Opinion ID: 2212288
Heading Depth: 1
Heading Rank: 1

Heading: Law of the Case and Issue Preclusion.

Text: The law of the case doctrine commonly applies to issues decided in earlier stages of the same case. Little Earth of United Tribes, Inc. v. Department of Housing, 807 F.2d 1433, 1438 (8th Cir. 1986); see Mattson v. Underwriters at Lloyds of London, 414 N.W.2d 717, 719-20 (Minn.1987). The doctrine provides that when a court decides upon a rule of law, that decision should continue to govern the same issues in subsequent stages in the same case.  Arizona v. California, 460 U.S. 605, 618, 103 S.Ct. 1382, 1391, 75 L.Ed.2d 318 (1983) (emphasis added). By contrast, issue preclusion or collateral estoppel operates to prevent relitigation of matters where (1) the issue is identical to one in a prior adjudication, (2) there was a final judgment on the merits, (3) the estopped party was a party in the prior case, and (4) there was a full and fair opportunity to be heard on the issue. Kaiser v. Northern States Power Co., 353 N.W.2d 899, 902 (Minn.1984); Hauser v. Mealey, 263 N.W.2d 803, 806 (Minn.1978); see also Restatement (Second) of Judgments § 27 (1982). Collateral estoppel can also attach to issues determined by a criminal conviction. See Travelers Insurance Co. v. Thompson, 281 Minn. 547, 163 N.W.2d 289 (1968); see also Prosise v. Haring, 667 F.2d 1133 (4th Cir.1981), aff'd 462 U.S. 306, 103 S.Ct. 2368, 76 L.Ed.2d 595 (1983); Lettsome v. Waggoner, 672 F.Supp. 858 (D.V.I. 1987); Knoblauch v. Kenyon, 163 Mich. App. 712, 415 N.W.2d 286 (1987); see generally Restatement (Second) of Judgments § 85 (1982). Neither issue preclusion nor law of the case applies where the issue has not yet been litigated or decided at trial or on appeal. The fact of Ostlund's conviction does not permit finding of a consistent pattern of abuse because it is not an element of the crime for which she was convicted. Ostlund was charged with and convicted of second-degree murder in the commission of a third-degree assault, and a consistent pattern of abuse is not an essential element of either offense. See 10 Minn.Dist. Judges Ass'n, Minnesota Practice, CRIMJIG 11.16, 13.08 (2d ed. 1985). The jury was never instructed to consider nor was the state required to prove a consistent pattern of abuse in the criminal case. See Thompson, 281 Minn. at 555, 163 N.W.2d at 294 (criminal conviction is conclusive evidence of facts upon which conviction is based). In her appeal from the conviction, Ostlund assigned error to the admission of Spreigl evidence. State v. Ostlund, 416 N.W.2d 755, 758 (Minn. App.1987) (4. Did the trial court err in admitting Spreigl evidence?), pet. for rev. denied (Minn. Feb. 24, 1988). When examining whether the evidence satisfied the requirements for admission of Spreigl evidence, the court of appeals panel said: This testimony is admissible circumstantial evidence that Maria had been subjected to abuse and neglect while living with [Ostlund]. The fact that these injuries occurred while Maria was in [Ostlund's] care is clear and convincing evidence of [Ostlund's] participation. This evidence is also admissible to illuminate the relationship between [Ostlund] and Maria. Id. at 764, quoted in In re Welfare of M.D.O., 450 N.W.2d 655, 657 (Minn.App. 1990) (emphasis added and citation omitted). This leads to the inevitable, albeit unstated, holding that there was no abuse of discretion in admitting the evidence of Ostlund's prior bad acts because Ostlund's participation in those acts was clear and convincing. [5] Counsel for both prosecution and defense would have no need to argue the conduct involved a consistent pattern of abuse when the standard for admitting the Spreigl evidence does not require that determination. Neither the jury nor the court of appeals panel considered, much less found, whether Ostlund's conduct denoted a consistent pattern of abuse. Before a criminal conviction precludes the subsequent relitigation of issues decided in the criminal case the issues raised must be identical. See Thompson, 281 Minn. at 550, 163 N.W.2d at 291 (facts and issues in both actions were identical). Although the facts surrounding Ostlund may be the same in both actions, the issues under consideration differ completely. The trial court's order correctly precluded relitigation of Ostlund's criminal culpability for Maria's death by shaking, and that order became law of the case. That same order did not foreclose determination of whether Ostlund's conduct satisfied the statutory language under section 260.221(b)(4).