United States v. Grant C. Affleck, United States of America v. Frank Kowalik, Jr.

765 F.2d 944, 1985 U.S. App. LEXIS 31301, 53 U.S.L.W. 2628
CourtCourt of Appeals for the Tenth Circuit
DecidedMay 24, 1985
Docket85-1009, 84-2600
StatusPublished
Cited by114 cases

This text of 765 F.2d 944 (United States v. Grant C. Affleck, United States of America v. Frank Kowalik, Jr.) is published on Counsel Stack Legal Research, covering Court of Appeals for the Tenth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Grant C. Affleck, United States of America v. Frank Kowalik, Jr., 765 F.2d 944, 1985 U.S. App. LEXIS 31301, 53 U.S.L.W. 2628 (10th Cir. 1985).

Opinions

HOLLOWAY, Chief Judge.

OPINION ON REHEARING EN BANC

These separate appeals from the District of Utah and the District of Colorado present important questions under the Bail Reform Act of 1984 (“Act”), enacted as part of the Comprehensive Crime Control Act of 1984, Title II of Pub.L. No. 98-473, 98 Stat. 1976, approved October 12, 1984. This court ordered rehearings en banc which were heard on March 12, 1985 in each case. This opinion disposes of the issues in both cases concerning bail pending appeal.

I

Facts

A. Affleck

Defendant Grant C. Affleck was convicted in the District of Utah on October 5, 1984 after a jury trial of six counts of security fraud,1 one count of bankruptcy fraud,2 and one count of interstate transportation of a person to defraud.3 On that date, the district court ordered Affleck re[946]*946leased on a $75,000 bond pending sentencing. The district court found that Affleck did not pose a danger to others or to the community, and that he was not likely to flee.

On November 16, Affleck was sentenced to ten years’ imprisonment and five years’ probation. On November 19, Affleck filed a notice of appeal. On November 20 the district court, in response to Affleck’s ex parte motion, stayed execution of the sentence upon filing of the same bond maintained by Affleck during the trial. The district court found that Affleck posed “no immediate threat of fleeing during appeal and no immediate danger to society during that period.” VIII R. 1438-39.

On November 21, the Government filed a motion in the district court to reconsider its order staying execution of Affleck’s sentence and ordering his release pending appeal, or in the alternative, to hold an expedited hearing and to make the findings to support such an order as required by 18 U.S.C. § 3143(b), as amended by the new Act. Section 203(a) of the Act changed the standards governing release of convicted defendants on bail pending appeal.

Under former 18 U.S.C. §§ 3146 and 3148, convicted defendants were entitled to release on bail pending appeal unless no one or more conditions of release would reasonably assure that they would not flee or pose a danger to any other person or to the community, or unless their appeal was frivolous or taken for purpose of delay. The burden was on the Government under the former law to show that the appeal was frivolous and was taken for purpose of delay; the defendant bore the burden of showing he would not flee and was not a danger to any person or the community. See also former Fed.R.App.P. 9(c). The Act changed the criteria for release on bail pending appeal and placed the burden on the convicted defendant to prove that he meets all the new criteria. Current 18 U.S.C. § 3143(b) provides as follows:

Release or Detention Pending Appeal by the Defendant. — The judicial officer shall order that a person who has been found guilty of an offense and sentenced to a term of imprisonment, and who has filed an appeal or a petition for a writ of certiorari, be detained, unless the judicial officer finds—
(1) by clear and convincing evidence that the person is not likely to flee or pose a danger to the safety of any other person or the community if released pursuant to section 3142(b) or (c); and
(2) that the appeal is not for purpose of delay and raises a substantial question of law or fact likely to result in reversal or an order for a new trial.

Act § 203(a), 98 Stat. 1981-82 (emphasis added); see also Fed.R.App.P. 9(c), as amended by Act § 210, 98 Stat. 1987.

Affleck principally argued below that he was entitled to bail pending appeal because the former law entitled him to that relief, and that application to him of the new Act would violate the ex post facto clause. After a hearing, the district court on December 11 vacated its earlier order. The court held that Affleck had established by clear and convincing evidence under § 3143(b)(1) that he was not likely to flee or pose a danger to the safety of any other person or to the community if he were released on a $75,000 bond pending appeal. The court also held that Affleck had established that his appeal was not taken for purpose of delay under § 3143(b)(2). The court denied bail, however, because Affleck did not establish that his appeal raised a substantial question of law or fact likely to result in reversal or an order for a new trial under § 3143(b)(2). VIII R. 1490. The court also held that application of the new criteria of § 3143(b) to deny Affleck bail pending appeal did not violate the ex post facto clause, even though he would have been entitled to bail under the law in effect when the offenses were committed and when the guilty verdicts were returned. Id. at 1491-95.

B. Kowalik

Defendant Frank Kowalik, Jr. was convicted in the District of Colorado on September 19, 1984 after a jury trial of two [947]*947counts of willfully failing to file federal income tax returns in violation of I.R.C. § 7203. On November 14 the district court sentenced Kowalik to one year of imprisonment and a $10,000 fine on each count. The district court on that date also ordered Kowalik’s release pending appeal upon filing of a $20,000 bond. The court found that Kowalik did not pose a danger to the community and was not likely to flee. I R. 123.

Also on November 14 Kowalik filed a notice of appeal and sought release on the appeal bond, but the magistrate concluded that release was inappropriate absent findings by the district court under § 3143(b). Kowalik principally argued that he was entitled to bail pending appeal under the former law. He also contended that he raised substantial questions likely to result in reversal or an order for a new trial under the new Act. He argued that the trial court erred in its instructions because they did not properly treat his defenses of not willfully and knowingly intending a violation of the tax law, and that the instructions did not properly cover the effect of evidence from his character witnesses. After a hearing on November 15, the district court vacated its earlier order permitting Kowalik to be released on bail pending appeal. The court found that Kowalik had established by clear and convincing evidence under § 3143(b)(2) that he was not a threat to any other person or to the community and was not likely to flee. IX R. 4-5. However, the court held that Kowa-lik’s appeal did not raise a substantial question of law or fact likely to result in reversal or an order for a new trial under § 3143(b)(2), and denied bail. Id. at 3.

C. Proceedings in this court

Both Affleck and Kowalik challenge the district courts’ denial of their motions for release pending appeal.

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Bluebook (online)
765 F.2d 944, 1985 U.S. App. LEXIS 31301, 53 U.S.L.W. 2628, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-grant-c-affleck-united-states-of-america-v-frank-ca10-1985.