Ronald Maurice Stump v. John Bennett, Warden, Iowa State Penitentiary, Fort Madison, Iowa

398 F.2d 111
CourtCourt of Appeals for the Eighth Circuit
DecidedDecember 16, 1968
Docket18920_1
StatusPublished
Cited by147 cases

This text of 398 F.2d 111 (Ronald Maurice Stump v. John Bennett, Warden, Iowa State Penitentiary, Fort Madison, Iowa) is published on Counsel Stack Legal Research, covering Court of Appeals for the Eighth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Ronald Maurice Stump v. John Bennett, Warden, Iowa State Penitentiary, Fort Madison, Iowa, 398 F.2d 111 (8th Cir. 1968).

Opinions

LAY, Circuit Judge.

Ronald Maurice Stump, a state prisoner, appeals from the denial of his petition for a writ of habeas corpus in federal district court. Stump was convicted of murder in the second degree in the Polk County, Iowa, District Court in the slaying of one Michael Daly. On December 11, 1961, he was sentenced to a term of seventy-five years’ imprisonment. Stump asserted as a sole defense at his trial that it was impossible for him to have been present at the place of the crime since he was driving on the highway between Des Moines and Knoxville when the shooting took place. He offered witnesses in an attempt to verify this fact. The state trial court placed upon the defendant the burden of proving his alibi by a preponderance of the evidence. The conviction was affirmed by the Iowa Supreme Court in State v. Stump, 254 Iowa 1181, 119 N.W.2d 210 (1963) (the vote of the Iowa court was 5 to 3, with one judge not participating), cert. denied 375 U.S. 853, 84 S.Ct. 113, 11 L.Ed.2d 80 (1963).

After exhausting his state remedies,1 Stump petitioned for a writ of habeas corpus in the United States District Court for the Southern District of Iowa, alleging among other grounds that the state trial court’s instructions placed upon the defendant the burden of proving his sole defense of alibi by the preponderance of the evidence, and that Iowa Code Ann. § 777.18 requires a defendant raising an alibi defense to give to the state timely notice of such defense, as well as the names and addresses of any corroborating witnesses, without a reciprocal exchange of the state’s witnesses relating to the same issue. Petitioner claims, as he did below, that both grounds constitute a denial of due process of law under the Fourteenth Amendment. We need not discuss the other grounds raised on this appeal. We hold that the Iowa rule shifting the burden of proof to the defendant reached the level of constitutional error and was prohibited by the Fourteenth Amendment. We reverse and remand with directions.

The due process clause permits a state a wide berth in developing rules of procedure and evidence. Spencer v. State of Texas, 385 U.S. 554, 87 S.Ct. 648, 17 L.Ed.2d 606 (1967). A consti[114]*114tutional violation cannot rest upon our independent judgment or personal appraisal of what seems the fairer or the better procedure. See Leland v. State of Oregon, 343 U.S. 790, 799, 72 S.Ct. 1002, 96 L.Ed. 1302 (1952). The fundamental bases of “due process” relate to adequate notice and reasonable opportunity to be heard. Hovey v. Elliott, 167 U.S. 409, 413-418, 17 S.Ct. 841, 42 L.Ed. 215 (1897). Beyond these minimal standards only oppressive and arbitrary state procedural rules command federal review. Federal intervention is justified only when the state law “offends some principle of justice so rooted in the traditions and conscience of our people as to be ranked as fundamental,” Snyder v. Commonwealth of Massachusetts, 291 U.S. 97, 105, 54 S.Ct. 330, 78 L.Ed. 674 (1934), or frustrates a right “implicit in the concept of ordered liberty,” Palko v. State of Connecticut, 302 U.S. 319, 325, 58 S.Ct. 149, 82 L.Ed. 288 (1937).

We thus reflect cautiously upon the rule before us. Iowa is one of only two states 2 which now require a defendant to assume the burden of persuasion by a preponderance of evidence in establishing an alibi. Six other states have permitted instructions which require a defendant to present sufficient evidence of alibi to establish in the minds of the jurors a reasonable doubt of his guilt, but these states do not at any time shift the burden of persuasion as is done under the Iowa rule.3 Analytically, these states simply shift to the defendant the burden of going forward with the evidence as to the alibi itself. All of the seven United States Courts of Appeals that have considered the issue, including this Circuit, agree that in a federal prosecution the burden of persuasion of an alibi defense may not be shifted to the defendant. United States v. Vigorito, 67 F.2d 329, 330 (2 Cir. 1933) (dictum); United States v. Marcus, 166 F.2d 497, 503-504 (3 Cir. 1948); Falgout v. United States, 279 F. 513, 515, 29 A.L.R. 1115 (5 Cir. 1922); Cangelosi v. United States, 19 F.2d 923 (6 Cir. 1927); Glover v. United States, 147 F. 426, 430-433 (8 Cir. 1906); Thomas v. United States, 213 F.2d 30, 32-34 (9 Cir. 1954); Reavis v. United States, 93 F.2d 307, 308 (10 Cir. 1937). And even the Iowa Supreme Court subsequent to the Stump case 4 expressed doubt about future applications [115]*115of the rule. State v. Post, 255 Iowa 573, 123 N.W.2d 11, 18 (1963). But neither polling other states’ positions nor comparing Iowa law with federal procedure is a conclusive ground for a finding on constitutional infirmity. Such weight of authority guides us at most to a “consideration” of whether the rule “offends” principles so fundamental as to be within constitutional protection. Iceland v. State of Oregon, 343 U.S. at 798, 72 S.Ct. 1002; cf. Gideon v. Wainwright, 372 U.S. 335, 342, 83 S.Ct. 792, 9 L.Ed.2d 799 (1963). We analyze the problem in three parts:

I. Is the instruction patently erroneous ?

II. Does it violate due process ?

III. And if so, considering the instructions as a whole, is it “harmless” constitutional error beyond “a reasonable doubt”? Chapman v. State of California, 386 U.S. 18, 24, 87 S.Ct. 824, 17 L.Ed.2d 705 (1967).

I.

The Iowa trial court instructed the jury, in part, as follows:

“ * * * before you can acquit the defendant by reason of this defense [alibi] you must find that he has established it by a preponderance or greater weight of the evidence bearing upon it.” 5 (Emphasis ours.)

There exist many bases for considering the instruction erroneous.

(a) The original premise behind placing the burden of proof upon the defendant is that “alibi” is an affirmative defense. See State v. Vincent, 24 Iowa 570 (1868); State v. Stump, supra, 119 N.W.2d at 218. This view has now been rejected by almost every state as well as by all federal courts which have had the proposition before them. See, e. g., Halko v. State, 4 Storey 180, 54 Del. 180, 175 A.2d 42, 48-49 (1961); Commonwealth v. Bonomo, 396 Pa. 222, [116]*116151 A.2d 441, 444-446 (Pa.Sup.Ct.1959) ; State v. Garvin, 44 N.J. 268, 208 A.2d 402 (1965); State v. Hubbard, 351 Mo. 143, 171 S.W.2d 701, 706-709 (1943). In asserting alibi the defendant simply denies the possibility of his having committed the crime by reason of being elsewhere when it was committed, whereas an affirmative defense generally applies. to justification for his admitted participation in the act itself. See 9 Wigmore, Evidence § 2512 (3d ed. 1940); McCormick, Evidence § 321 at 683 (1954); 2 Underhill, Criminal Evidence § 441 (5th ed. 1956); Note, 49 Iowa L. Rev. 590 (1964).

(b) The instruction itself is inconsistent and confusing, as is pointed out by the federal district court below. The jury is told that before it can acquit the defendant by reason of this defense the defendant must establish it by the preponderance of evidence.

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Bluebook (online)
398 F.2d 111, Counsel Stack Legal Research, https://law.counselstack.com/opinion/ronald-maurice-stump-v-john-bennett-warden-iowa-state-penitentiary-fort-ca8-1968.