United States v. Steven Allen Richard

Richard, a taxi driver, was tried by jury for transporting illegal aliens. During the trial, he submitted into evidence a taxi trip log allegedly written on the day he was arrested. The government contested the authenticity of the log, asserting it had been prepared for trial purposes and cross-examining Richard on this point. Richard was acquitted of the alien smuggling charge.

Approximately one year later, Richard was again tried by jury, this time for giving false testimony, obstructing justice and using a false document. All charges concerned the trip log introduced at his earlier trial. He moved to dismiss the indictment on double jeopardy grounds, arguing the authenticity of the log had been necessarily determined at his first trial. The district court denied the motion, and Richard was convicted on all counts. He appeals his conviction.

Collateral estoppel, which applies to criminal cases through the constitutional protection against double jeopardy, Ashe v. Swenson, 397 U.S. 436, 443-46 , 90 S.Ct. 1189, 1194-96 , 25 L.Ed.2d 469 (1970), bars a perjury prosecution after acquittal on substantive charges when “an issue of fact or law is actually litigated and determined by a…