Opinion ID: 1196588
Heading Depth: 1
Heading Rank: 1

Heading: does double jeopardy bar retrial?

Text: The Double Jeopardy Clause of the United States Constitution protects against (1) a second prosecution for the same offense after acquittal, (2) a second prosecution for the same offense after conviction, and (3) multiple punishments for the same offense. Brown v. Ohio, 432 U.S. 161, 165, 53 L.Ed.2d 187, 97 S.Ct. 2221 (1977). The language of § 10 of the Kansas Constitution Bill of Rights is very similar to the language contained in the Fifth Amendment to the United States Constitution. Both provide in effect that no person shall be twice placed in jeopardy for the same offense. The language of the Fifth Amendment guarantees no greater protection to an accused than does § 10 of the Kansas Constitution Bill of Rights. Therefore, the underlying protection contained in the Double Jeopardy Clause of the United States Constitution is contained in § 10 of the Kansas Constitution Bill of Rights. In order to implement and define the constitutional guarantees against double jeopardy, the Kansas Legislature enacted two statutes: (1) K.S.A. 21-3107, multiple prosecutions for the same act; and (2) K.S.A. 21-3108, effect of former prosecution. K.S.A. 21-3107 defines the right of the prosecution to charge more than one offense based on the same act and to convict of an included offense not specifically charged. It formulates the limitations upon unfair multiplicity of convictions and prosecutions. K.S.A. 21-3108 attempts to cover the complex problems of former jeopardy. State v. Freeman, 236 Kan. 274, 281, 689 P.2d 885 (1984). Cady acknowledges that reversal of a conviction does not automatically bar retrial, particularly when the retrial results from a defendant's request for mistrial. Cady contends, however, that when the mistrial is caused by prosecutorial misconduct which provokes a defendant into requesting the mistrial, double jeopardy bars retrial. Cady asserts that although reversal of his first trial ( Cady I ) did not involve a mistrial, he was unable to request a mistrial but was required to move for a new trial in the district court because he was not informed of the juror's remark until he had been convicted and the jury had been excused. Cady admits his trial counsel never raised the issue of double jeopardy to the trial court in his second trial. Cady argues that even though a double jeopardy claim was not raised in the district court, this is an issue of constitutional magnitude, a question of law, and, in the interest of judicial economy, his claim of double jeopardy should be considered in this appeal rather than in a separate K.S.A. 60-1507 action claiming ineffective assistance of counsel. The State argues Cady's failure to raise the double jeopardy claim at trial waives that defense, citing Cox v. State, 197 Kan. 395, 416 P.2d 741 (1966). Cox had been tried and convicted, and his conviction was reversed; prior to retrial, he pled guilty. While in the penitentiary, Cox filed a motion in the district court that collaterally attacked his conviction on double jeopardy grounds. The district court found the prohibition against double jeopardy had been violated and vacated the sentence. The State appealed. The Cox court reversed the district court, noting that the defendant had failed to affirmatively raise the defense of double jeopardy in his original appeal, and after his conviction had been reversed on other grounds he entered a plea of guilty to a lesser included offense. The Cox court noted that even if double jeopardy was raised as a defense, it was abandoned by a subsequent plea of guilty. See State v. Carte, 157 Kan. 673, 143 P.2d 774 (1943). It determined that either action by Cox constituted a waiver of the defense of double jeopardy under prior decisions of both Kansas and federal courts. We agree that issues may be raised on appeal for the first time where consideration is necessary to prevent a denial of fundamental rights. See State v. Puckett, 230 Kan. 596, 601, 640 P.2d 1198 (1982). In State v. Dubish, 234 Kan. 708, 718, 675 P.2d 877 (1984), the issue raised for the first time on appeal was whether a conviction was multiplicitous. This court specifically noted that allowing a multiplicitous conviction to stand violated Dubish's fundamental right to a fair trial. Neither Puckett nor Dubish control, but to prevent a future claim that ineffective assistance of counsel denied Cady his fundamental right not to be placed twice in jeopardy, we will consider the issue. Both sides cite as authority for their position Oregon v. Kennedy, 456 U.S. 667, 72 L.Ed.2d 416, 102 S.Ct. 2083 (1982). Kennedy had been charged with theft. A series of sustained objections prevented the prosecutor from eliciting certain testimony. The prosecutor returned to the well one more time and asked the witness if the reason he had never done business with the defendant was because the defendant was a crook. The court granted the defendant's motion for a mistrial. Prior to his second trial, Kennedy unsuccessfully argued to the trial court that double jeopardy barred retrial. He was retried and convicted. He appealed that conviction. The Oregon Court of Appeals found the double jeopardy protection of the United States Constitution barred his retrial because the prosecutor's conduct in the first trial was overreaching. The United States Supreme Court reversed the Oregon Court of Appeals and remanded for further proceedings, but noted there is a narrow exception to the general rule that where the defendant requests the mistrial, double jeopardy does not bar a subsequent retrial. It held that double jeopardy only bars retrial, after a request for mistrial by the defendant is granted, where the prosecutor has intentionally provoked the defendant's request for mistrial. Citing U.S. v. Rios, 637 F.2d 728, 729 (10th Cir.1980), cert. denied 452 U.S. 918 (1981), Cady argues the rule in Kennedy should be extended to cover situations where there is a reversal of a defendant's conviction by an appellate court due to prosecutorial misconduct. Cady contends the application of the rule should not depend on which court, i.e., trial or appellate, reverses a defendant's conviction because of prosecutorial misconduct. In Rios, the defendant's motion for mistrial was denied by the trial court, but that decision was reversed on appeal by the 10th Circuit. Although Rios was decided before Kennedy, the 10th Circuit recognized the exception to the general rule that a mistrial requested by the defendant does not bar a second trial under double jeopardy where the prosecutor provokes the defendant's request for mistrial, and determined that it made no difference in applying the rule whether the trial court or the appellate court granted the defendant's motion for mistrial. The 10th Circuit affirmed Rios' conviction, however, because there was no intent by the prosecutor to provoke Rios' request for a mistrial. Kennedy applies to situations where the defendant's request for mistrial was inevitable because the prosecution subverted the defendant's right to a fair trial. Applying Kennedy to our factual situation, we find the prohibition against double jeopardy does not apply because Kennedy requires that the prosecution intended to goad the defendant into seeking a mistrial. The record in Cady I indicates the prosecution was aware the juror's remark could be grounds for a mistrial if brought to the attention of the judge. There is no evidence the prosecutors intentionally influenced the juror, thus provoking Cady to request a mistrial. The constitutional interest protected by Kennedy is that a defendant should be allowed to freely choose whether he or she should request a mistrial and forego the right to have the matter decided by the first trier of fact. Where the prosecutor seeks to force the defendant into the choice, the choice is not freely made, and the prosecution has subverted the defendant's rights protected by the Double Jeopardy Clause of the Constitution. It is incumbent on the appellant to furnish a record to support the claim of error. State v. Richard, 252 Kan. 872, 874, 850 P.2d 844 (1993). Nothing in the record on appeal supports a conclusion the prosecutors intended to provoke a mistrial in the first trial; therefore, double jeopardy does not bar Cady's second trial and conviction.