, when the in taches Fletcher L. Yarbrough, Bis Vexari: New nonjury proceedings, jeopardy attaches and, Prosecutions, Trials Successive 74 when the first witness testifies. A de- (1963).7 1, Harv. L.Rev. 32 put jeopardy fendant must be at least once, point “for if that has once While jeopardy applies double any subsequent pros- been reached does law, context of criminal collateral estoppel bring ecution of the defendant the guar- has its origins litigation, civil as ad- against antee double even po- dressed Supreme Crom- tentially play.” into 351, well v. 353, Sac 94 County, Bretz, 351, (1876). 422 (quoting Id. at Crist v. 437 U.S. Otto 24 L.Ed. 195 IB James ¶ 28, 32-33, Moore, 0.418[1], S.Ct. L.Ed.2d Wm. Federal Practice p. (1978)) (citations omitted). (2d ed.).8 Three funda- 2701 Collateral became protections mental are encompassed part of the federal criminal law in 1916: “(1) principle jeopardy: of double protec- safeguards “the person, so often and against prosecution tion a second after an rightly so with mentioned solemn rever- (2) acquittal; ence, protection against a second [cannot less than those pro- be] conviction; prosecution pro- after tect from liability in debt.” United against multiple punishments tection for States v. Oppenheimer, 242 U.S. Denton, (1916).

the same offense.” S.Ct. 61 L.Ed. 161 In Ashe v. (citations omitted); Swenson, and footnote see 397 U.S. at Pickett, also State v. perhaps the leading subject, case on the (Tenn.2007). policy underlying double Court defined collateral es- State, jeopardy is that the toppel all of its to mean that when an issue of fact resources, not should be able “to make has been determined a valid and final repeated attempts to convict an judgment, may individual it litigated by be offense, for an alleged thereby subjecting parties same in any litigation. future De- embarrassment, him to expense scribing and ordeal doctrine as “established *8 law,” compelling and him to live in a continuing Supreme rule of federal Court States, arising upon 7. In Richardson v. United 468 U.S. to matters in a suit a different 317, 325, 3081, action, 104 S.Ct 82 L.Ed.2d 242 inquiry always cause of must be as (1984), Court observed that a point actually litigated to the ... and deter- upon mistrial based a deadlocked action, does original might mined in the not what jeopardy. not end litigated have been thus and determined. judgment upon Only such matters is con- 8. second action between the [Wlhere [a] same clusive in another action. parties upon judg- is a different claim ... Cromwell, 353, 94 U.S. at 24 L.Ed. In prior operates estop- ment in the action as an words, judgment other "the on the first suit pel only upon ... as those matters in issue to, operates estoppel only as collateral but finding the determination of which the or to, cases, therefore, those matters ... which were in ... verdict was rendered. In all issue sought apply upon estoppel where it is the determination of which the ini- judgment upon judgment necessarily depended." rendered one tial cause of action Id. 848 has been described as an ex application preclusion) as “embodied in

classified its (also judicata of the doctrine of res tension guarantee against Fifth Amendment preclusion) applicable known as claim 445, Id. at 90 S.Ct. jeopardy.” double “it affirmatively appears when warning scrutiny that a careful 1189.While involved in the consid the issue case under prior adjudication of the record in a in a already litigated eration has been essential in order to determine “whether a even prior parties, suit between same have ver- grounded rational could its though upon based a different cause of other than that which dict an issue action, if the determination of such issue in to foreclose from con- the defendant seeks necessary the former action was to the sideration,” acquit- ruled that an In judgment....” Id. at 631-32. Gibson juiy might verdict bar general tal Trant, (Tenn.2001), 103 v. 58 S.W.3d this any subsequent prosecution. altogether promotion finality Court cited (footnote omitted). 444, 1189 Id. 90 S.Ct. re litigation, judicial conservation of assessing estoppel In whether collateral sources, prevention and the of inconsistent situation, must, applies given in a courts policy decisions as considerations warrant therefore, consider indictment and ing application estoppel of collateral evidence, pleadings, instructions to 113; litigation. civil Id. at also Stan see jury, any other relevant matter “in States, 23, 10, v. 447 n. United U.S. defer practical eye frame and viewed with an 1999, 64 L.Ed.2d 689 proceed- to all the circumstances of the that the (stating policy behind the doctrine (quoting Id. ings.” United Sealfon reliability judg lies in the inherent of final States, 575, 579, 92 S.Ct. ments). courts, Like the federal this (1948)). L.Ed. 180 The burden is on the party seeking has held that the collateral party asserting estoppel to dem- estoppel litiga invoke collateral as a bar to specific point onstrate that a at issue has proving tion “has the burden of that the finally previously decided. See was, fact, prior in a issue determined Bailey, States v. 34 F.3d United parties suit between same and that the (8th Cir.1994); see also United States v. necessary determination was to the issue’s (D.C.Cir.1996). Vaughn, 80 F.3d judgment.” Godfrey, Dickerson Scott, Massengill 738 S.W.2d 629 (Tenn.1992); see also (Tenn.1987), Court, suit, in a civil com- Leinart, Home Ins. Co. v. pared estoppel doctrine (Tenn.1985). A final judgment is es judicata: res sential under either collateral or judicata The doctrine of res bars a sec- judicata. res Richardson v. Bd. Tenn. Of parties ond suit between the same or (Tenn. Dentistry, 913 S.W.2d privies their on the same cause of action 1995). respect to all which were issues or estoppel had beginnings Collateral its litigated could have been in the former courts, litigation civil federal devel- estoppel operates suit. Collateral to bar law, and, oped during into the criminal *9 parties a between the second suit same years, thirty-five has come to be rec- last privies and their on a different cause of ognized grounded as in the constitutional action as to issues which were actu- protection against double in crim- ally litigated in for- and determined Tennessee, In inal cases. the doctrine has mer suit. history, having recognized a been similar case,

Id. at jurisprudence 631. In the context of a civil a of our criminal for part as (also See, relatively period e.g., collateral a short of time. estoppel known as issue

849 508, McKennon, finality 511 considerations for consistency State v. 6 S.W.3d in a criminal (holding proceeding prosecu that the de when the (Tenn.Crim.App.1998) tion showing application. Scarbrough, the burden of asserts its fendant bears (quoting 181 S.W.3d at 655 neces State v. precluded issue was decided and Cleve land, 548, (Tenn.1997)). trial); 959 S.W.2d 551 sary judgment to the (Tenn. Vickers, 1, The United States Supreme Court had v. 7 State 985 S.W.2d previously distinction, made this same that collateral Crim.App.1997) (explaining holding estoppel, that collateral per a while estoppel may prosecution bar a later defense, mitted may as if fact be used separate offense an issue of ultimate offensively prosecution so as to excuse the by judgment); has been determined a final (Tenn.Crim. Allen, proving “from the same facts the second State v. 752 515 Dixon, time.” United States v. 509 U.S. (holding that because there was App.1988) 688, 15, 2849, 710 n. 125 L.Ed.2d prior acquittal no or adverse determination (1993). 556 A number of state, federal cases estoppel collateral does not similarly, have ruled having observed that Scarbrough, in v. apply). Recently, accused, (Tenn.2005), liberty interests of an in such 181 S.W.3d 650 a case instances, Court, priority “take[] over the usual following prece federal which this concerns for judicial efficient administra adopted dent as well as the rule in several ” Pelullo, .... tion v. 14 states, United States F.3d permit prior, other refused to 881, (3d Cir.1994); 893 see also United aggravated burglary final conviction of Gallardo-Mendez, States v. 150 F.3d “offensively” by prosecution be used as (10th Cir.1998). summary, In while in the retrial of a offense estoppel available the de charge, specifically we ac prosecution, fense of a may doctrine estoppel may that collateral knowledged not be used an weapon against offensive in the defense of a apply nevertheless the defendant in a criminal case. United criminal case as the embodiment of the Smith-Baltiher, States 424 F.3d against “guarantee jeopardy.” double Id. (9th Cir.2005).9 Swenson, at (quoting Ashe 397 U.S. 1189). making a dis S.Ct. Analysis tinction between the “offensive” use of the

doctrine versus application its as defense the proof by Because offered particular charge, to a we held that clearly support State is sufficient to convic right jury accused’s to a embodies the voluntary manslaughter tions of either or every because, entitlement “to have fact tried and murder and jurors determined twelve and to have general, inconsistency multiple count all issues of fact submitted to the same in a prosecution verdicts criminal is not a relief,10 jury trumps policy single question pre- at the same time” and basis for Ingenito, required jury In State v. 87 N.J. 432 A.2d the same to consider each (1981), guilty essential issues to a verdict. See also Jersey Supreme the New Goss, People v. 446 Mich. N.W.2d apply refused to offensive collateral (1994) (estopping the accused from strong, because the doctrine “constitutes a contesting robbery armed element of irresistible, perhaps gravitational pull towards preclude would an in verdict, guilty utterly which is inconsistent dependent jury). evaluation the second Al requirement that a free and remain rare, though appears the situation is to be untrammeled in its deliberations.” Id. at general among rule states. though 918-19. Even there prior proceeding, Ingénito court State, Wiggins 10. In *10 right jury concluded that the accused's (Tenn.1973), involving a case a multi-count part is whether collateral The witnesses were for the most in this case sented same, though this time their testimo- prosecu- as a bar to the estoppel applies ny substantially stronger was on the murder tion example, acquit- identity. that his issue of For [Ashe’s] II. The Defendant asserts two witnesses who at the first trial had degree murder in the attempted tal identify by wholly unable to [Ashe] become final retrial first trial had robbers, ... testified that his charge; argues, he one of features, size, matched therefore, and mannerisms the doctrine of pro- those of one of their assailants. Anoth- upon principles founded estoppel, as jeopardy, precludes er witness who before had identified tecting against double only by size and actions now [Ashe] of the issue as an essential his reconsideration by him prosecution. also remembered unusual element information on two of sound of his voice. The State further background Some refined its case at the second trial subject cases on this leading call may declining participants be one of the Supreme States United question. poker game of this whose identification helpful in our resolution testimony at the first trial had been Swenson, Ashe, v. who was one Ashe conspicuously negative. charged with of four1masked individuals Id. at 90 S.Ct. 1189. At the conclu robbery poker players, of six the armed trial, guilty sion of the Ashe was found separate on six counts of was indicted years. The thirty-five sentenced to Mis robbery. poker players Of the four armed Supreme affirmed the convic souri testified, that there thought who two were tion, holding former violation. no identify only three robbers could (Mo. Ashe, S.W.2d player, who was related to Ashe. A third 1961). post-conviction A attack was unsuc identify by marriage, positively Ashe could Ashe, cessful. State only say the other three robbers but could (Mo.1966). After the federal district court like that of one that Ashe’s voice sounded relief, corpus Eighth denied habeas poker player of the robbers. A fourth size, Circuit Court of affirmed. The only by height, Ashe his his identified Court, however, granted mannerisms. Defense counsel certio- and his rari and from the record of the challenged only the identification of Ashe concluded jury prior “single rationally trial that the con participant as a crime. guilty dispute of not ceivable issue in before the general returned a verdict evidence.” Ashe v. was whether had been one of the [Ashe] “due to insufficient Swenson, jury by robbers. And the its verdict found 397 U.S. at 90 S.Ct. law, later, brought to trial that he had not. The federal rule of Six weeks Ashe therefore, prosecu make a robbery poker player. of a second would ... robbery wholly impermis tion for the prior A motion to dismiss based Swenson, trial, acquittal per At sible.” Ashe 397 U.S. was overruled. jury, by 1189. Because the first tinent facts were as follows: S.Ct. States, (citing stemming the same criminal Dunn v. United 284 U.S. indictment from ("[I]n transaction, L.Ed. jury acquitted the two defen- guilty ... petit larceny, but returned ver- such cases the verdict shows that either dants of charges concealing proper- or the conviction the did not dicts on stolen conclusions, ty. consistency speak real but that does not ruled that between their This Court they convinced of the separate of an indictment show that were not verdicts on counts necessary. guilt.”)). simultaneously Id. defendant's tried is not *11 verdict, rejected “subsequent.” disagree had the claim that its We with that as- robbers, the An essential Supreme was one of the sessment. issue to the Ashe suc- prosecution cess of the murder that the could not “con had held Court fully finally prior been and resolved stitutionally jury hail him a new before in charge remand the Count I that issue Id. at and the litigate again.” retrial on the charge in Count II. S.Ct. 1189. Arkansas, in

Similarly, stated, Turner v. As there were originally three (I) 92 S.Ct. 32 L.Ed.2d 798 in counts the indictment: the first de- (1972), premeditated Robinson; the United States gree murder of (II) that of collateral confirmed doctrine degree felony first murder of Rob- inson, in grounded criminal was predicated cases her upon death being the upon principles jeopardy. of double Be- perpetrate result of an attempt to the first (III) acquitted degree Turner had Burgins; cause been murder of jury’s charge verdict on a of both general attempt degree to commit first premeditated first murder and felo- degree Burgins. II, of I As to Counts first defined, ny robbery murder based as the degree in pertinent murder is part offense, subsequent prosecu- Defendant, “(1) as this as follows: robbery was tion on barred on premeditated and intentional killing of an- other; grounds. The Court exam- killing constitutional of another committed in trial, ined the entire record of the first perpetration attempt of or to perpe- specifically instructions the trial any trate first degree murder....” Tenn. 39-13-202(a)(l)-(2) Turner judge; charged § because Ann. (Supp. Code 2000).11 responsibility criminal accomplice an not as prin- as trial, In the first proof premeditation offender, the decided that the cipal jury satisfaction of the was essential “only logical conclusion [was] conviction to Count I. as The first present at the scene of found [Turner] jury returned a degree verdict second robbery, finding the murder and that murder, knowing defined as the killing of negate[d] possibility of a constitutional- another, but, implicitly, premedita- absent ly robbery....” valid conviction for the Id. § tion. See Ann. Tenn.Code 39-13-210 at 2096. (1997). Similarly, to Count as III Turner, however, trial, Both Ashe and in- first to commit attempt the first separate successively degree volved trials Burgins, proof pre- tried murder of period over a time. Neither involved a meditation to the satisfaction of the mistrial or a new trial from an jury, on remand essential to a conviction. The however, appellate affirming court. While of attempted sec- reached a verdict murder, case, ond murder conviction a knowing, but un- successful, another, Appeals placed par- the Court Criminal effort to kill im- emphasis fact plicitly attempt ticular an absent element of offense, murder, charged premeditation.12 was not course, intent, attempt, 11. is also defined roborative of criminal fail Criminal to achieve Tennessee; objective intended.” Sentencing the criminal Tenn.Code statute Com- 39-12-101, sentencing § Ann. commission provide mission comments further (1997). comment attempt directed offense "[c]riminal the individual whose intent is to commit an contrast, trial, II in the offense, actions, strongly but whose while cor- stated, previously hung jury. in a ended No *12 852 received, could take no other the court in his failed the Defendant

Obviously, discharge. The jury than to order his action Burgins. When kill efforts to final, could was and acquittal commit second of attempt to verdict an found otherwise, necessarily reviewed, estab- murder, on error or their verdict be not was insufficient jeopardy, evidence him putting that the twice lished without That not premeditation. of thereby violating the element the constitution. primary on the acquittal an only served as this may England, in it be in However State’s theo- rejection of the charge, but a although acquittal, of country a verdict attempted to Defendant had ry that a bar by any judgment, is not followed Our ex- premeditation.13 Burgins kill subsequent prosecution to a evi- entire record of the amination offense. same trial court’s instructions and the dence 671,16 1192. at S.Ct. 163 U.S. conclu- to the inevitable jury leads us Further, Scarbrough, a new in State v. ground- could not “have jury that the sion felony murder trial was ordered trial verdict in the first ed its predi- but the conviction conviction the Defendant than that which issue other offense, af- burglary, was aggravated cate Swenson, 397 Ashe v. to foreclose.” seeks counts in the appeal. two firmed 444, U.S. the same criminal arose out of indictment final, produced trial The first the same part and were a transaction attempt judgment as to unappealable purposes of resolv- For prosecution. general “As a murder. ed aggravated of whether the ing question rule, becomes final judgment a trial court’s by the State in an could be used burglary timely entry unless thirty days after its trial, subsequent in a offensive manner specified post-trial appeal or notice as final. treated the conviction Pendergrass, v. 937 motion is filed.” State from utiliz- prohibited the State was While (Tenn.1996). 834, judgment A 837 S.W.2d to establish an essential ing that conviction however, upon entry. final is acquittal, felony murder trial which element in the 141, 143, U.S., 369 Fong Foo v. followed, recognized specifically this Court (quoting 7 L.Ed.2d 629 S.Ct. aggra- finality of the conviction for 671,16 Ball, 163 U.S. United States it as evi- burglary permitted vated (1896)). Ball, L.Ed. 300 S.Ct. in the second trial: guilt dence held as follows: our a final Allowing prosecution to use had been ac- who As to defendant in the trial is conviction as evidence duly returned and quitted by the verdict (Tenn. Buggs, S.W.2d required State v. culpable murder; however, for mental state 1999). jury is a mens rea re- could not reach a there Because quirement predicate offense as de- charge as to the as to verdict on the statute, Code Annotated II, fined Tennessee identify impossible to what it is 13—202(b), require- and the further section or, charge primary 39— element either pursu- killing be “done in ment that the must offense, matter, any lesser included felony], [predicate ance of the unlawful left unresolved. Thacker, to it.” State (Tenn.2005) (quoting Farmer course, 13. Recently, upheld the this Court State, 201 Tenn. 296 S.W.2d actually re- validity instructions that (1956)). killing may precede, coincide "The be- quire an on the indicted with, felony and be follow the still consid- or may given to lesser- any be fore consideration occurring perpetration of' the ered ‘in the as Davis, at 901. included offenses. offense, long there is a connec- so as time, continuity of action.” place, tion in 808(22), with Rule as well after consistent had announced that reality with the the conviction is it had unanimously agreed that Huskey *13 may final probative have value. Be- had a mental defect disease or but also evidence, is.simply cause the conviction agree stated it could not as to his however, preclu- and is not entitled to capacity to appreciate wrongfulness of estoppel, sive effect under collateral his conduct or conform with the require- may defendant by contest conviction ments of Ultimately, law. the jury was introducing contrary evidence argu- verdict, unable reach a and the trial ment. court a In declared mistrial. the second Scarbrough, 181 S.W.3d 660.14 trial, Huskey contended because the him first trial found to have a Conversely, Huskey, in State 66 defect, mental disease or (Tenn.Crim.App.2001), 928 our state was of Appeals Criminal examined a bound the doctrine collateral estop- of claim estoppel of in the context of The pel.15 former Court of Criminal disa- served, however, 14. Trial "analysis courts must nevertheless find that the that the ... re same, probative value prior ap of the conviction is mains we refer to not whether substantially outweighed by plication estoppel principles the risk of of unfair as 'direct' or " 'collateral,' 803(22) prejudice. proceeded Tenn. R. Evid. & 403. "refer to the Cf. estoppel collectively principles as collateral Huskey, In Appeals, 15. our Court of Criminal Id.; estoppel” to avoid confusion. see also Bailin, citing authority as United States v. 977 Bailin, (noting 977 F.2d at 15 280 n. that the (7th 1992), F.2d made the Cir. fol- ... developed involving “rules in cases collat lowing observation: estoppel eral govern estoppel ... direct as applied princi- The Seventh Circuit has well”). ples of collateral when the first Frazier, (6th United States v. 880 F.2d 878 jury acquitted the defendant of some counts Cir.1989), is the lead case Sixth Circuit Noting but deadlocked on other counts. estoppel. issue of criminal collateral original jeopardy that the is deemed to con- appeal In an from the United States District hung jury, tinue in the event a the court Tennessee, Court for the Eastern District of preclusion arising concluded that issue out acquittal Sixth Circuit an held that on a separate counts of first trial charging count misapplication of funds as to preclusion collateral: "Issue 'within the precluded, certain estop- loan single confines of a or claim cause of ac- pel grounds, charging retrial on count ” estoppel.’ tion’ is known as 'direct Id. at relating false loan. entries to the same Id. at (quoting Wright, 18 Charles A. Arthur thirty using 885-86. Since some cases Kane, Mary Kay R. Miller & Federal Prac- the term estoppel” "collateral have cited Fra- (1981)). § tice & Procedure at 169 authority. as zier estoppel applies The court held that direct We have the term chosen to use "collateral government in a criminal case bar the estoppel,” Scarbrough, as we did in relitigating from issues retrial of the Regardless Shenberg. same reasons stated in "necessarily mistried counts that were precision terminology, the clear finally decided in the defendant’s favor majority of the federal circuit courts use the jury's partial reason of the on oth- term "collateral we have estoppel” as here. er counts.” fact, other Third and than the Eleventh Huskey, 66 Circuits, S.W.3d at 927-28. The Eleventh acknowledge the which Seventh Cir- proposition Circuit also cited Bailin estoppel,” cuit's use of the term Bailin "direct that "a retrial ‘collateral’ if cannot be it is a and cases confined to the Seventh Circuit are that, 'continuation' trial." of the first United States federal have found cases we (11th Shenberg, counts, 89 F.3d Cir. the context of mistried retrial 1996); Console, see also United States v. apply estoppel” princi- the term “direct (3d Cir.1993) (noting ples commonly F.3d 664 n. estop- "collateral known as pel.” Seventh Circuit's use of term "direct es- toppel” reprosecution in the context of a The also Seventh Circuit used term has count). preclusion” principles mistried "issue The Eleventh Circuit ob to describe Second, court trial.... by the tal at the first the statement ruling greed, previously de- judg- must whether “prior” out of determine not arise jury did ‘an el- ment, was no essential there verdict. facts constituted because termined at- jeopardy, which had F.3d at mistried count.” 89 court described ement’ of the sworn, Brown, jury was when the 983 F.2d tached (citing U.S. Cir.1993)). after the concept (11th Here, declaration continuing criteria both in that Implicit Id. at a mistrial. Defendant could not have met. The think, acquit- is that either holding, we murder ab- have been convicted *14 conviction, the unappealed tal or an predicate of proof of one the sent sufficient unanimously agree, jury able been The enumerated statute. offenses as judg- a final been treated as would have premedi- element of jury rejected first the ensuing separate trial on any ment and tation, attempted the crime of critical for as have treated subse- counts would Attempted second degree first murder. estoppel purposes. quent for collateral qualify not under the degree murder did a careful review of this existing law. After entry. upon is indeed final An record, no apparent there was it is trial the acquitting The in the first verdict felony prosecution other for a for basis attempted the Defendant on pro- trial. The murder in the second had, Burgins there- murder of degree first in finality litigation, motion conservation of fore, final before the retrial become resources, of judicial of avoidance charge. felony murder This assessment are judgments policy reasons inconsistent in ruling our v. Scarb- comports with application of collateral es- warranting the with rationale and is consistent rough Because an toppel these circumstances. Ap- of employed by Criminal had been essential element offense Huskey. Shenberg, peals in State by jury a in a manner previously resolved Appeals Court of de- Eleventh Circuit Defendant, the of doctrine two-step inquiry to whether favorable to scribed a as have estoppel precluded a collateral should estoppel applied in retrial: collateral prose- with the “First, proceeding must verdict the State from courts examine the facts,’ cution murder both under the any, to see if for and the record ‘what indepen- acquit- determined United necessarily States Constitution16 were Bailin, government Fifth Court of to consider in Ashe. In Circuit espoused estoppel, argued estoppel that collateral as embodied re whether criminal collateral bars Clause, Jeopardy never acquitted by could Double trial where a defendant apply not; jeopardy protections counts, did when former jury but failed to on some rejected argu- Circuit the Seventh counts the indict reach a verdict on other ment, holding as follows: acquitted ment that elements share defendant has need for A criminal no Yeager, F.3d counts. See United States preclusion of issue if his entire benefits - (5th Cir.2008), granted, cert. jeopardy; prosecution is barred double -., (2008). 172 L.Ed.2d jeopardy prosecu- bars the if double entire has held that mistried Sixth Circuit tion, a court need consider then application preclude the of col counts do not particular precluded issues whether are necessarily estoppel lateral based issues relitigation. Precisely contrary to the from acquitted part decided counts. See as assertion, estoppel government’s collateral ("No Frazier, 880 F.2d such inconsis in criminal when applicable is cases tency ... necessarily present when a jeopardy is not. double charges agree acquits and fails some (footnote omitted). at 275 F.2d acquittal and failure to others. Both factors, agree a number recently could result from 16. The United States the verdict inconsistent granted petition writ of none of which makes for certiorari finally disposes part the Tennessee Constitution. of a claim on dently under Thus, preclude merits but does not all fur- the conviction claim; ther action on the murder, remainder of the offense of the lesser-included parts issues common to both of the claim be charge, must set aside. precluded, are even new though issues re- ” Conclusion main to be decided.’ State v. Huskey, 66 (Tenn.Crim.App.2001) previous Because in a trial the Defen- United, Bailin, (quoting States v. 977 F.2d acquitted attempted dant had been (7th Cir.1992)). 270, 276 On the other murder, offense essen- hand, the doctrine of collateral estoppel prosecution tial to the prevents party from relitigating case, corollary as a subsequent action actually issues were protection against constitutional raised and determined in an earlier action. have precluded double should Scarbrough, State v. 654- *15 The felony trial for murder. conviction of (Tenn.2005). murder as lesser-included estoppel Both the doctrine of direct murder, charge offense of the estoppel doctrine of collateral can must, therefore, be The judg- be set aside. applied proceedings. criminal Ascer man- voluntary ment and sentence for taining applied which doctrine should be slaughter on I is affirmed. Costs of separate on the depends pro facts. When appeal this are assessed to State of involved, ceedings they are were Tennessee. Swenson, Ashe 397 U.S. KOCH, JR., J., WILLIAM C. filed a 1189, 25 L.Ed.2d 469 and State v. concurring opinion. Vickers, 1 (Tenn.Crim.App. 1997), applying the doctrine of collateral KOCH, JR., J., WILLIAM C. However, estoppel proper. in cases like concurring. retrial, this one which involve a the doc I concur with the Court’s decision to estoppel trine of collateral should not be affirm Mr. Thompson’s conviction and sen- applied simple reason that a retrial voluntary manslaughter tence for and to cannot be “collateral” because it is a con reverse his conviction for second tinuation trial. the context separately emphasize murder. I write retrial, estoppel of a of direct doctrine my conclusion that it is the doctrine of more appropriately characterizes the es- estoppel, direct not the doctrine of collat- toppel principles brought that should be estoppel, prevents eral the State from Shenberg, bear. States v. 89 F.3d United proceeding against Thompson Mr. on the (11th Cir.1996); United States charge. Bailin, 276-77; 977 F.2d at Common Williams, The between the difference doctrine wealth 431 Mass. (2000) (citing

direct and the doctrine of collater- N.E.2d 220 n. 4 estoppel Restate (Second) c, al than estoppel § is more semantic. The ment Judgments cmt. 149-50); estoppel “prevents par- Henning, doctrine of direct Peter J. see also Vacuum,: ty from a fact which al- relitigating was Precedents in The ready it in ‘a against determined decision Court to Tinker with Double Continues irrational."). jury's approach,

or the actions To the ex which is the one taken the ma analysis tent our is based the United jority addressing of federal circuits the issue. Constitution, it States is consistent this L.Rev. 13 n. 66 31 Am.Crim. Jeopardy, Fleissner,

(1993); P. Constitutional James Procedure, L.Rev. 48 Mercer

Criminal (1997).

1485,1507 delights accuracy preci- law The fact that a number of

sion. United have blurred the Courts of

States between the doctrine of direct

distinction of collateral es-

estoppel and doctrine jus- little provides in criminal cases

toppel ignore our own decisions

tification us recognized preserved have I Accordingly, would hold that

distinction. prevents

the doctrine of direct retrying Thompson

State from Mr. he ac- because

quitted offense in the first

trial. *16 MANN, Partnership

FLAUTT & OF the COUNCIL CITY MEMPHIS, et

OF al. Tennessee, Appeals of

Court of

at Jackson.

Oct. 2007 Session.

Feb. 2008. Rehearing

Order on Denial of

April 2008.

Application Appeal for Permission to by Supreme

Denied

Oct.

Case Details

Case Name: State of Tennessee v. Joey DeWayne Thompson
Court Name: Tennessee Supreme Court
Date Published: May 6, 2009
Citation: 285 S.W.3d 840
Docket Number: E2006-02093-SC-R11-CD
Court Abbreviation: Tenn.
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