Lincoln Isaac v. Ted Engle, Superintendent

646 F.2d 1129
CourtCourt of Appeals for the Sixth Circuit
DecidedDecember 16, 1980
Docket78-3488
StatusPublished
Cited by36 cases

This text of 646 F.2d 1129 (Lincoln Isaac v. Ted Engle, Superintendent) is published on Counsel Stack Legal Research, covering Court of Appeals for the Sixth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Lincoln Isaac v. Ted Engle, Superintendent, 646 F.2d 1129 (6th Cir. 1980).

Opinions

BAILEY BROWN, Circuit Judge.

In this appeal, we are confronted with the difficult task of determining the federal constitutional consequence, if any, of two decisions by the Supreme Court of Ohio. One of these decisions for the first time construed, an Ohio statute to place the burden on the state in criminal cases of proving the absence of affirmative defenses, and the other decision held that only those defendants who had objected at the trial to jury instructions placing the burden on defendant to prove an affirmative defense could avail themselves on appeal of this interpretation of the statute.

I

Prior to 1974, Ohio followed the traditional common law rule that the defendant in a criminal ease not only had the burden of going forward with evidence to create an issue as to an affirmative defense but also had the ultimate burden of proving such affirmative defense by a preponderance of the evidence. State v. Seliskar, 35 Ohio St.2d 95, 298 N.E.2d 582 (1973). As of January 1, 1974, however, a new statutory provision became effective. That provision, codified as Ohio Revised Code § 2901.05(A), stated:

(A) Every person accused of an offense is presumed innocent until proven guilty beyond a reasonable doubt, and the burden of proof is upon the prosecution. The burden of going forward with the evidence of an affirmative defense is upon the accused.

The language of the new statute was not free of ambiguity. As a result § 2901.05(A) was not initially considered to effect any change in the previous common law rule. As late as 1975, the Supreme Court of Ohio reaffirmed at least in a dictum the principle that a defendant must bear the burden of proving affirmative defenses by a preponderance of the evidence. State v. Rogers, 43 Ohio St.2d 28, 330 N.E.2d 674 (1975).1

[1132]*1132II

In 1975, appellant, Lincoln Isaac, was indicted in Ohio for felonious assault. At his trial, Isaac asserted that he had acted in self-defense. The trial court instructed the jury without any objection by Isaac that it was incumbent on Isaac to demonstrate self-defense by a preponderance of the evidence. The jury found Isaac guilty of the lesser included offense of aggravated assault. Isaac was sentenced to a term of six months to five years imprisonment.

Prior to any appeal by Isaac, the Supreme Court of Ohio, in State v. Robinson, 47 Ohio St.2d 103, 351 N.E. 103 (1976), concluded that § 2901.05(A) had changed the previously accepted common law rule allocating the burden of proof in criminal cases. The court construed § 2901.05(A), effective January 1, 1974, to adopt the majority rule that a defendant only has the burden of coming forward with sufficient evidence to create an issue as to an affirmative defense and that once such evidence is presented, the prosecution then must demonstrate beyond a reasonable doubt the guilt of the defendant even to the extent of disproving such affirmative defense. Interpreting § 2901.-05(A) in this manner, the Supreme Court of Ohio held that any jury instruction placing the burden of proving an affirmative defense on the defendant constituted prejudicial error.

Relying on Robinson, Isaac appealed his conviction. The Court of Appeals for Pick-away County held that Isaac had waived any error in the jury instruction on burden of proof by failing to object to that instruction. Accordingly, it affirmed Isaac’s conviction. Isaac thereafter filed an appeal in the Supreme Court of Ohio. That appeal was dismissed in 1977 for lack of a substantial constitutional question.

On the same day that it dismissed Isaac’s appeal, the Supreme Court of Ohio reaffirmed the interpretation of § 2901.05(A), placing the burden on the state to prove absence of affirmative defenses, that it had made in Robinson. State v. Humphries, 51 Ohio St.2d 95, 364 N.E.2d 1354 (1977). At the same time, however, the court held that appellant Humphries could not avail himself of this interpretation of the statute because he had not objected to the charge to the jury on this ground, relying on Ohio Criminal Rule 30. The court, nevertheless, in the same opinion, held that appellant Meyer, who had had a bench trial, could effectively raise the question on appeal since Criminal Rule 30 did not apply to such trials. Ohio has continued to so apply its contemporaneous objection rule. State v. Long, 53 Ohio St.2d 91, 372 N.E.2d 804 (1978).

In 1978, Isaac sought habeas corpus relief in federal district court. Without reaching the merits of Isaac’s claim, the district court dismissed his petition. The court, relying on Wainwright v. Sykes, 433 U.S. 72, 97 S.Ct. 2497, 53 L.Ed.2d 594 (1977), held that federal habeas corpus review was precluded by an adequate state procedural ground, specifically, the Ohio rule that the failure to object to a jury instruction waived any error in such instruction.

In Isaac v. Engle, 646 F.2d 1122 (decided February 8, 1980) a panel of this court reversed the decision of the district court, Judge Celebrezze writing a concurring opinion. The focus of the panel opinion was on the constitutionality of Ohio’s use of its contemporaneous objection rule as a means of limiting the benefits of the Robinson decision. The panel opinion concluded, preliminarily, that Wainwright v. Sykes was simply not applicable and therefore there was no bar to consideration of this constitutional claim since such claim was not directed at the substantive validity of the jury instructions allocating the burden of proof. As to the merits of the claim, all three members of the panel determined that Ohio’s failure to grant Isaac the benefits of Robinson represented a denial of due process. The panel divided, however, as to the appropriate basis for reaching such a conclusion. Judges Peck and Phillips determined that Ohio’s use of its contemporaneous objection rule was arbitrary and capricious and therefore a denial of federal due process under the circumstances of this case because there was no basis for objection to [1133]*1133the jury instruction at the time of Isaac’s trial. Judge Celebrezze, adopting a somewhat broader approach, maintained that the placing of the burden of proof is so critical in the truth-finding process that the change in interpretation of the law allocating that burden must have “retroactive application” without any limitations based on state procedural rules.

We granted a petition for rehearing en banc to consider the important issues presented by this case.

Ill

We recognize that the use of a contemporaneous objection rule as a procedural device to deny a defendant the retroactive benefits of an important change in state law is arguably arbitrary and capricious when there did not exist a reasonable basis for an objection at the time of the trial. The Supreme Court, however, has at least suggested that such a use of a procedural rule may be a valid means of limiting the retroactive benefit of a new constitutional principle. Hankerson v. North Carolina, 432 U.S. 233, 244 n.8, 97 S.Ct. 2339, 2345 n.8, 53 L.Ed.2d 306 (1977).

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Bluebook (online)
646 F.2d 1129, Counsel Stack Legal Research, https://law.counselstack.com/opinion/lincoln-isaac-v-ted-engle-superintendent-ca6-1980.