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Victor
Harry FEGUER
The Michigan native drifted into Dubuque, Iowa, in the summer of
1960, renting a room at a decrepit rooming house in town. On the
night of July 11, he phoned Edward Bartels seeking help for a woman
he claimed needed medical attention. The courts believed that the
doctor was chosen at random from the local yellow pages.
Feguer kidnapped the 34-year old husband and
father and murdered him in Illinois with a single gunshot to the
head. Several days later, Feguer was arrested in Montgomery,
Alabama, attempting to sell the doctor's car. By crossing state
lines, Feguer had committed a federal offense.
After his arrest, Feguer claimed another man — a
Chicago drug addict Feguer met in Dubuque — killed the doctor.
Feguer claimed he then killed that man and dumped the body in the
Mississippi River. Authorities never found a trace of the alleged
killer.
Feguer was tried and convicted in federal court
and sentenced to hang. His appeal was denied and only clemency from
then President John F. Kennedy could have spared his life.
White was with Iowa Governor Harold Hughes, when
the governor phoned Kennedy to ask that Feguer's sentence be
commuted. The president deemed the actions "so brutal" that the
request for clemency was denied.
'A Model Prisoner'
Feguer was brought to Fort Madison, Iowa, on
March 5, 1963, to await execution and held on the state
penitentiary's death row.
Jim Menke, a prison captain who has since retired,
spent much of those 10 days guarding Feguer and attending to his
basic needs.
Menke could recall no memorable conversations
with the prisoner, and certainly no death row confession. Menke and
three other prison officers assigned to Feguer made sure he was fed,
bathed and received his medication. At about the same time, Truman
Capote documented the Kansas murders of the Clutter family in his
book In Cold Blood, and elevated a couple of drifters named
Dick and Perry to near mythic status.
But Feguer seemed destined for obscurity.
"He was a model prisoner, never complained much,"
Menke said. "There was friendly conversation, I didn't know anything
about him, didn't know if he even had a family. The execution itself
was pretty uneventful."
Menke and a Catholic priest kept an all-night
vigil by Feguer's cell. Between 4 and 5 a.m. on March 15, Menke gave
the prisoner a suit to change into before the execution. He and
another officer escorted Feguer on his final walk to the gallows,
but didn't actually witness the hanging at dawn.
Feguer was buried in a small unmarked grave in
Fort Madison, and quickly forgotten, until now.
CourtTV.com
302 F.2d 214
Federal Circuits, Eighth Circuit
Docket number: 16739
April 16, 1962
BLACKMUN, Circuit Judge.
This is an appeal in forma poauperis from a
judgment and sentence of death.
Victor Harry Feguer on August 9, 1960, by
indictment returned in the Northern District of Iowa, was charged with
a violation of the Kidnapping Act, 18 U.S.C. 1201(a), in that on or
about July 11, 1960, he knowingly transported Edward Roy Bartels in
interstate commerce from Iowa to Illinois, after the latter was
unlawfully kidnapped and held, and in that the victim was not
liberated unharmed. Feguer pleaded not guilty. The defense of insanity
was noticed. The jury trial from March 1 to 12, 1961, resulted in a
verdict of guilty and, as authorized by 1201(a), in the jury's
recommendation that the defendant be punished by death. Accordingly,
and pursuant to 18 U.S.C. 3566 and to 792.9 of the Code of Iowa, 1958,
I.C.A., a sentence of death by hanging was imposed. This appeal
followed.
Edward Roy Bartels, 35 years of age, was a
physician engaged in general practice in Dubuque, Iowa. He left his
home on Monday evening, July 11, 1960, in response to a telephone
request for medical assistance. He did not return. His body was found
on the early morning of July 21 in a wooded rural area some 5 miles
across the Mississippi River in Illinois. He had been killed by a
bullet which entered the back of his head.
After what appears from the record to have been an
exhaustively and well tried case, with meticulous attention given it
by counsel for both sides and by the trial judge, nine issues emerge
on appeal. They are, in substance, that the district court committed
reversible error
1. In finding that the defendant was mentally
competent to stand trial;
2. In refusing to issue subpoenas for two
psychiatrists as defense witnesses at government expense;
3. In asking questions on the insanity issue,
embracing the concept of right and wrong plus irresistible impulse, of
a court appointed psychiatrist witness, and in permitting similar
inquiry, through hypothetical questions, of a psychiatrist called by
the government in rebuttal;4. In refusing instructions requested by
the defense on the insanity issue in line with the Durham rule and the
American Law Institute suggestions;
5. In denying defense motions for the suppression
and return of evidence seized in Alabama;
6. In denying a defense motion for the suppression
of evidence seized in Dubuque;
7. In denying a defense motion to suppress certain
statements of the defendant;
8. In foreclosing certain comments on capital
punishment in the closing argument for the defense; and
9. In not foreclosing certain comments in the
closing arguments for the prosecution.
All these issues, with an exception as to point 9,
were preserved by appropriate objection during the trial. In addition,
the defense moved for judgment of acquittal, under Rule 29, F.R.Cr.P.,
18 U.S.C.A., at the conclusion of the government's case and again at
the close of all the evidence. These motions were denied.
It is perhaps unnecessary to say that when a
criminal case involving the ultimate penalty which the law can impose
comes before an appellate court for review, that court has an
obligation, serious and profound, to examine with care every point of
substance raised by the defense and to acquaint itself intimately with
the details of the record. This is especially so where, as here, the
case concerns both an emotionally offensive act and many facets of the
criminal law which today are particularly sensitive. We have had this
obligation in mind as we worked on this record and the briefs.
We note initially that there is little dispute as
to many of the facts or as to the sufficiency of the evidence (including
that on the insanity issue), if it was properly admitted, to sustain
the jury's verdict of guilty. Specifically, there is now no real
dispute that this defendant was the kidnapper of Dr. Bartels and is
the person who shot and killed the doctor in Jo Daviess County,
Illinois, on the night of July 11, 1960.1
The real controversy centers around the admissibility of much of the
evidence. The nine issues thus narrow and coalesce themselves into
general questions having to do with (1) the defendant's competency to
stand trial, (2) his defense of insanity or, as is sometimes said, his
responsibility for his act, and (3e the fairness of the trial itself.
We turn to the facts which, perhaps, we cover in
too much detail. We do this so that the entire story, with all of its
implications, may be apparent.
The defendant's background. Feguer was born in
Michigan in 1935 and was 25 years of age at the time of the crime. His
mother died after a short illness in 1941 when he was about 6.
Although his father was living, he went to stay with his paternal
grandparents. They apparently were good to the defendant but they
permitted him to do about as he pleased. As he grew older the
defendant ran around and at times would stay away from home. His
father was addicted to drink; after the death of the defendant's
mother he joined the Navy for two years. When the defendant was 11,
his uncle (his mother's brother) felt the grandparents' home was not
very good for him and asked the boy to live with him. He did so for
three weeks. About this time he took money from the grandfather and
bought a motor scooter. His father was living with a woman elsewhere
and the defendant went to stay with them. He was there a few weeks and
returned to the grandparents for a short time. He was placed in a
juvenile home where he stayed two months. The proprietor suggested
that the uncle and his wife provide a home for him but they felt they
could not do so because of the size of their own family. He stayed
with an aunt who was working in Lansing. He did not attend school and
was placed in a home for boys. He apparently came down with
tuberculosis and was hospitalized for nine months.
Up to this time, age 16, he had experienced little
formal difficulty with the law but he had been involved in minor
thefts. However, in May 1951, shortly after his release from the boys'
home, he was convicted of burglary and car theft and sentenced to the
Michigan State Prison at Jackson. He was there until paroled in August
1955. He went to live with another uncle. The first uncle, during this
period, provided him with $50 spending money a week to enable him to
buy clothes and get around to seek work; this was paid through the
probation officer. The amount, at the suggestion of the officer, was
lowered to $40 a week. On one occasion during this period additional
money was given the defendant because he said his father had taken
funds from him. In late 195 he was again convicted of car theft and
was returned to the state prison. He was finally discharged there on
April 14, 1960.
On May 28 he obtained employment with a janitorial
service in Milwaukee and was there until June 18. He was eventually
discharged because 'it was a case of a lot of standing around, talking,
and not applying himself' and 'there were a lot of areas that were
never touched'. On June 18 while still working for the janitorial
service, he answered an ad for a manager of a Milwaukee rooming house
just acquired by a new owner. He was employed. During the last part of
June he collected rents, gave receipts and kept stub records. When
under supervision he did his work adequately though grudgingly and
when not under supervision his work was described as sub-standard. He
lived on the premises. He drank on the job. The owner's son did not
regard him as highly reliable and would not have given him a job in
his accounting firm, but he felt that the defendant was not a danger
for the family's interest in the kind of work he was doing. He left
without notice about July 8, taking $55 in rent money with him. He was
not bonded. He had been given a bond application to fill out about
July 6 but left without completing it. Some aparemtn keys were missing
when he left.
During this time the defendant opened a checking
account at the First Wisconsin National Bank, Milwaukee, and obtained
personalized checks bearing his name 'Victor H. Feguer'. On July 2 he
drew one of these checks in favor of Becker's Sporting Goods Store,
Waukesha, Wisconsin, in the amount of $37.20. This check was paid. It
was used to purchase a Browning designed .380 automatic
Czechoslovakian-made hand gun and cartridges for it.
On Thursday, July 7, in the early evening, the
defendant arrived by bus in Dubuque, Iowa. He hired a cab to go from
the bus station to a rooming house at 1004 Bluff Street. That evening
the wife of the owner of the rooming house had received a telephone
call in response to her newspaper ad about a vacant room. She drove to
the house and found the defendant waiting for her on the front steps.
He rented the room. He told her he was an artist and accountant on
vacation for a month and that he wanted to work in the room and to do
some painting. He said his name was Sam Newman. She issued a $6
receipt to him in that name for a week's rent paid in cash.
On July 8 the defendant called at a used car lot in
Dubuque. He looked at an automobile there and rode in it with the
salesman. He identified himself as Sam Newman and said he was from
Milwaukee and was in Dubuque because he had had trouble with his wife.
They arrived at a price of $1,000 for the car. The defendant offered a
personalized check in payment but the salesman refused to accept it
until it had cleared. The salesman noted the name Feguer on the check
but the defendant explained that he was a commercial artist and that
the name Newman looked better in print than the other name. The
defendant then indicated he had changed his mind about buying the car
but said that he would be back the next morning.
On Saturday, July 9, the defendant stopped at a
finance company in downtown Dubuque to discuss an automobile loan.
This was refused because he was not employed and he had just come from
out of town. He was told, however, to come back if he could get a
Dubuque job-holder as co-signer. He took some shirts and trousers to
the Dubuque Laundry Service. He gave the name of Newman there and
asked that the work be done quickly. About this time2
he cased most of the loan offices in Dubuque with the idea of
committing a burglary.
On the evening of July 9 William Lloyd Howes of
Dubuque took his girl to a nine o'clock show. They drove downtown in
his automobile and parked it at the curb. Howes threw the keys in the
glove compartment. The compartment also contained a packet with his
draft card, driver's license, social security card, and an insurance
card, all bearing Howes' name. When Howes and his companion returned
the car was gone. It was recovered the next morning but the keys and
card packet were missing. The car had traveled about 35 miles and was
muddy. The defendant after his arrest stated3
to federal agents that on the evening of July 9 he and a companion,
Alex Dupree, were standing on a corner when the Howes car drove up;
that a man and a woman got out of the car; that Alex noted the man had
thrown something into the glove compartment; that they entered the car
and found the keys and identification material; and that they drove
the car around for an hour and then abandoned it.
On Saturday morning, July 10, the defendant
purchased milk and other food at a grocery store. On the 11th he
cashed a check at a Dubuque bank. This was for $6 and was drawn on his
Milwaukee account. It was paid and was the last check honored on that
account. Its payment reduced the defendant's balance to $2.59. He
returned later on the same day with a $65 check. The girl teller
refused to cash it without an officer's approval. The defendant
consulted an officer who asked him if he knew anyone in the city. He
said he knew a parish priest. The officer said that if the priest
would indorse the check it would be cashed.
The defendant stopped in at the Modern Music Store.
He spent an hour looking at radios and finally chose one. He offered a
check in payment. This at first was refused. At the defendant's
suggestion the Milwaukee bank was called and the account number was
verified. His check for $95.82 to cover the radio, batteries and the
call was then accepted The defendant went to the De Maio Brothers Shoe
Store. The proprietor waited on him. He selected a pair of shoes and
offered a check in payment. He said he was from Milwaukee, was
vacationing in Dubuque, and was staying at 1004 Blff Street. The
proprietor's niece took over the transaction at this point. They
kidded back and forth about people trying to pass bad checks. The
check was accepted. The niece said she approved it because the
defendant had given a Dubuque address and an assurance that he would
be in town for a while. The defendant went to Enzler's Luggage Shop.
His check in payment for luggage was refused. He returned to the
Dubuque Laundry but his things were not ready. He went to the Penney
Store and bought a suit and a pair of trousers and paid for them with
another check for $39.74.
The evening of July 11. About 7:00 p.m. a telephone
call was received at the Bartels home in Dubuque. Mrs. Bartels
answered. The caller asked for Dr. Bartels and identified himself as a
Mr. Stevens. She summoned her husband. The caller stated that he and
his wife were visiting in Dubuque; that his wife had had surgery; that
she was suffering post-operative pain for which she had been taking
medication; and that she was at an address on Locust Street at which
there was no telephone. Dr. Bartels agreed to come and left his home
about 7:30 p.m. He wrote the address '1134 Locust Ed Stevens' by the
telephone so his wife would know where to reach him if necessary. He
carried a billfold with currency, his identification cards, and his
drivers license. He drove off in his 1959 two-door blue-grey Nash
Rambler automobile.
The following account was given by the defendant to
federal agents after his arrest:4
On the evening of July 11, he wanted to get in touch with a general
practitioner because that kind of physician would be more likely to
have morphine or demerol needed by the defendant's companion. This
companion was Alex Dupree and he was with him at a room he had rented
at 1004 Bluff Street. He, the defendant, went to a nearby drug store
and looked at the yellow pages of the telephone book. The first name
listed was that of a surgeon. The second name was that of Dr. Bartels.
He called the doctor's residence. A woman answered and summoned the
doctor. He told the doctor his wife had been under home treatment with
demerol. He gave the doctor a Locust Street address. The doctor
arrived there driving a Rambler. The defendant met him and told the
doctor they had been visiting friends at that address but because of
his wife's illness she had returned to their residence. He got in the
car with the doctor and directed him to 1004 Bluff Street. They went
up to the rear bedroom on the second floor. Alex was in bed. He, the
defendant, pulled a gun on the doctor there and told him that they did
not intend to kill him. The three left the house with the defendant
holding the gun under a paper. They entered the car. He told the
doctor to drive through the business district of Dubuque. The doctor
blinked his lights on the way. The defendant told him to keep them on
low beam and if he tried any funny business he would kill him. He
directed the doctor to highway 20 and east across the bridge to East
Dubuque, Illinois, and on into the countryside. He told the doctor to
drive down a side lane. This, however, ended in a farmstead. They
returned to the highway and continued east. They turned off to the
left. A mile and a half down this road he told the doctor to stop. He
and the doctor got out of the car. The doctor was very nervous during
the trip and many times asked if he was going to be killed. He tried
to assure the doctor that he was not. When they stopped he told the
doctor to take some pills for his nervousness and he obeyed. The area
there was not suitable for leaving the doctor so they went down the
road another mile or so where there was a line of trees over a slight
rise. Here the three got out of the car, crossed a fence, and walked
through a corn field to the wooded area. He told the doctor they were
going to tie him up and that later he would call the doctor's wife and
later still the state police and let them know where he was. The
defendant then knew he was already involved in a kidnapping and didn't
want a murder on his hands. At this time Alex had the gun. Alex shot
the doctor behind the ear and he fell. Alex took the billfold from the
doctor and pulled the body farther into the brush. He and Alex
returned to the car and he took the gun from Alex. He drove the car
back to Dubuque. On the way they stopped at a tavern. They went to the
rooming house and got their bags. He then stopped at a telephone,
called the doctor's residence, and told the woman who answered that
the doctor would be detained over night. The defendant also went on to
tell of his shooting Alex, putting his body into the car's trunk,
throwing him into the river at East Dubuque, disposing of bloody
blankets and his own bloody shirt, and driving on to Chicago.
A witness identified the defendant as the person
who used the public pay telephone at Holscher's Pharmacy at 11th and
Main, one block north and one block east of 1004 Bluff Street, in
Dubuque, around 7:00 p.m. on July 11, and who spoke in that
conversation of his sick wife. The defendant's right thumb print was
found in the telephone directory, chained at this telephone, upon the
page opposite the one which contained the list of Dubuque physicians.
Dr. Bartels' name and telephone numbers were second on that list. A
witness who lived at 1022 Bluff Street, which is part of a triplex
with 1004 Bluff, saw the defendant and a person he identified as Dr.
Bartels enter 1004 Bluff about 7:20 p.m. and emerge about 8:00 p.m.
The man with the defendant was carrying a bag and a stethoscope. They
then drove by in a small blue-grey car, with the doctor driving. A
part-time employee at a hospital which the doctor used saw him shortly
before 8:00 p.m. The employee was parking her car on Bluff Street and
saw the doctor coming up the street with another man. The employee got
out of her car and greeted the doctor. The doctor responded with a
loud 'hello' and with an appearance which the witness described as 'a
look of fear'. The employee identified the defendant as the man
accompanying the doctor.
When the doctor's body was later discovered, two
rows of footprints, not three, were still visible across the corn
field and approaching the wooded area where the body lay, and only one
pair, not two, went in the opposite direction and approached the road.
The events after July 11 and prior to the arrest.
At 8:00 a.m. on July 12 the defendant registered at the Roosevelt
Hotel in Gary, Indiana, under the name of J. C. Austin of Evanston,
Illinois.
On the evening of July 12 the Dubuque police
searched the room the defendant had occupied at 1004 Bluff Street.
They found a Quality Cleaners slip, dated July 8, in the name of
Newman, for a pair of pants; a printed addressed envelope for the
First Wisconsin National Bank, Milwaukee; a Wisconsin State Employment
Service card issued to Victor H. Feguer; the identification portion of
a Central Greyhound Lines bus ticket; oen die with a horseshoe
insignia; a Dubuque Laundry slip in the name of Newman; the room's
rental receipt issued to Sam Newman; and fragments which Howes
recognized as the identification in his key case.5
In the forenoon of July 13 the defendant appeared
with a 1959 Nash at a used car lot in Gary. He introduced himself as
Dr. Edward Bartels from Dubuque and produced the 1959 registration for
the automobile. He stated he wanted to 'trade down', that is, turn the
car in for an older less expensive car plus cash. He could not,
however, locate the title and in the presence of the salesman he
searched his wallet and envelopes in the car's glove compartment. The
salesman suggested the defendant call his wife and if she would mail
the title card he would make the exchange. The defendant was reluctant
to do this and the deal was not closed. The salesman described the
proposed transaction as 'fabulous'.
On the 16th the defendant cashed small checks in
Dr. Bartels' name at three Gary filling stations. On two of these
occasions he had a stethoscope around his neck. On all he used the
doctor's identification material. On the same afternoon he bought
clothing at the Penney Store with a check in the doctor's name. Later
he attempted to purchase an $80 watch at the Busch Jewelry Company. He
asked for a blank check. One was offered and he filled it out. The
manager gave him a receipt but told him he could have the watch on
Monday when the check had cleared. The defendant did not return. His
dirty appearance, his not seeming to be a doctor, the manager's
recognition that the Gary address he gave was nonexistent, his asking
for a check late on a Saturday, and his story that he had just come to
town and yet wanted a watch immediately made the manager suspicious.
Jack Hoard Hale, a twice-convicted felon and then
in the Atlanta penitentiary, testified as a court witness at the trial.
He gave the following account: He met the defendant on the street in
Gary during the day of July 15. He 'bummed' the defendant for a drink.
The defendant bought him a drink and gave him money. They went
together to a beach on Lake Michigan where they swam and fired a few
shots with a pistol the defendant had. They returned to town for more
drinks. Hale had no place to stay and spent the night with the
defendant in his hotel room. The defendant had a Nash with Iowa plates.
He had no luggage but did have a physician's bag. On the 16th they
went out to cash checks. An A & P store would not accept one. They
went to a Penney store where the defendant bought some clothing with a
check. They went to three oil stations where checks were cashed. The
defendant used his stethoscope and Dr. Bartels' name in doing this.
Hale warned him that his license number would be placed on the checks.
The defendant said he did not care for the car was stolen anyway. They
cleaned up and put on the new clothing. They picked up the doctor's
bag at the hotel but left other clothing there and drove that night to
Holland, Michigan. They arrived there early on the 17th and rented a
tourist room. They went to the beach for an hour and returned to the
room and slept. They went out that evening for something to eat and
drink and stayed in the room that night. On the morning of the 18th
they went to Grand Rapids. They had the stethoscope with them but left
the bag at Holland. They tried unsuccessfully to get some blank checks
in Grand Rapids. Hale bought a Grand Rapids newspaper for July 18 and
saw on the front page a story with a Dubuque dateline about the
disappearance of Dr. Bartels and stating that he had been seen in the
company of Victor H. Feguer. Hale showed the paper to the defendant as
they were getting gas. The defendant told Hal that his name was not
Feguer but was Newman and that he had persuaded the doctor to come out
on a call, had held a gun on him, had taken him out to a wooded area
on the highway and had left him with his buddy while the defendant
took the doctor's car. The defendant said that he did not know where
the doctor was and that his buddy had him and was holding him for
ransom. Hale told him that he did not want to get mixed up in anything
like that and did not want to stay with the car. The defendant said
that they were not going to take him alive and that Hale's
fingerprints would be on the car and he would be implicated. The
defendant asked him to help steal some license plates. Hale at first
refused and waited in a tavern. The defendant returned and said he
needed someone to watch while he took a front plate off another Nash
Rambler. Hale went out with him to a parking lot where the other car
was. Hale got the front plate off and put it on their car. The
defendant did the same with the rear plate. Dr. Bartels'
identification was destroyed at a service station restroom. They
returned to Holland and the defendant got the bag. They then headed
for Birmingham, Alabama, leaving about 9:00 p.m., the evening of July
18. They drove straight through and reached Birmingham about 6:00 p.m.
on July 19. On the way Hale, at the defendant's instructions broke up
the Iowa plates and threw them away a piece at a time. The defendant
had the gun on the seat beside him on this trip. He told Hale that if
they were stopped he would try to outtalk the police and, if necessary,
shoot it out with them and that Hale was to tell the police the
defendant's name was Howie. On the way the defendant asked Hale if
Alabama was a title state for automobiles. In Birmingham they checked
in at the Ansley Hotel where Hale registered them as 'Jack Jason and
Bro.' They bought beer, took baths, and went to bed. The next morning,
the 20th, they went to several used car lots in an attempt to sell the
automoble and were arrested by the FBI.
The 1959 Nash from which the Michigan plates were
taken was owned by the City of Grand Rapids. The disappearance of the
plates was noted by the city vehicle supervisor late on July 19. He
reported it to the police. The plates in question were 1959 plates No.
X-23831 with a 1960 tag and an additional city tag. The 'X' insignia
was used for plates issued to Michigan municipalities.
On July 22, shortly after midnight, the Austin room
at the Roosevelt Hotel in Gary was examined by a federal agent
accompanied by the hotel manager. Clothing, the defendant's suitcase,
the mate to the horseshoe die, and the pair of old shoes the defendant
had worn into the De Maio shoe store in Dubuque were found there.
The arrest and events immediately thereafter. On
July 208 1960, a complaint was filed in the Northern District of Iowa
charging the defendant, in violation of 18 U.S.C. 1073, with
interstate flight to avoid prosecution for kidnapping and a warrant
for the defendant's arrest was issued. Information as to this warrant,
however, was not received by federal agents in Birmingham until about
5:00 p.m. on July 20. That day and its successors produced the
following events chronologically:
At about 10:30 a.m. the Birmingham FBI office
received a telephone call from J. B. Alford, manager of a used car lot
in that city. Alford stated that a man had just been in his lot
attempting to sell at a below-normal price a 1959 Nash Rambler with
Michigan plates; that he had seen in a local newspaper a photograph of
a person named Smith Gerald Hudson who at that time was a federal
fugitive; and that it was possible the man driving this automobile was
Hudson. He further stated that the man did not have a title for the
car so the purchase was not made. The FBI then called other used car
dealers in the area and told them of this attempt to sell the Nash.
Four other dealers said that such a car had also appeared at their
lots.
Hudson had been convicted of murder and other
crimes and was charged with interstate flight to avoid confinement
after the murder conviction. A warrant for his arrest had been issued
on August 26, 1957, by the United States District Court for the Middle
District of Pennsylvania and was still outstanding. He was on the list
of the ten men most wanted by the federal authorities. A current FBI
circular carrying Hudson's photograph and fingerprints and other
descriptive material contained a precautionary notice that he should
be considered armed and dangerous.
After Alford's call instructions as to Hudson and
his possible presence in Birmingham were broadcast by the FBI to their
men in the area. A special agent went to see Alford. He carried a
photograph of Hudson without glasses. Alford stated that if glasses
had not been worn by the driver of the Nash he would look very much
like Hudson. Two others at the lost said the same thing. The man had
told one of these salesmen that he wanted to trade down the car but
that he didn't carry the title papers because if the car were stolen
the thief would thereby have the papers and could sell it. On the
basis of all this Alford had called the FBI office. The same agent
called at some of the other places where the Nash had been seen. He
talked to about fifteen people. Eight of these had seen the men in the
Nash well enough to comment about their similarity to Hudson when the
latter's picture was displayed. Three of these identified the driver
as Hudson; three others thought the passenger in the Nash looked like
Hudson.
Shortly before 1:00 p.m. the Nash was reported to
be in a neighboring area. By radio control FBI cars closed in and
first observed the Nash parked in front of an automobile parts and
junk yard. Only one man was in the car; he was in the right front seat.
The defendant came out of the yard, entered the Nash, and drove it out
from the parking place. As the Nash pulled into the parking area of
another junk yard four FBI cars with seven agents converged on it and
blocked it, and agents, with guns drawn, stated that they were from
the FBI and ordered the two occupants to come out of the Nash and to
be braced against it. This was at approximately 1:30 p.m. The
defendant was frisked. This led to the discovery of several .38
caliber cartridges in his left pocket. The was asked where the gun was
and he replied, 'On the seat'. An agent saw and picked up the gun from
the front seat of the car. It was loaded. The defendant was then
handcuffed. He said his name was Howes. The agents had with them
Hudson's identification card and fingerprints. They looked at the
fingers of the two men and concluded that neither was Hudson. The
handcuffs were then removed. The agent then in charge advised the
defendant that he did not have to talk, that he had the right to
consult a lawyer, and that any statement he made could be used against
him. One of the agents noticed a physician's bag on the back seat of
the car and asked the defendant what he was doing with it. He said a
doctor had given it to him on a gambling debt and that the doctor was
an alcoholic and an addict. Another agent, who had been stationed in
Michigan during military service, had observed the license plates and
noticed the 'X' preceding the numerals. He knew, from his Michigan
experience, that a Michigan plate of that year with that kind of
symbol was one issued to a municipality. He gave this information to
the other agents. The Grand Rapids city tag on the car had also been
noted. The defendant was asked if he was an employee of the City of
Grand Rapids. He replied that he was not.
The head agent asked the defendant if he would come
to the FBI office. The defendant said he would and that 'You can check
all you want to and you will find that this car is legitimate, it's
perfectly registered to me, and it is my car'. Hale also agreed to go.
This was apparently a voluntary action on the part of both of them but
the agent then in charge later stated that had the defendant refused
to come they would have taken him in anyway. With the defendant's
stated permission, an agent drove the Nash back to the office, parked
it in the street and, on instructions, brought the doctor's bag up to
the office where it was examined and tagged.
At the office, about 2:00 p.m., the defendant was
interviewed, fingerprinted, photographed and checked against
identifications of other men wanted by the FBI. He continued to
identify himself as Howes. He produced Howes' driver's license and
cards. The agent then in charge instructed another to go down to the
street to examine the Nash. The serial, motor, and license numbers and
tags were noted and this information was passed on to the Detroit
office. The car was not otherwise then subjected to a search. Detroit
returned the call about 3:15 p.m. and stated that they did not have a
stolen car report on the automobile but that the plates had been
reported stolen from a 1959 Nash belonging to the Grand Rapids health
department. The defendant was confronted with this information. He
then promptly admitted that his name was Feguer and, a little later,
that the car and the license plates were stolen. The agents took a
formal statement from him to this effect and he signed it.
About 3:15 p.m., after the defendant had admitted
the car to be stolen, two agents again went to it and brought back
various things found in it. These included a transmitter and 2 Missals
which were in the glove compartment, and a pillow case containing a
stethoscope, a receipt from the Busch Jewelry Company of Gary, a box
of .38 cartridges, road maps and other items. All these were taken
without a search warrant.
The information as to the defendant's name and the
fact the car was stolen was relayed to Detroit. This time Detroit
advised Birmingham that they understood a man by the name of Feguer
was wanted in Iowa for kidnapping and suggested that Birmingham call
the Omaha office for details.
The agent then in charge told the interviewers that
he had some information about a major crime but did not have the
details on it and that the interview should be held up until those
details were in. The interview with the defendant was then suspended
at approximately 4:00 p.m. An agent sat with the defendant until 6:00
p.m. but during that period no questions were asked of him. No threats,
promises or inducements had been made.
About 5:00 p.m. contact was made with the agent in
charge of the Omaha office. He was in Iowa at the time. He told
Birmingham of the issuance of the Iowa federal warrant. At 6:10 p.m.
the agents advised the defendant that he was under formal arrest on
the fugitive charge.
The sole United States Commissioner in Birmingham
at this time had an office in the Federal Building and was there daily
from 11 to 3. She resided some miles out of town but had no telephone
at the time. When the Birmingham office received the information about
the Iowa warrant the agent in charge immediately tried to get in touch
with the Commissioner and with the two United States district judges
in Birmingham at their offices in an attempt to arrange for a
preliminary examination under Rule 5, F.R.Cr.P. This was unsuccessful.
It was ascertained later that the Commissioner was on vacation. No
attempt was made to reach either judge at his home.
A furthe and long interview with the defendant
began about 6:10 p.m. This was conducted by the Special Agent in
Charge and by two others. The defendant was again advised that he was
not required to make a statement, that any statement could be used
against him in court, and that he had a right to consult an attorney.
The interview continued until 9:30 p.m. when it was recessed for 50
minutes. It was resumed at 10:20 and the defendant started making
admissions. He dictated a statement from 10:42 until 11:19. This was
then typed and completed at 12:57 a.m. At 1:05 a.m., after the
defendant had read the statement, he wrote a final paragraph in
longhand. The interview room was equipped with normal lights. The
defendant was seated during the interview and was not restrained. No
threats, promises or inducements were offered and no voices were
raised. The defendant left the office at 1:21 a.m. to go with two
agents to the county jail. No questions were asked of him at the jail.
He slept for three hours.
On the morning of July 21 the Assistant United
States Attorney for the Northern District of Alabama was asked to
arrange with one of the federal judges in the city for the preliminary
examination. The Honorable H. H. Grooms was the first judge who became
available that morning. A hearing was held in his courtroom about
10:45 a.m. The defendant was present. The court was advised that the
defendant was being held on a federal warrant out of Iowa charging
unlawful flight to avoid prosecution but that the warrant had not yet
been received. The court found Mr. Hugo L. Black, Jr., a competent
lawyer and one experienced in federal court matters, in the building
at the time. He was appointed to represent the defendant. Mr. Black
conferred with the defendant. The court made inquiry about the warrant,
set bond at $25,000, and continued the matter until the late afternoon
of the 22nd.
By the time of the court hearing scheduled for July
22 the papers from Iowa had still not arrived. The matter was
continued to Monday morning, July 25.
At 10:20 a.m. on July 23 Special Agents Dawson (from
Waterloo, Iowa) and Brown, neither of whom had been present at the
interview on the night of July 20, interviewed the defendant for about
three hours at the Birmingham jail. Dawson had not seen the defendant
prior to this interview but he was aware that the defendant had given
a statement the night of July 20. The agents did not have a copy of
that statement and it was not mentioned or referred to during the
interview. The agents who had conducted the interview of July 20 were
not present on July 23. The defendant again was initially advised that
he did not have to make a statement, that any statement he made could
be used against him, and that he had a right to counsel. At this
interview the defendant told his detailed story of the events of July
11 set out above. Here again the agents effected this interview
without knowledge of court and counsel.
By July 25 the awaited papers, including a federal
complaint on the kidnapping charge under 1201(a), had been received.
Mr. Black in the mean-time had advised the court that he would be out
of town on the 25th. His older partner, William Mitch, also a lawyer
with federal court experience, was appointed by the court and
represented the defendant at the hearing on the 25th. The kidnapping
complaint was read to the defendant. He waived hearing and signed his
consent to removal; a warrant of removal was issued. Later, after the
hearing, agent Dawson and two others called on the defendant at the
jail. They questioned him about Dupree and the claimed disposition of
his body at East Dubuque. This interview was without the knowledge of
Birmingham counsel and court.
Steps pertinent to the issue of competency to stand
trial. On July 25, the same day the last hearing was held in
Birmingham, the United States Attorney for the Northern District of
Iowa, because of information supplied by Michigan officials and in
connection with the warrant of arrest on the kidnapping charge, filed
with the Iowa federal court a motion, pursuant to 18 U.S.C. 4244, for
judicial determination of the defendant's mental competency and for
commitment of the defendant to a United States medical center for
examination. This motion was granted forthwith and the defendant was
committed to the center at Springfield, Missouri. He went there direct
from Birmingham. He was at Springfield for observation and psychiatric
evaluation from July 26 to August 19, when he was taken to Waterloo.
The indictment was returned, as noted above, on August 9.
On August 23 the defendant first appeared in
federal court in Waterloo for arraignment. The court read the
indictment to the defendant and told him that because the death
penalty could be imposed the charge was a very serious one. The court
also advised him of his right to counsel and of the court's
willingness to appoint counsel for him. The defendant stated that he
desired to retain his own counsel from Chicago and that he had funds
for this purpose but that 'in this particular proceeding, I think,
just to facilitate matters, that I can act in proper person'. Neither
Mr. Black nor Mr. Mitch was representing the defendant after his
departure from Birmingham. The hearing was then continued.
A report, transcribed August 15, of the examination
at Springfield was sent to the court. This was signed by 'Richard A.
Stamm, M.D., Staff Psychiatrist'. It recited the nature of the charge
against the defendant and that he was at Springfield for evaluation
and 'to obtain medical data concerning his ability to understand the
nature of the legal proceedings pending against him and his abilities
to assist counsel in his defense'. His background was reviewed. It
noted the patient's comments to the effect that he was never able to
receive the love he wanted from his father and felt an abyss in his
life for having no mother; that his youthful stealing was attributable
to resentment toward his father; that while he was in prison at
Jackson he was under almost constant homesexual pressure; that he read
Freud and books about Islam and Buddhism; and that he denied being or
ever having been mentally ill. It outlined medical comments (described
below) accumulated during the defendant's Michigan incarcerations. It
noted that the defendant maintained that he had a better chance of
avoiding a death penalty by being tried by the federal government than
by a state. It then observed that 'The patient is well oriented as to
time, place and person * * * His intelligence as judged by his rich
vocabulary and ability to handle ideas would seem to be in the
superior to very superior range. Emotionally he tries to keep himself
well controlled by being detached and intellectual about himself and
others. Occasionally he talks with a sneer of bitter, resigned hatred
toward a world that he feels has given him little pleasure * * * He
knows his behavior has been abnormal and has tried to relate it to his
childhood experiences * * * The patient demonstrates some
tremulousness as he alludes to the crime. The patient is knowledgeable
of court proceedings * * * He has been unable to internalize self-control.
He has been unable to adequately identify with socially acceptable
goals for his life. He has depended on institutional living to afford
him the controls that he lacks inside himself but apparently even in
institutions he has had to either isolate himself from other people to
avoid coming into direct conflict with them * * * Perhaps he also
chooses crime as a way of dealing with his problems because it affords
him a more justifiable reason to feel mistrust toward others and to
isolate himself from others'. Dr. Stamm's concluding diagnosis was
'000-x44, Paranoid Personality, Severe, Chronic. * * * I believe that
because of the nature and strength of his defenses, he is potentially
able to react psychotically to additional, special stress'.
The next hearing was at Waterloo on September 1.
The court noted that no counsel had appeared for the defendant and
repeated its advice that the court would appoint able and experienced
attorneys for him without any cost to him. The defendant stated, 'After
giving the matter careful consideration, I have decided to act in
proper person, exercising my own right to do so'. He said he
understood his right to court-appointed counsel. The court indicated
that he would appoint attorneys to confer with the defendant although
the defendant need not accept their services. It strongly recommended
against the defendant's acting on his own behalf. It then observed
that the Springfield report had been received and that the substance
of that report was that the examining psychiatrist felt the defendant
understood the nature of the charges and was competent to proceed to
trial. The court noted that in view of the report's contents no
hearing was required. It asked the defendant whether he wanted a
hearing. The defendant said, 'No, I don't feel it's necessary'. At the
request of government counsel the court advised the defendant that he
had the right to witnesses on his behalf at no cost to him. The
defendant stated that at that time he did not know whether he wanted
any witnesses called. The indictment was then again read to him. The
defendant stated that he had not been given a copy of the indictment.
A copy was given to him. He read it and said that he wished to plead
nolo contendere. Upon the court's refusal to accept that plea, he
pleaded not guilty. The court inquired as to whether there were any
other documents he would like to have. He said he wanted a copy of the
arrest warrant. He also asked about the bond posted in Alabama. The
court announced that in view of the Springfield report no hearing on
competency would be held. An order was entered whereby the court found
that the defendant was mentally capable of understanding the nature of
the proceedings against him and mentally competent to assist in his
own defense.
On September 2 the court formally noted that the
defendant had then asked that he be assigned counsel with whom he
might confer. On September 9 and 16 defense counsel were appointed.
On September 30 the United States attorney,
asserting that the government had reason to believe that the
defendant's sanity as of July 11, 1960, would be raised as an issue
requiring proof, moved for an order under Rule 28 to show cause why
qualified psychiatrists should not be appointed as expert witnesses.
At a hearing on October 15, at which defense counsel were in
attendance, the defendant, in response to the court's question to him,
stated that he was willing to have Judge Kildee appear for him and
that the representation by Judge Kildee and Mr. White had been
satisfactory so far. At the same hearing, the parties agreed in open
court that Dr. Stamm could be appointed as an expert witness. The
court so appointed him and ordered a further examination of the
defendant. The defendant was again transferred to Springfield. He
remained under observation there from October 25, 1960, to January 5,
1961. He was returned to Waterloo on January 11.
In the latter part of January the court received
the second Springfield report. This was signed 'For the Psychiatric
Staff: Richard A. Stamm, M.D., Staff Psychiatrist', and it stated that
'staff members present' were Drs. Settle, Sturgell and Stamm. The
report, dated January 5, referred to the charge against the defendant,
noted that his background and present illness were 'essentially
unchanged' from that described in the August report and further noted
that when the defendant was in the Iowa jail he went on a hunger
strike for about five days and accumulated contraband in his cell 'apparently
for the purpose of attempted escape'. It recited that the patient had
been interviewed by Dr. Stamm for approximately six hours during
November, December and January; that Dr. Stamm had been the patient's
ward doctor for about two weeks of that period; that the patient
continued to be tense and guarded and was controlling himself with
effort; that he was oriented as to time, place and person; that during
the interviews he was preoccupied thinking about what he sould or
should not tell the examiner; that he told of an instance where he
experienced the presence of his mother in his cell and his ability to
reach out and touch her dress; that he said this was a very real
experience for him; that he said he was worried that the examiner
might find him mentally ill; that he was able to talk about
superficial happenings in his life; that he refused to shave for a
time because, according to religious beliefs or philosophical
principles, this was a preparation for death; that he said that not
all people are human; that on 'the basis of his vocabulary and level
of ideation his intelligence seems to be in the high average to
superior range and remains essentially intact'; that institutional
personnel thought the patient was potentially assaultive and perhaps
suicidal although he made no suicidal gestures or communications; that
his adjustment and thinking processes showed a gradual deterioration
since his incarceration; that he had become more defensive and anxious
about himself; and that indications of a thinking disorder had become
more prominent. The diagnosis was:
'000-x 24 Schizophrenic Reaction, Paranoid Type, in
period of exacerbation, manifested by: Looseness of association in
thinking processes, inappropriate affect, hypersuspiciousness and
religiosity, hyperintellectualization and evidence suggestive of
hallucinations.'
The report also embraced an opinion regarding the
defendant's mental status on or about July 11, 1960. This included the
background material and the Michigan medical comments. It observed
that when the defendant was first seen in late July 'he showed no
gross evidences of psychosis'; that more recently there had been
evidences of 'severely unrealistic thinking'; that one must consider
some of this mental decompensation in the light of the severe
emotional pressure he was under by virtue of his uncertainty as to the
final disposition of his legal problem; that the defendant's behavior
'has been affected in some degree by a mental illness; that one could
assume that his schizophrenia had been affecting his behavior for many
years; that the degree of effect was more difficult to determine; that
'we have no definite evidence from the patient's past history or from
his present psychiatric examination that his thinking has been
impaired to a degree to render him incapable of understanding what is
legally right or wrong or the legal and physical consequences of his
actions'; that 'one could formulate that the patient had been
suffering a prolonged mental illness of a schizophrenic and
sociopathic type'; that during 'most or all of this illness he has
probably been able to consider the legal implications of his behavior
to the extent of present information about him'; and that 'the
possibility cannot be dismissed that a crime of violence on his part
could represent a sicker condition of mind than is usual for him, or
than has been identified in the past'.
The defense moved for a hearing, pursuant to 4244,
to determine the mental competency of the defendant to stand trial.
The hearing was held February 20. Dr. Stamm appeared as a court
witness. He was the only person who then testified. The hearing was
lengthy. The doctor was examined by the court and by counsel for both
sides. The two written reports were before the court. The record
discloses substantial prehearing comment between court and counsel.
The court stated to the United States Attorney that if, when Dr.
Stamm's examination was complete, 'you need time to summon other
witnesses, I am here. I have not set anything else this week because I
wanted to complete all these matters'. The court also said, 'We can go
as far as we can with Doctor Stamm and then we can continue the matter
until we get the thing handled the way it should be handled', and 'if
it is necessary to have other evidence, you can do it. I do not think
you are just bound by what the one witness said. You could have
extensive hearings * * * Counsel, in effect, state that his condition
has deteriorated since the * * * first examination was made * * * but,
I mean, this hearing is not restricted to just Doctor Stamm this
morning * * * He may not be the only witness heard, it depends upon
what develops, and the hearing is not limited to one witness * * *'.
Government counsel stated, 'That is what I wanted to maintain to keep
the record in condition so that we could go ahead with a little
further evidence'.
Dr. Stamm at this hearing testified that he was 33
years old; that he graduated from medical school in 1955; that he took
his internship the following year and post-doctorate residency in
psychiatry at the Menninger Foundation from 1956 to 1959; and that
since 1959 he had been at Springfield as a ward psychiatrist and as
assistant chief of the neuro-psychiatric service. The doctor
acknowledged that when the defendant was first examined they at
Springfield felt he was competent to stand trial. He stated that there
had been much antisocial behavior in the defendants's lifetime; that
he was seeing his environment in an unrealistic way; that they gave
him a diagnosis of paranoid personality which is 'simply that he has
an excessively suspicious type of personality'; that people with this
problem have difficulty in being able 'to relate them-selves to people
in a relaxed, friendly, trusting manner'; that they then saw other
trends in him which made them wonder whether under greater or more
prolonged stress 'he might not start acting psychotically to his
environment'; that the defendant felt lost; and that while some of
these symptoms would be expected to occur in a person in his position,
his suspiciousness seemed to be in excess of that ordinarily expected.
He went on to state that on the second examination some of these
tendencies became exaggerated; that this was more of degree than
quality; that the patient remained well oriented as to time, place and
person; that the casual observer 'would say that he was in contact
with reality and to this degree, he certainly was'; that as his
tension increased a thought disorder began to emerge; that he became 'overly
intellectualized', preoccupied with religious symbolism, and more
distrustful and unrealistic; that he would experience what seemed to
be visual hallucinations; that on the basis of the tests administered
a deterioration or an increase in his unrealistic thinking and
emotional confusion was in evidence; that on these symptoms they
diagnosed him as then suffering from a schizophrenic reaction of a
paranoid type; that this represented a further decompensation from the
earlier diagnosis of paranoid personality; that 'his understanding of
the nature of the legal proceedings pending against him and his
ability to assist counsel in his defense would be * * * more limited
than it had been in the past'; but that 'within the context of his
mental illness we still feel that he could probably * * * understand,
at least factually, the nature of the legal proceedings pending
against him'. To this point Dr. Stamm's examination, except as to his
qualifications, had been conducted by the court.
In the United States Attorney's examination the
doctor testified that he had never found the defendant when he was not
oriented as to time and place; that any patient at the institution is
expected to have a certain reluctance to discuss his case; that part
of this defendant's resistance was predicated on a thought disorder;
that evasiveness in responding to inquiries could be a normal reaction
but could also be an abnormal one; that they felt this defendant was
evasive because he was confused about the meaning of the crime and the
meaning of his present situation; that there is also some conscious
component to his evasiveness but, as well, some actual confusion of
thought; that the defendant's mental illness was more profound than
hysteria; that his mental illness was longstanding; that the defendant
had no real loyalties; that he was callous, hedonistic, emotionally
immature, and lacked a sense of responsibility and judgment to
rationalize behavior; that the doctor concluded he had hallucinations
'Only by what he has told me'; that he admitted to no auditory,
olfactory or taste hallucinations; that a patient cannot really lie
about himself to a psychiatrist; that the defendant was emotionally
confused; that this limited his being able to understand the nature of
the legal proceedings against him and his being able to assist counsel
in his own defense; that his thoughts were impaired; that the
difference between the first and the second examinations lay in his
hallucinations and in an exaggeration of the tendencies seen in the
first examination 'so that taking them all together his contact with
reality has become more tenuous'; that the point between the presence
and absence of schizophrenia is difficult to ascertain; that the
defendant, who was present at the court hearing 'knows probably where
he is and what we are talking about'; that he would have much
difficulty in being able to understand the nature of the legal
proceedings pending against him and in being able to assist counsel
because of his thinking disorder and emotional disorder; that his
ability may not be as great now as it was at some previous time; that
'I am not saying he has that ability. I don't know. Not being a lawyer,
I don't know'; and that the defendant does know what the charges are.
On the examination by defense counsel Dr. Stamm
stated that schizophrenia had elements of withdrawal from reality and
of a split between emotion and thinking; that it was usually of long
duration; that it was a way of living; that we all do this to an
extent; that it may become progressively worse or progressively better;
that the defendant might feel evasive and suspicious toward anyone in
authority including his attorneys; that his illness and thinking
disorder could result in his giving a false factual statement to his
lawyers; that schizophrenia was a very severe and serious mental
illness; that at the time of the first report the defendant was on the
verge of schizophrenia; that there was an apparent loss of memory
between the first and second examinations; that this would interfere
with his present ability to consult with his attorneys; and that the
opinions he was expressing were on behalf of all three doctors
comprising the staff group.
On further examination by the prosecution, Dr.
Stamm acknowledged that one did not have to be psychotic in order to
give his lawyers false statements or to be evasive. In response to
questions by the court, he said that this defendant 'is not a
completely deteriorated, disorganized person' but that he 'does have a
very severe thinking and emotional disorder which would severely limit
him from assisting counsel in his defense and rationally and factually
understanding the nature of the legal proceedings against him. In
comparing him to other patients that we see to make this
recommendation, I would think that he is probably incompetent, not
competent, to do the things that are required of him in the courtroom
study at the present time'.
At the conclusion of the hearing the court stated
that Dr. Stamm's evidence was submitted along with other evidence and
ruled from the bench that the defendant was able to understand the
proceedings against him, was able properly to assist in his own
defense, and was competent to stand trial. This was confirmed by
written order filed the same day.
Dr. Stamm was also a witness at this hearing. He
testified that when the defendant was at Springfield he was kept in
the hospital's maximum security unit and in the acute intensive
treatment ward; that these provide the patient with maximum
supervision under maximum security conditions; that while there he was
isolated from contact with other patients as much as possible; that
isolation might increase the defendant's psychiatric difficulties and
could accentuate the possibility of thought disorder, hostility,
suspiciousness and hallucinations; that the defendant had expressed a
preference to be back in Waterloo rather than in Springfield; that the
defendant on that day, March 10, 'seemed more relaxed than he had
seemed to be' in thier previous contact and that 'he had an easier
time in making a relationship with me'; but that this contact was for
only three or four minutes. On cross-examination by defense counsel he
stated that the hacksaw incident 'might possibly mean that the patient
was able to guide himself, his thinking and his behavior, toward a
short-range goal * * * that what we are seeing here is the patient
reintegrating himself well enough, at least, to go ahead and * * *
plan an escape attempt from the jail'. On redirect he stated that one
could infer that he had enough grasp of reality to procure the blade
and secrete it and to have the goal of escaping which would mean that
in this area 'he was in contact with reality in order to do these
things'.
At the same hearing, Dr. Frederick M. Stark, a
board certified physician specializing since 1949 in neurology and
psychiatry in Sioux City, Iowa, who that morning had been a witness at
the trial itself, also testified. He was shown the defense's pretrial
motions to suppress evidence, for return of property, for amendment of
motion to suppress, and for discovery and inspection, all of which had
been verified in writing by the defendant in January 1961 and three of
which contained as appended exhibits lists of property seized in
Birmingham. He was asked to assume that the verifications were true,
that the items listed on the exhibits were taken from the defendant in
July in Birmingham, that they were vital elements of evidence in the
trial, that if they were suppressed the defense would be most
materially aided, that present defense counsel never met the defendant
until after he had been returned to Iowa, and that the several motions
were all made subsequent to his second examination at Springfield. The
witness said that on these assumptions it was his opinion that the
defendant had capacity to aid counsel; that he knew what this evidence
meant; and that he had a rational as well as a factual understanding
and appreciation of the proceedings against him. The defense was given
the opportunity to present additional evidence on the subject but did
not do so.
On March 11 the court entered an order reciting 'that
it has been clearly established that during this trial and proceedings
prior thereto the defendant had the present ability to consult with
his attorneys with a reasonable degree of rational understanding and
has had a rational as well as a factual understanding of the
proceedings against him and that he has been and is competent to stand
trial and properly assist in his defense'.
Evidence on the Insanity Issue. At the trial itself
Dr. Stamm testified as a court witness. In response to questions from
the court he stated that, based solely upon his examination of the
defendant at Springfield from October 1960 to January 1961, he
believed the defendant to an extent knew right from wrong on July 11,
1960; that he had no reason to believe that the defendant did not know
the harmfulness of a criminal act; and that he had no evidence that he
had delusional thinking and to this extent he probably could have
resisted an impulse to hurt someone. On examination by defense counsel
he reviewed the defendant's background as his file disclosed it. He
said that the defendant had very hostile fantasies toward significant
people in his earlier life; that his entire social behavior was
symptomatic of this rebelliousness; that he made a diagnosis of
paranoid personality disorder, severe, chronic; that the defendant
acted inappropriately hostile to him; that this had to do with the
ability of the patient to assess the reality in which he was living;
that this was a symptom of a mental imbalance; that the patient was
extremely tense; that he possessed relative lack of tenderness or
warmth toward others; that paranoid personality is often very close to
being psychotic; that such a personality under conditions of stress
could move over into psychosis; and that a paranoid personality is one
who is suffering from a mental illness. The foregoing had to do with
the witness's first examination of the defendant.6
He testified that as to the second examination his diagnosis was
schizophrenic reaction, paranoid type; that schizophrenia is
considered to be a psychosis; that there are no known organic reasons
for schizophrenia; that he found symptoms of schizophrenia present,
namely, loosening of associations, inability at times to keep thoughts
in a straightforward coherence; hypersuspiciousness, religious
preoccupations, a touch hallucination, and emotional inappropriateness;
that he did not think the patient was consciously feigning this; that
the split between the intellectual life and the emotional life is the
root of schizophrenia; that he had much more opportunity to see the
defendant during the second examination than during the first; that
the defendant's psychosis was sufficiently severe to require treatment
in a mental hospital if he were a private patient; that the making of
schizophrenic illness is of long standing duration; that there are all
gradations of retreat from reality in schizophrenia; that the
defendant was autistic, that is, possessed of an excessive amount of
fantasy; and that this is often seen in schizophrenia. On examination
by the United States Attorney, Dr. Stamm stated that the defendant was
at all times under maximum security at Springfield; that he was aware
of the charges against him and why he was being held; that this was an
extremely stressful period for him; that he knew the doctor was a
government physician; that the physicians were never able to elicit
any clearcut, well-organized delusional system in the patient; that it
is normal for one in prison to be hostile and tense; that, however,
this was in excess in the defendant; that there was evidence of the
defendant's being a sociopath; that a sociopath was one who had
difficulties in getting along with society; that an habitual criminal
was a type of sociopath; that the defendant showed no evidence of
loyalty or true affection; that he was callous to the troubles and
rights of other people, immature, selfish and ungenerous; that he had
an ability to rationalize and justify his own behavior; that he
certainly used sociopathic defenses; and that maximum security
confinement at Springfield could very well have a pathological effect
on a normal person and increase stress.
The prosecution, in its rebuttal, called Dr. Stark.
He testified that a diagnosis of paranoid personality meant that the
patient was more suspicious and more distrustful of other people than
the normal person; that this was very common; that it did not imply a
psychotic condition; that these people were considered to be sane and
mentally competent; that it did not interfere with their self-control;
that a person of this character could develop a schizophrenic reaction,
paranoid type, and would then be considered psychotic; that a
borderline schizophrenic reaction was a condition where one had some
symptoms of schizophrenia but not severe enough to make a positive
diagnosis; that a sociopath was a person who acts out against society
and violates its moral standards; that many sociopaths would be
criminals; and that a sociopath could be one who was constantly in
trouble with the law, who had no regard or real feeling for others,
who did not profit from experience, who could rationalize his own
behavior and who had a poorly developed conscience. Dr. Stark was then
asked a record-based hypothetical question. Over objection the witness
stated as his opinion that on July 11, 1960, the defendant had the
reason and capacity to understand the difference between right and
wrong; that on that date he understood the nature and character of a
criminal act and its consequences; quences; and that at that time he
was not under the influence of an irresistible impulse.
On cross-examination Dr. Stark acknowledged that he
had not examined the defendant and had never seen him until the trial;
that it was possible for the sociopathic tendencies he described to
rest above an underlying schizophrenia; that when one said to be a
borderline schizophrenic is placed under additional stress he could go
into a schizophrenic state; and that it was not common but was
possible that underlying schizophrenia is masked. On redirect he
stated that it was possible for a borderline schizophrenic to
distinguish between right and wrong; that in most cases a borderline
schizophrenic would be referred to a hospital for treatment; that each
case had to be considered on its own; and that it was easy to confuse
the borderline schizophrenic reaction with an out-and-out sociopathic
reaction.
A former counsellor at the Jackson prison, called
as a defense witness, testified that he was a graduate of the School
of Police Administration at Michigan State University and possessed
credits toward a master's degree in psychology; that there were
approximately 3,500 inmates at the Jackson prison at any given time;
that there were ten counsellors for these men; that while he was there,
from December 1957 on, he had a personal case load of about 320
inmates; that his task was to become acquainted with the men, to
handle routine problems and to select those 'who you felt you could
work with and engage in counselling activities with'; that he saw the
defendant seven times; that the defendant had 'difficulty in relating
to other people' and was evasive and hard to get information from;
that he had a distant or remote attitude; that he was very polite and
reserved; that from an interview on October 30, 1959, he was of the
opinion that the defendant's mental condition (as distinguished from a
psychiatric diagnosis), based upon a note received from the defendant,
was confused and the defendant 'had internalized ideas and problems'
and confused thinking. On cross-examination he said that in his
experience it was usual and normal for prisoners to be evasive with
prison administrative personnel and suspicious of their motives. On
redirect he stated that as compared with other prisoners the defendant
possessed more inability to make contact.
Herbert Edwin Thomas, a 32-year old physician-psychiatrist,
was called as a witness for the defense. He had completed his
residence in psychiatry in June 1960 and since that time was director
of the psychiatric clinic at the Jackson prison. He testified that he
and one resident were the only psychiatrists for the entire Michigan
State Department of Corrections and had supervision over 9,000 men;
that of the men in the Jackson prison there were at least 700 who
would be immediately committed to a state hospital 'if there were any
facilities to take them'; that in February 1960 it had been more than
20 months since the prison had been able to transfer anyone to a state
hospital and if a prisoner were so transferred the hospital 'would
send me somebody in return'; that he saw the defendant once for about
twenty minutes on February 23, 1960; that this interview was 'to
determine for my own satisfaction whether he was so confused that he
literally, if allowed out of the prison, would not be able to find his
way around'; and that the prison records contained a note by the then
clinical psychologist that on June 2, 1951, when the defendant was
about 16 years old, he was referred for examination because 'he was
despondent over the recent suicidal attempt of his partner in crime'
and the 'only solution to his problem is to follow in the action of
his friend'. He said that the file also contained a report, dated
March 25, 1957, of a prison psychiatrist that the defendant had been
'in the disciplinary block' on innumerable occasions for serious
infractions such as carrying a weapon; that he came up with 'some
fantastic rationalizations about why he carries these weapons'; that
he was suspicious and paranoid relative to what had been going on
around him; that their psychologist felt he was a chronic paranoid
individual; that he tended to be over-literal, suspicious, guarded,
and defensive, 'ruminated at great length about whether he is or is
not insane', and used his tuberculosis to have himself relieved from a
stressful situation; and that 'this man is a borderline schizophrenic
reaction who, at best, makes an adjustment at a severe character
disorder level of psychopathic nature' and probably represents 'a
pseudo-psychopathic schizophrenia who seems to be deteriorating over
the years'. He also said that on July 2, 1957, the same physician
again interviewed the defendant and noted that he was upset about
having been put on a 'blue hold card' shortly after the last interview;
that he presumed the doctor had arranged for this; that 'It still is
my feeling that this man is a schizophrenic individual who will bear
close supervision'; and that he should be placed back on a blue hold
card when he is released from the hospital after his tuberculosis was
better. The witness testified that in his own twenty minute conference
with the defendant, 'he was not grossly confused at that time'; that 'because
I felt he was not psychotic and his thinking seemed to be fairly clear,
I felt he would be able to certainly find his way around in the
community'; that 'his behavior during this past six months represents
a marked improvement over previous months'; and that in February 1960,
there was 'certainly no evidence of any schizophrenic process'.
An uncle of the defendant and his wife both
testified that until the defendant was about 11 he acted normally. The
uncle said that after the defendant had been in prison at Jackson he
was not normal and the wife said that then they couldn't believe a
word he told them. The manager of the Milwaukee rooming house thought
that the defendant in June 1960 was 'somewhat of a strange person';
that he had a far away look; that he did not act as a normal person,
and that he always opened the door of his room furtively. The manager,
however, allowed the defendant to retain the keys to most of the
apartments and to collect the rents. The wife of this witness, who
possessed a college degree with a psychology major, regarded the
defendant as uncommunicative, as ill at ease, and as not acting as a
normal person would. The chief of police at St. Johns, Michigan, who
had known the defendant since he was born, felt that in his youth he
did not act normally.
There was opposing lay evidence. The Kroger store
in Ohio gave the defendant employment tests before hiring him; on
these he received good grades except as to interest. Twenty-two lay
witnesses testified generally that he was normal.7
Any suggestions of abnormality, so far as lay witnesses were concerned,
seemed to be directed to the defendant's quietness, his wearing of
good clothes on rought jobs, his occasional expressions of interest in
religion, and his nervousness and evasiveness.
The defendant did not take the stand.
1. Competency to stand trial.
Section 4244 of 18 U.S.C. calls for a 'judicial
determination' of an accused's 'mental competency' to stand trial and
provides that when a hearing is required the court shall 'make a
finding' as to the accused's mental condition. This is a finding of
fact to be made by the trial court and its determination is not to be
set aside on review unless clearly arbitrary or unwarranted. Dusky v.
United States, 8 Cir., 1959, 271 F.2d 385, 397, reversed, 362 U.S.
402, 80 S.Ct. 788, 4 L.Ed.2d 824, on suggestion of the Solicitor
General as to the insufficiency of the evidence in that case. As the
Supreme Court there said,
'* * * it is not enough for the district judge to
find that 'the defendant (is) oriented to time and place and (has)
some recollection of events,' but that the 'test must be whether he
has sufficient present ability to consult with his lawyer with a
reasonable degree of rational understanding--and whether he has a
rational as well as factual understanding of the proceedings against
him."
This, therefore, is our standard here. It is the
standard which the trial court in its findings definitely purported to
use. See also Dusky v. United States, 8 Cir., 1961, 295 F.2d 743, 746,
cert. den. 368 U.S. 998, 82 S.Ct. 625, 7 L.Ed.2d 536.
Presence of a mental illness does not equate with
incompetency to stand trial. Lebron v. United States, 1955, 97
U.S.App.D.C. 133, 229 F.2d 16, 18, cert. den. 351 U.S. 974, 76 S.Ct.
1035, 100 L.Ed. 1492; Lyles v. United States, 1957, 103 U.S.App.D.C.
22, 254 F.2d 725, 729, cert. den.356 U.S. 961, 78 S.Ct. 997, 2 L.Ed.2d
1067; Smith v. United States, 9 Cir., 1959, 267 F.2d 210, 211. See Lee
v Wiman, 5 Cir., 1960, 280 F.2d 257, 265, cert. den. 364 U.S. 886, 81
S.Ct. 176, 5 L.Ed.2d 106. And even expert opinion on competency rises
no higher than the reasons on which it is based; it is not binding
upon the trier of the facts. Dusky v. United States, supra, p. 397 of
271 F.2d; Gunther v. United States, 1954, 94 U.S.App.D.C. 243, 215
F.2d 493, 496-497. See Dusky v. United States, supra, p. 754 of 295
F.2d and cases cited.
The present record, of course, discloses cruel
misfortunes in the defendant's life: the inadequacy of his father;
that parent's literal abandonment of his son; the loss of his loved
and respected mother at an early age; his being tossed about among
relatives and institutions during the decade following; the lack of
guidance and helpful discipline; and the Michigan incarceration in his
impressionable years from 15 to 20 and again, after a short period of
freedom, from 20 to 24. The record also discloses his 1956 diagnosis
in the Michigan prison as a paranoid personality and his 1959
diagnosis there as one possessing a borderline schizophrenic reaction
and as using a severe degree of sociopathic defense to ward off a more
severe decompensation or psychotic process.
It also contains evidence from Dr. Stamm which may
be viewed as favorable to the defense: There is the statement in his
first Springfield report of August 1960 that defendant was 'potentially
able to react psychotically to additional, special stress'. There are
the notations in the second Springfield report of January 1961 as to
the defendant's story of the presence of his mother in his cell; his
refusal to shave for a period; the feeling of hospital personnel that
he was potentially assaultive and perhaps suicidal; the gradual
deterioration in adjustment and thinking processes; the diagnosis of
schizophrenic reaction, paranoid type; and the conclusion that his
behavior was affected in some degree by a mental illness and that he
was suffering from a prolonged mental illness of schizophrenic and
sociopathic type. Dr. Stamm's testimony on February 20 emphasized that
there was evidence of a deterioration or increase in the defendant's
unrealistic thinking and emotional confusion; that the diagnosis of
schizophrenic reaction represented a decompensation from the earlier
diagnosis of paranoid personality; that his understanding and ability
to assist was more limited than in the past; that 'he would have much
difficulty in being able to rationally and factually understand the
nature of the legal proceedings pending against him and in being able
to assist counsel in his defense'; that his thinking disorder and his
emotional confusion would interfere with his ability to understand and
assist; that in comparison with other patients with respect to whom
they made recommendations to the court the defendant 'would probably *
* * be incompetent to understand rationally and factually the nature
of the legal proceedings pending against him and thereby to assist
counsel in his defense'; that 'because of his mental disorder, he
could not factually and rationally assist counsel in his defense, or
rationally and factually think through the ramifications of the
consequences of the alleged act * * * this patient is not a completely
deteriorated, disorganized person, he isn't in any sense of the word,
but he does have a very severe thinking and emotional disorder which
would severely limit him from assisting counsel in his defense and
rationally and factually understanding the nature of the legal
proceedings against him.'
But Dr. Stamm's reports and testimony are by no
means entirely and consistently favorable to the defense. He noted in
both reports and in his testimony that the defendant was well oriented
as to time, place and person.8
His first report recited that at the time the defendant 'was
knowledgeable of court proceedings' and it gave him a diagnosis of
paranoid personality, not of schizophrenia. His second report
contained the observation that the defendant's intelligence was high
average to superior and was essentially intact; the acknowledgment
that some of his mental decompensation must be considered in the light
of the severe emotional pressure he had been under because of the
criminal charge; the statement (although contained in that part of the
report directed to the situation as of July 11, 1960) that Springfield
had no evidence from the defendant's history or from his present
examination 'that his thinking had been impaired to a degree to render
him incapable of understanding what is legally right or wrong or the
legal and physical consequences of his actions'; and the further
statement that while he was suffering a prolonged mental illness of a
schizophrenic and sociopathic type, during most or all of this illness
'he has probably been able to consider the legal implications of his
behavior to the extent of present information about him'. At the
February 20 hearing the doctor acknowledged that at the time of first
report he felt the defendant was competent to stand trial and that at
the time of the second report the staff felt he could probably
understand, at least factually, the nature of the legal proceedings
against him. At the March 10 hearing Dr. Stamm acknowledged that the
defendant's maximum security incarceration might have increased his
psychiatric difficulties at Springfield; that, although the contact
was short, he had observed the defendant's greater relaxation on March
10 as compared with Springfield; and that the hacksaw incident could
mean the defendant was able to guide himself toward a desired escape
and he had contact with reality in order to do that.
Also, Dr. Stamm's testimony is not the only
evidence in the record on the competency issue. At the hearing of
March 10 Dr. Stark, upon the assumption given him as to the January
1961 defense motions and their verification by the defendant, flatly
stated that in his opinion the defendant had the capacity to aid
counsel, that he had a rational as well as a factual understanding of
the proceedings against him, and that he knew what the evidence meant.
We have, in addition, the defendant's February 1960 examination at the
Michigan prison with its conclusions of 'marked improvement over
previous months' and 'certainly no evidence of any schizophrenic
process'; the defendant's conduct at the first Iowa pre-arraignment
hearing on August 23, 1960, when he gave obviously intelligent answers
to questions from the court, when he spoke of his desire to retain his
own Chicago counsel, and when he even correctly used and thus
displayed familiarity with the technical words 'in proper person'; the
defendant's additional intelligent remarks at the arraignment on
September 1, 1960, and his further use of the same technical term; his
acquaintance with 'nolo contendere' and his attempt to enter that plea
at the hearing; his then insistence upon having a copy of the arrest
warrant; his awareness of the Alabama bond and his inquiry about its
use in Iowa; his passing of judgment at the hearing on October 15 as
to the quality of services rendered by his court-appointed attorneys;
his acquisition in October of the bulb filament for opening handcuffs;
his verification in January 1961, within a short time after his second
examination at Springfield, and his thereby obvious rendition of
assistance to counsel, of the several and very important motions to
suppress, for return of property, and for discovery and inspection,
three of which had appended lists of property seized at Birmingham
before trial counsel were appointed; the identity of the factual
content of these motions which he verified with prosecution testimony
later introduced at the trial; his acquisition and possession during
the trial of hacksaw blades in his shoes; his using them to saw cell
bars; his acknowledgment that the discovering officers 'had him cold';
his refusal to reveal the source of the blades; and his preference for
the comparative freedom of the Waterloo jail, with the trusty working
nearby, over the maximum security of Springfield.
This evidence, viewed in the aggregate, prompts us
to repeat what we said in our second Dusky opinion, supra, p. 755 of
295 F.2d:
'Because we are subject to the natural and ever
present judicial desire for absolute certainty, we might wish as
always that the evidence consisted entirely of positive blacks and
whites and was not flecked with some greys'.
Compare Greenwood v. United States, 1956, 350 U.S.
366, 375, 76 S.Ct. 410, 100 L.Ed. 412. Nevertheless, the case must be
decided. And in the light of the evidence, again viewed in its
entirety, we, as an appellate court, unpossessed of the power to make
our own determination of the ultimate fact, of the power to pass upon
the wisdom of capital punishment and of the power to dispute the
jury's recommendation of the death penalty, certainly cannot say that
on this record the trial court's determination of competency was
arbitrary or unwarranted. We necessarily conclude that there is
sufficient material here upon which the trial court could adequately
rest its finding of competency.
The defense at this point, however, presses upon us
three ancillary arguments:
(a) It has supplied us with a copy of the then
Solicitor General's memorandum to the Supreme Court suggesting remand
in the first Dusky case and it urges that what was said there is
equally applicable here. Granting the propriety of the Solicitor
General's proposition (as we must, in view of the court's adoption of
it, p. 402 of 362 U.S. p. 789 of 80 S.Ct.), we are, nevertheless, not
persuaded that a similar result is to ensue here. The competency
evidence presented prior to the first Dusky trial, as described in
detail in this court's opinion, pp. 387-389 of 271 F.2d, while perhaps
somewhat equivocal, was far stronger on the side of incompetency than
here. There the Springfield staff in its first report stated flatly
that the patient 'is unable to understand the nature of the
proceedings with reference to the charges against him and is unable to
properly assist counsel in his defense'. In its second report, three
months later, it stated that the defendant was mentally ill with a
diagnosis of schizophrenia and 'is unable to properly understand the
proceedings against him and unable to adequately assist counsel in his
defense'. The staff physician who testified orally expressed the
opinion that that defendant would be unable properly to assist his
attorney in his defense and also testified that the accused's
discussion with his counsel could result in a false factual statement.
This court's first Dusky opinion was largely concerned, on the
competency issue, with the problem of the extent the trial judge was
required to go along with the opinion of the medical center's
psychiatrists. In the present case, Dr. Stamm's opinion on competency
is far less positive and, as noted above, can fairly be said to
involve probabilities and possibilities. In addition, we have the
extensive other evidence described. Finally, the Solicitor General's
recommendation in Dusky appears to rest primarily upon two things: the
defendant's hallucinations and his need for medication. The latter
factor is entirely absent here. There is in this case only the one
instance, and that merely recounted by the defendant, of a visual
hallucination as to the presence of his mother in his cell.
( b) The claimed impropriety of the supplemental
hearing of March 10. This is attacked, specifically, as a nunc pro
tunc determination of the issue of competency.
It is true that the trial court on September 1,
1960, with the first Springfield report before it, ruled that that
report did not, under the standard prescribed by 4244, require a
hearing, Krupnick v. United States, 8 Cir., 1959, 264 F.2d 213, 217;
Coffman v. United States, 10 Cir., 1961, 290 F.2d 212, 214, and that
the defendant was competent to stand trial. It is also true that the
court on February 20, 1961, with the second Springfield report before
it and after the competency hearing on that date held in response to
the defense motion, again found that the defendant was competent to
stand trial. But the record shows that at the beginning of the hearing
on February 20, the court indicated that it was available to receive
evidence in addition to the then available testimony of Dr. Stamm.
Perhaps the court's comments could be argued to mean only such further
testimony as might be produced on that day. We see no reason, however,
so narrowly to construe the court's remarks or to suspect that their
broader interpretation was not clear to each side.
The tone and obvious intent of 4244 are apparent.
That statute provides machinery for the judicial determination of
mental competency over a wide period of time and, indeed, at any time
'prior to the imposition of sentence'. It also provides for the taking
of evidence 'including that of the reporting psychiatrist' and thus
clearly indicates that evidence other than that of the psychiatrist is
submissible. The court at the time of the March 10 hearing could have
ordered another examination even then and held still another full
hearing under the statute. Compare Ruebush v. United States, 10 Cir.,
1953, 206 F.2d 810, 812. The court is necessarily engaged in a search
for truth. We see nothing in the holding of the supplemental hearing,
during the course of the trial and outside the presence of the jury,
which is contrary to the policy or provisions of the statute. We hold
that the hearing was permissible and proper and did not constitute
reversible error.
(c) The claimed misinterpretation by the trial
court of Dr. Stamm's testimony in that the doctor's characterization
of the defendant as 'probably' incompetent was directed to the August
1960 examination rather than to the second Springfield examination. We
have given serious consideration to this argument. The two written
staff reports, of course, speak for themselves. It may well be that
one can at least argue that the trial court, in the detailed hearing
on February 20 did overly inquire of Dr. Stamm whether his view was
based on probability and did too often indicate that he felt the
Springfield reports were specific. Our reading of the entire record of
that hearing, however, convinces us that the district judge devoted
every effort, and not improperly, to ascertain to his own satisfaction
what the exact conclusion of Dr. Stamm was. We also have in mind that
the court's questioning was in the light of a statute which emphasizes,
with respect to its requirement for hearing, only reports which
positively indicate a state of insanity or mental illness. After a
critical examination of all of Dr. Stamm's testimony on the competency
issue, we conclude that at best, so far as the defense position is
concerned, his testimony was equivocal and was not of such character
that it, together with all the other competency evidence, 'does not
sufficiently support the findings of competency to stand trial', as
the Solicitor General described the Dusky record.
In summary, therefore, we feel that the record here
adequately supports the finding that, within the Supreme Court's
standards announced in Dusky, this defendant had sufficient present
ability to consult with his counsel with a reasonable degree of
rational understanding and that he had a rational as well as a factual
understanding of the proceedings against him. We would be inclined
ourselves to conclude that his understanding in these respects was not
only rational but well developed. This point therefore must be decided
against the defense.
2. The refusal to subpoena two psychiatrists as
defense witnesses at government expense.
Before the trial the defense made motions, pursuant
to Rule 17(b), F.R.Cr.P., for the issuance of subpoenas at the
government's cost. Among the witnesses desired were Dr. Russell O.
Settle, Warden, and Dr. Joseph C. Sturgell, staff physician, of the
Springfield Medical Center. To the extent these motions concerned Drs.
Settle and Sturgell, they were ultimately resisted by the government
on the ground that any material testimony from these physicians would
be only cumulative to that of Dr. Stamm. The court initially granted
the motion as to them, later reserved final decision, and then on
March 4, after Dr. Settle by letter had stated that Dr. Stamm would
present the official view of the institutional staff, that he and Dr.
Sturgell could present little additional information, and that he was
concerned over the crippling loss of staff time, denied the motion as
to these two proposed witnesses. Every other request of the defense
for witnesses at government expense was granted.
The defense position is that Dr. Settle's letter-comments
are hearsay, that under the Sixth Amendment a defendant's right to
compulsory process is not a matter to be determined by the prosecution
or the witness; that we are concerned here not with cumulative factual
material but with a need for all psychiatric evidence available; and
that the court's ruling was an abuse of discretion.
The record does disclose that the three doctors
named constituted the staff group which examined the defendant. The
record is also clear, however, and quite apart from Dr. Settle's
letter, that Dr. Stamm was the physician primarily concerned with
responsibility for and the actual examination of the defendant; that
Dr. Stamm was produced as a court witness at the competency hearings
and also at the trial; that he was extensively examined, not only by
the court, but by both sides; that his testimony on February 20 was
specifically on behalf of all three physicians; that all concurred in
general with what was written in the January 1961 report; and that
that report was for the psychiatric staff consisting of the same three
physicians. Neither the motion nor the record discloses that the other
two or either of them could have added any different material
testimony.
We naturally appreciate that the Sixth Amendment's
guaranty of compulsory process for an accused is, as the defense
claims, a fundamental right and one 'which the courts should safeguard
with meticulous care'. Bridwell v. Aderhold, N.D.Ga., 1935, 13 F.Supp.
253, 254-255, affirmed sub. nom. Johnson v. Zerbst, 5 Cir.,
92 F.2d 748, reversed on other grounds304 U.S. 458, 58
S.Ct. 1019, 82 L.Ed. 1461. But it has been observed, too, that this
right does not necessarily include the payment by the government of
the expenses of witnesses. Casebeer v. Hudspeth, 10 Cir., 1941,
121 F.2d 914, 916, cert. den. 316 U.S. 683, 62 S.Ct.
1272, 86 L.Ed. 1755; Neufield v. United States, 1941, 73 App.D.C. 174,
118 F.2d 375, 385, cert. den. sub. nom. Ruben v. United
States, 315 U.S. 798, 62 S.Ct. 580, 86 L.Ed. 1199; Wallace v. Hunter,
10 Cir., 1945,
149 F.2d 59, 61; Brewer v. Hunter, 10 Cir., 1947,
163 F.2d 341, 342. Accordingly, where government expense
is involved, a discretionary standard prevails. This court has said,
'It is well settled that Rule 17(b) * * * under
which the motion for subpoena was made, does not accord the indigent
defendant an absolute right to subpoena witnesses at government
expense. There is and must be wide discretion vested in the District
Court to prevent the abuses often attempted by defendants. This Court
will not disturb the exercise of the discretion unless exceptional
circumstances compel it.'
Reistroffer v. United States, 8 Cir., 1958, 258
F.2d 379, 396, cert. den. 358 U.S. 927, 79 S.Ct. 313, 3 L.Ed.2d 301.
To the same effect generally are Murdock v. United States, 10 Cir.,
1960, 283 F.2d 585, 587, cert. den. 366 U.S. 953, 81 S.Ct. 1910, 6
L.Ed.2d 1246, and Burgman v. United States, 1951, 88 U.S.App.D.C. 184,
188 F.2d 637, 641-642, cert. den. 342 U.S. 838, 72 S.Ct. 64, 96 L.Ed.
1347. See also Goldsby v. United States, 1895, 160 U.S. 70, 73, 16
S.Ct. 216, 40 L.Ed. 343; Gibson v. United States, 8 Cir., 1931,
53 F.2d 721, 722, cert. den. 285 U.S. 557, 52 S.Ct. 458,
76 L.Ed. 946; Bandy v. United States, 8 Cir., 1961, 296 F.2d 882, 892,
cert. den. 369 U.S. 831, 82 S.Ct. 849, 7 L.Ed.2d 796; and Bistram v.
United States, 8 Cir., 1957, 248 F.2d 343, 347.
In view of the responsible and supervisory status
which Dr. Stamm held with respect to the defendant on the two
occasions he was at Springfield, of Dr. Stamm's exhaustive examination
by the court and by the parties, of his conscientious and professional
appraisal of the defendant, and of his acting as spokesman for the
Springfield staff, we conclude that the district court's refusal to
subpoena Dr. Settle and Dr. Sturgell as additional witnesses at
government expense did not constitute an abuse of discretion.
(b) This information from the first dealer was
based on a picture of Hudson he had seen in a recent Birmingham
newspaper. The others rested their conclusions upon a picture of
Hudson displayed to them by the investigating agent.
(c) Hudson was then known to the FBI and to its
Birmingham office as a man convicted of murder and of interstate
transportation of a stolen automobile. He was wanted on a federal
charge for flight to avoid imprisonment for that murder. He was among
the ten 'most wanted' persons. A federal warrant for his arrest had
been outstanding for over three years. He was regarded in the Bureau
as dangerous. The FBI had the duty to arrest him.
(d) The federal agents at Birmingham upon the
foregoing information believed that this dangerous fugitive might then
be in the area.
(e) The man in the Nash was asking to trade down
the automobile at a less-than-normal price and thereby to obtain cash.
The several dealers, in spite of the attractiveness of the deal, had
declined it.
(f) The Nash bore plates of a distant state which
required a certificate of title. This man had no such certificate. He
had explained its absence on the excuse that with it the car would be
available for theft.
(g) The man, after visiting several used car
dealers, also called at an automobile junk yard and had just driven
into the parking area of another yard.
(h) One of the arresting officers, who had had
Michigan experience, recognized the Michigan license on the Nash as
one of a type issued only to a municipality in that state.
(i) The man was in an automobile and capable of
taking off at any time.
The foregoing facts were all known to the arresting
officers prior to the arrest. These were not facts disclosed by any
search incidental or subsequent to the arrest. Would these facts
permit 'prudent men in the shoes of these officers' to believe that
the man in the Hash was 'violating or had violated the law?' Would
these facts provide the arresting officers with 'reasonable cause to
believe that a crime had been committed?'
We think that they would. We also think that,
particularly in view of Hudson's history and that convict's suspected
presence in Birmingham on that day, the arresting officers might well
have been derelict in their duty had they not stopped the defendant in
his peddling rounds. This was not an arrest based on unfounded rumor
or mere suspicion. This was an arrest made on the valid concern and
apprehension of responsible citizens and businessmen of the community
who themselves had reasonable grounds to be suspicious of so
attractive an automobile trade, on the presence of an out-of-state car
offered for sale cheap and without supporting evidence of ownership,
on the wandering of such a car from dealer to dealer to junk yard, on
the presence on that car of plates issued to a municipality of a
foreign state, and on the valid though erroneous conclusion that Smith
Gerald Hudson was at last at hand.
The fact that there was a mistaken identity in that
Hudson turned out to be Feguer does not render the arrest illegal. A
person may even be innocent of a crime for which he is charged and yet
this of itself does not make his arrest illegal. One might assume the
different and opposing situation of an arrest, made on reasonable
grounds, of a man thought to be a certain smalltime offender but who
turned out on detailed investigation to be a Smith Gerald Hudson, an
escaped and wanted murderer; it would be a sad commentary if that
mistaken identity rendered the arrest illegal and compelled the
release of Hudson.
Law enforcement is serious business. Of course,
police operations must ever be subject to vigorous scrutiny and it is
imperative that they be kept within constitutional limitations. But
law enforcement is not a game. It would become a game, played with
arbitrary rules, if this defendant's mistaken--and, we might also
observe, falsified--identity were to nullify his arrest.
We therefore hold that the arresting agents had
reasonable ground to believe that the man they were apprehending was
Hudson; that, although by examining his fingerprints at the scene they
promptly ascertained that he was not Hudson, they also had reasonable
ground to believe that the man was in violation of the Dyer Act; that
reasonably prudent men could not have acted differently than did the
arresting agents at the time; and that the arrest was legal.
The items seized at the time of the arrest were the
pistol, the cartridges, and the physician's bag. These were clearly
taken in a search properly incidental to the lawful arrest. Draper v.
United States, supra, p. 314 of 358 U.S., p. 333 of 79 S.Ct.; Agnello
v. United States, 1925, 259 U.S. 20, 30, 46 S.Ct. 4, 70 L.Ed. 145;
Harris v. United States, 1947, 331 U.S. 145, 154, 67 S.Ct. 1098, 91
L.Ed. 1399. The remaining items, taken from the automobile only after
the defendant had admitted that it was stolen, of course were lawfully
seized.
6. The Dubuque evidence.
The defense during the trial12
moved to suppress eight tendered government exhibits (the Dubuque rent
receipt, the Howes identification, the Quality Cleaners slip, the
Dubuque Laundry slip, the Milwaukee bank envelope, the bus ticket, the
Wisconsin Employment Service card, and the one horseshoe die) which
had been found and seized by the Dubuque police (and later turned over
to the FBI) when, with the landlord's permission but without a warrant,
they searched the room at 1004 Bluff Street on the night of July 12,
1960. This motion to suppress similarly rests on claims of
unreasonable search and seizure under the Fourth Amendment. The trial
court denied the motion on the ground that at the time of the search
the defendant had left Dubuque with intent not to return and thus had
abandoned the room.
The defense position is that these exhibits were
seized on mere suspicion. It points out that the defendant had paid
the room rent for a period not ending until July 14; that the lights
were on when the room was entered; that the examining officers had no
reason then to believe that the defendant was not still occupying the
room or that his absence was more than temporary; and that the only
real information they possessed was that the defendant had rented that
room five days before. At the oral argument on appeal the defense
conceded that the defendant had abandoned the room when he left
Dubuque the night of July 11 but it stressed that this was not known
by the Dubuque police or by anyone else at the time of the search on
July 12. The defense suggests that a search which is illegal is not
made justifiable by what the search discloses and that the question of
legality is to be determined only by the circumstances which exist at
the time of the search.
The government position is that the record is
conclusive that the defendant had abandoned the room on July 11; that
the search was made after that abandonment; that the police went into
the room in connection with their search for Dr. Bartels who by then
had been reported missing; that this was done on reliable information
that the doctor had been seen entering the building with the defendant
who had rented the room; and that it was with the permission of the
landlord. The government points out that the several exhibit items
were scattered about the room and that the Howes identification was in
the waste basket.
The Fourth Amendment safeguard against unreasonable
searches and seizures is directed to the 'right of the people to be
secure in their * * * houses, * * *'. This clearly has reference to a
place of occupancy. It has not been restricted to a permanent home but
has been held applicable to a hotel room, Johnson v. United States,
1948, 333 U.S. 10, 68 S.Ct. 367, 92 L.Ed. 436, and to a rented room,
McDonald v. United States, 1948, 335 U.S. 451, 69 S.Ct. 191, 93 L.Ed.
153, and irrespective of the fact that occupancy is only a few days on
a transient basis. Eng Fung Jem v. United States, 9 Cir., 1960, 281
F.2d 803, 805. It has also been applied to afford protection to a
person who, although not the occupant, is in an apartment with the
latter's permission, Jones v. United States, 1960, 362 U.S. 257, 267,
80 S.Ct. 725, 4 L.Ed.2d 697, and to one who, with the consent of the
occupant of a hotel room, was permitted access to the room but,
without the occupant's knowledge, had placed contraband property there.
United States v. Jeffers, 1951, 342 U.S. 48, 52, 72 S.Ct. 93, 96 L.Ed.
59.
These cases, however, are concerned with occupied
and not vacated premises. In the case before us the evidence is
uncontroverted that the items were seized only after the defendant had
returned to the room, had gathered his desired belongings and had
departed never to return. This departure effected a discard and
abandonment of those items. The present situation, it seems to us, is
government by Abel v. United States, 1960, 362 U.S. 217, 80 S.Ct. 683,
4 L.Ed.2d 668. There, the defendant checked out of his hotel room,
albeit with encouragement from arresting officers. After he had done
so, but prior to the checkout hour, an FBI agent, with the consent of
the hotel management, searched the room without a warrant and seized
articles left in a waste basket. The court said, p. 241, 80 S.Ct. p.
698:
'* * * it was entirely lawful, although undertaken
without a warrant. This is so for the reason that at the time of the
search petitioner had vacated the room. The hotel then had the
exclusive right to its possession, and the hotel management freely
gave its consent that the search be made. Nor was it unlawful to seize
the entire contents of the wastepaper basket, even though some of its
contents had no connection with crime. So far as the record shows,
petitioner had abandoned these articles. He had thrown them away. So
far as he was concerned, they were bona vacantia. There can be nothing
unlawful in the Government's appropriation of such abandoned property.
* * *'
See also Hester v. United States, 1924, 265 U.S.
57, 58, 44 S.Ct. 445, 68 L.Ed. 898, and Newingham v. United States, 3
Cir., 1925,
4 F.2d 490, 493, cert.den. 268 U.S. 703, 45 S.Ct. 638, 69
L.Ed. 1166. Abandonment is not to be foreclosed here until the paid
rent period ran out any more than, in the Abel case, it was not
foreclosed until the checkout hour had arrived. It follows that the
search and seizure here, although without a warrant, were not illegal
and that the evidence in question is not inadmissible on the
constitutional grounds asserted.
The defense submits that recent Supreme Court cases
show increasing concern for enforcement of the Fourth Amendment. Cited
are Chapman v. United States, 1961, 365 U.S. 610, 81 S.Ct. 776, 5 L.Ed.2d
828 (involving entry with the consent of the landlord); Elkins v.
United States, 1960, 364 U.S. 206, 80 S.Ct. 1437, 4 L.Ed.2d 1669; Rios
v. United States, 1960, 364 U.S. 253, 80 S.Ct. 1431, 4 L.Ed.2d 1688;
United States v. Di Re, 1948, 332 U.S. 581, 68 S.Ct. 222, 92 L.Ed.
210, and Mapp v. Ohio, 1961, 367 U.S. 643, 81 S.Ct. 1684, 6 L.Ed.2d
1081. These cases may well be said to demonstrate the continuing
concern of our highest court for the preservation of Fourth Amendment
rights. None of them, however, concerns the search of abandoned
premises. We regard them as distinguishable on their facts.
The defense's suggestion that the search of July 12
was unreasonable because the abandonment of the room by the defendant
was not then known to the Dubuque police is somewhat intriguing but is,
we feel, without substance. Abandonment in fact had been effected
before the search. It was purposeful and voluntary and the room's
search could not possibly have violated any constitutional right of
the defendant.
7. The statements of the defendant.
The defense also filed a motion to suppress all
written and oral statements or purported admissions or confessions of
the defendant taken from July 20 through July 25, 1960, while he was
in Birmingham custody. The grounds asserted were (a) that these were
made after the defendant's arrest and without promptly taking him
before a proper magistrate, in violation of Rule 5(a), F.R.Cr.P., and
of the Fifth Amendment; (b) that they were involuntarily made; (c)
that they were made after an illegal arrest; and (d) that they were
obtained while the defendant was under coercion and duress, held
incommunicado, suffering from mental illness, deprived of his right to
counsel, and after promises of immunity, all in violation of the Fifth
Amendment.
This motion was heard by the trial court at the
same time the motions discussed in point 5 were heard. The court at
that time treated the motion as one directed only to statements made
before the hearing on July 21. The court ruled, 192 F.Supp. 377,
388-389, that under Mallory v. United States, 1957, 354 U.S. 449, 77
S.Ct. 1356, 1 L.Ed.2d 1479, and McNabb v. United States, 1943, 318 U.S.
332, 63 S.Ct. 608, 87 L.Ed. 819, any statements made by the defendant
between 5:00 p.m. on July 20 and the preliminary examination on the
forenoon of July 21, were not admissible but that any statements made
by the defendant from the time of his arrest shortly prior to 2:00
p.m. on July 20 and up to 5:00 p.m. on that day were admissible. Later,
by separate order, the court found that the statements made by the
defendant after July 21 were not due to those made on July 20 after
5:00 p.m. and would have been made even though he had not made those
July 20 statements.
At the trial, after additional testimony was taken
outside the presence of the jury, the defense also asserted as grounds
for its motion to suppress (a) that the defendant was deprived of the
assistance of counsel in the jail interviews after the hearing, in
violation of the Sixth Amendment and of Rule 44, F.R.Cr.P., (b) that
the post-hearing statements were obtained after the appointment of
Alabama counsel for the defense but without knowledge or consent of
that counsel or of the court, and (c) that these statements were
inadmissible because they were 'fruit of the poisonous tree'. The
prosecution did not attempt to introduce at the trial the oral and
written statements taken from the defendant on the night of July 20
after 5:00 p.m., or any statement taken on July 22.
The challenged statements thus really come down to
two: The first consists of the oral and written statement made by the
defendant on the afternoon of July 20 about 3:30 p.m. admitting his
real name and that the Nash had been stolen. This was before
Birmingham was advised by Detroit that the defendant was wanted in
Iowa for kidnapping and before contact with Iowa was made. The second
is the oral statement made to Agents Dawson and Brown at the jail
interview on July 23. This statement apparently is generally
consistent with the written statement, suppressed by the trial court,
taken by other agents the night of July 20 and with the statement made
by the defendant on July 22.
The statement of the afternoon of July 20 was made
as the facts were gradually coming to light. The statement itself is
not entirely accurate and certainly is not complete, but it does
reveal the defendant's luring of Dr. Bartels from his home and the
theft of the Nash. It fabricates the manner of his acquiring the car.
It came forth as the officers were attempting to verify, one by one
and step by step, the statements the defendant was making. Their first
endeavor was to check the defendant's claimed identity as William
Lloyd Howes and the automobile's Michigan registration which he so
positively claimed was in his name. This was done with all possible
dispatch. As soon as the stolen character of the plates was thereby
ascertained, the defendant's admission of his true name and of the
theft of the car was forthcoming. The record clearly shows, as to all
this, fully voluntary action on his part. The Mallory case, usually
strongly urged by the defense in situations of this kind, itself
proclaims, p. 455 of 354 U.S., p. 1360 of 77 S.Ct., that the
requirement of Rule 5(a) that appearance before the examining
magistrate be effected 'without unnecessary delay' does not mean that
there shall be 'mechanical or automatic obedience' and that
circumstances may justify a brief delay between arrest and commitment
as, for instance, 'where the story volunteered by the accused is
susceptible of quick verification through third parties'. This was the
situation here. Quick verification was possible and it was effected.
Had the call to Detroit revealed that the plates had been properly
issued to the defendant as he claimed, his statements would have
checked out and there would have been no need to hold him further for
formal examination. We conclude, therefore, that the defendant's
detention up to 5:00 p.m. without being taken before a magistrate was
entirely proper, that the statements he made during that period were
not given under conditions violative of the Mallory standard, and that
their admission in evidence by the trial court was not error.
The oral statement of July 23 might be said to
present a more involved problem but we easily conclude that it, too,
meets the standards of admissibility. The involvement, if any, lies in
the existence of similar but suppressed statements taken on the night
of July 20 and the oral but unoffered statement of July 22 and in what
the defense suggests is the dependence and necessary emergence of the
July 23 statement from the former.
Technically, of course, the statements made after
the morning of July 21 fall outside the McNabb rule for they were all
given after examination under Rule 5 and therefore were not uttered
during improper detention. The question thus is really one of basic
voluntariness. The procedure prescribed by United States v. Carignan,
1951, 342 U.S. 36, 38, 72 S.Ct. 97, 96 L.Ed. 48, namely, an
independent hearing in the absence of the jury as to the voluntary or
involuntary character of the statement, was meticulously followed.
Because a subsequent statement happens to be the
same as a prior one suppressed under the McNabb rule, does not
necessarily mean the second is the wrongful fruit of the original. It
is a relationship of dependency between the two which creates the 'fruit
of the poisonous tree' result. United States v. Bayer, 1947, 331 U.S.
532, 67 S.Ct. 1394, 91 L.Ed. 1654.
The trial court in its instructions to the jury
with respect to each of the challenged statements carefully pointed
out that the prosecution was required to establish beyond a reasonable
doubt that the defendant made the statement, that he made it
voluntarily, and that he made it without inducement, coercion, or
promise of immunity or leniency, and, with respect to the written
statement, that he signed it with knowledge and understanding of its
contents; that if the government did not establish all this, the
statement was to be totally disregarded; and that if the requisites
were established the jury could give the statement such weight as it
felt it was justly entitled to. We feel that these instructions were
proper, that they were amply justified by the record and that upon the
record the jury might properly conclude, as it must have done, that
the statements in question were voluntarily given and that they met
all the requisites described by the trial court.
Spano v. New York, 1959, 360 U.S. 315, 79 S.Ct.
1202, 3 L.Ed.2d 1265, and Powell v. Alabama, 1932, 287 U.S. 45, 53
S.Ct. 55, 77 L.Ed. 158, cited by the defense, have to do with
statements which were clearly involuntary and, we feel, are easily
distinguishable on their facts from the case before us.
Finally, we note that the Sixth Amendment affords
no comfort for the defense. That Amendment's requirement that in all
criminal prosecutions an accused shall 'have the Assistance of Counsel
for his defence' has been said to apply only after a defendant is
formally charged by indictment or information. Counselman v. Hitchcock,
1892, 142 U.S. 547, 563, 12 S.Ct. 195, 35 L.Ed. 1110; Gilmore v.
United States, 10 Cir., 1942,
129 F.2d 199, 203, cert. den. 317 U.S. 631, 63 S.Ct. 55,
87 L.Ed. 509. See State of Utah v. Sullivan, 10 Cir., 1955, 227 F.2d
511, 513, cert. den. Braasch v. Utah, 350 U.S. 973, 76 S.Ct. 449, 100
L.Ed. 844, and Ruben v. Welch, 4 Cir., 1947,
159 F.2d 493, cert. den. 331 U.S. 814, 67 S.Ct. 1199, 91
L.Ed. 1833. Compare People v. Di Biasi, 1960, 7 N.Y.2d 544, 200 N.Y.S.2d
21, 166 N.E.2d 825. The statements in question here were all
forthcoming before the indictment was returned on August 9, 1960.
Furthermore, Birmingham counsel had been appointed on July 21 in the
persons of Mr. Black and then Mr. Mitch. Although an attorney would
perhaps not have presumed to confer with the defendant after the July
21 hearing without notice to defense counsel, this restraint rests on
considerations of professional ethics. We know of no parallel legal
rule of restraint imposed upon investigating officers where, as here,
the requirement of voluntariness is clearly established. 'The mere
fact that a confession was made while in the custody of the police
does not render it inadmissible'. McNabb v. United States, supra, p.
346 of 318 U.S., p. 615 of 63 S.Ct.; United States v. Mitchell, supra,
p. 69 of 322 U.S., p. 897 of 64 S.Ct.; United States v. Bayer, supra,
pp. 540-541, of 331 U.S., pp. 1398-1399 of 67 S.Ct.; Hayes v. United
States, 8 Cir., 1961, 296 F.2d 657, 668.
We therefore conclude that the refusal to suppress
the challenged statements and their admission in evidence were not
error.
8. Proposed defense comments in the closing
argument.
The suggestion here is that the defendant was
deprived of a fair and impartial trial because counsel was twice asked
by the court, after suggestion by the United States Attorney, to
refrain from comment relative to opposition to and abolishment of the
death penalty.13
Apart from these two interruptions, no restraint was placed upon the
closing argument of the defense.
A search of the record reveals nothing having to do
with the status, acceptance or abolishment of the death penalty in the
several states. We agree with the trial court's observations that, by
18 U.S.C. 1201(a), Congress in its wisdom has seen fit to provide for
the death penalty if the kidnap victim has not been liberated unharmed
and if the verdict of the jury shall so recommend, and that what the
several states have done by way of fixing punishment for state crimes
was not only not a part of this record, but was not a matter of
concern for this jury in determining whether or not to recommend the
death penalty for this defendant under this statute.
This court said, in Brennan v. United States, 8
Cir., 1957, 240 F.2d 253, 263, cert. den. 353 U.S. 931, 77 S.Ct. 718,
1 L.Ed.2d 723:
'The argument of counsel, generally speaking,
should be confined to the evidence that has been produced and to such
inferences as may reasonably be drawn therefrom.'
United States v. Spangelet, 2 Cir., 1958, 258 F.2d
338, 342-343; United States v. Pepe, 2 Cir., 1957, 247 F.2d 838,
844-845; United States v. Tucker, 3 Cir., 1959, 267 F.2d 212; Snipes
v. United States, 6 Cir., 1956, 230 F.2d 165, and Graham v. United
States, 6 Cir., 1958, 257 F.2d 724, 730, are examples of cases where
extra-record closing comments by the prosecution were held to
constitute reversible error. But this requirement that closing comment
be kept within the record and the inferences appropriately drawable
therefrom applies to the defense as well. Laska v. United States, 10
Cir., 1936,
82 F.2d 672, 679-680, cert. den. 298 U.S. 689, 56 S.Ct.
957, 80 L.Ed. 1407; Holmes v. United States, 1948, 84 U.S.App.D.C.
198,
171 F.2d 1022, 1023-1024. We therefore find no error in
the trial court's restraint of defense counsel as to the remarks in
question or in the court's manner of so doing.
9. Comments of the prosecution in the closing
argument.
Unfairness in the closing arguments of the
prosecution is strongly urged upon us. The remarks consist,
specifically, of comments made by the Assistant United States Attorney
in the initial closing argument and of statements made by the United
States Attorney in the government's final argument to which the
defense had no opportunity for rebuttal. These comments are said to
involve comparisons of this case with others, expressions of personal
belief in the defendant's guilt and in the punishment to be given,
invective and abuse, the holding up of defendant's mental illness to
ridicule, and the deprival of rights guaranteed by the Fifth and Sixth
Amendments.
We note, initially, that the defense made no
complaint or objection in the trial court as to any of these comments.
The defense therefore encounters the rule that in the absence of an
objection to the closing argument of the prosecution in a criminal
case there is nothing for review here. Myres v. United States, 8 Cir.,
1949,
174 F.2d 329, 339, cert. den.338 U.S. 849, 70 S.Ct. 91,
94 L.Ed. 520; Kreinbring v. United States, 8 Cir., 1954, 216 F.2d 671,
673; Schmidt v. United States, 8 Cir., 1956, 237 F.2d 542, 543; Dusky
v. United States, supra, 8 Cir., 1959, 271 F.2d 385, 401. See United
States v. Socony-Vacuum Oil Co., 1940, 310 U.S. 150, 238-239, 60 S.Ct.
811, 84 L.Ed. 1129.
We are aware, of course, of Rule 52(b), F.R.Cr.P.,
and its provision that plain errors affecting substantial rights may
be noticed on appeal even though they were not brought to the
attention of the trial court. The defense has also cited Viereck v.
United States, 1943, 318 U.S. 236, 248, 63 S.Ct. 561, 566, 87 L.Ed.
734, with its comment, that under the circumstances there, 'We think
that the trial judge should have stopped counsel's discourse without
waiting for an objection', and Mr. Justice Sutherland's wellknown
words in Berger v. United States, 1935, 295 U.S. 78, 88, 55 S.Ct. 629,
79 L.Ed. 1314.
We have reviewed the closing arguments in their
entirety and in detail and we conclude that the comments of government
counsel were not inflammatory or improperly prejudicial. The arguments
were confined to the record and to inferences which might reasonably
flow from the record. There was no instance of misstatement of fact
and no assertion of facts not in the record. There was no expression
of either prosecutor's personal beliefs as to matters outside the
record. And, of course, as this court, speaking through Judge
Whittaker, later Mr. Justice Whittaker, said in Schmidt v. United
States, supra, p. 543 of 237 F.2d:
'* * * it is not misconduct for a district attorney
to express his personal belief in the guilt of a defendant, if such
belief is expressly based, as it was here, on the evidence, and the
jury is not led to believe that the district attorney is basing his
belief upon evidence not in the record.'
To the same effect are Thompson v. United States, 5
Cir., 1959, 272 F.2d 919, 921; Henderson v. United States, 6 Cir.,
1955, 218 F.2d 14, 19, 50 A.L.R.2d 754, cert. den. 349 U.S. 920, 75
S.Ct. 660, 99 L.Ed. 1253, and cases cited; and United States v. Holt,
7 Cir., 1939,
108 F.2d 365, 370, cert. den. 309 U.S. 672, 60 S.Ct. 616,
84 L.Ed. 1018.
This opinion should not be closed without an
expression of appreciation to Paul L. Kildee, former assistant county
attorney, county attorney and state district judge in Iowa, and to
Frederick G. White, former assistant county attorney there, for their
assistance, under court appointments, to the trial court and to us in
their most capable representation of the defendant. We are conscious
of the vast amount of time which they spent upon the substantial and
difficult issues of this case. The public should be grateful for this
positive recognition of professional responsibility in an unpopular
cause.
We deem it only right and proper, too, that we note
a word of respect for the work of the able and experienced trial judge
in this not easy-to-try case. The entire record of the trial and of
the pretrial matters demonstrates meticulous care for correctness of
procedure; for the assurance of proper and adequate protection for the
defendant; and, as best we can tell from the cold record, for the
preservation of a trial atmosphere of that decorum, impartiality, and
control which is necessary and conducive to the proper administration
of criminal justice.
Affirmed.
'Now, ladies and gentlemen, after thirty years in
and out of courtrooms, I wouldn't be naive enough to deny that the
Government hasn't, with overwhelming evidence, proven that this
defendant was involved in this kidnapping as charged. * * *
'The fact that we let witness after witness after
witness leave the witness chair without cross-examination is no
indication that we didn't have interest in the case, but what was the
use of our trying to dispute undisputed facts and waste the time of
this Court and the time of this jury. Likewise, how could we cross up
the story of an expert witness, a fingerprint man, and the others.
There just isn't any use in trying.'
'Now, ladies and gentlemen, capital punishment is
probably one of the most controversial issues in the United States.
However, according to the 1958 Roper report, those opposed to the
infliction of the death penalty were greater than those in favor.
'The Court: Pardon me, Judge Kildee, I believe you
are getting outside the record.
'Mr. Kildee: All right, your Honor, I stand
corrected.
'Mr. Kildee: * * * Now there is only one reasonable
purpose for the death penalty and that is that it's a deterrent for
crime, that is, that it will be an example to others and that they
won't commit capital crimes.
'Well, has it worked? There are nine states out of
the United States that have completely abolished the death penalty and--
'Mr. Van Alstine: If the Court please--
'The Court: I believe you are getting outside the
record, Mr. Kildee. Under the federal law, that penalty is provided
and the jury should decide that matter in a calm, dispassionate manner.
What other states do or do not do is not a part of this record.