The fugitive disentitlement doctrine generally holds that the appeal of a criminal defendant who has absconded from the jurisdiction of the courts should be dismissed. This case requires us to decide whether the fugitive disentitlement doctrine is alive in Kansas and, if so, whether it is applicable when the record shows only that the State has alleged the defendant failed to report to his or her probation officer.
Steven L. Raibum was convicted of one count of felony possession of marijuana. He was sentenced to a term of 20 months’ imprisonment, with his prison term suspended and the imposition of 18 months’ probation. He timely appealed. Shortly thereafter, the State filed a motion in the district court to revoke Raibum’s probation, alleging failure to report to his probation officer.
On appeal to the Court of Appeals, Raibum raised two issues concerning his conviction. The State raised an additional issue— whether Raibum had abandoned his right to appeal by absconding. The Court of Appeals issued a show cause order directing Raibum to demonstrate that he had submitted to the jurisdiction of the Kansas district court by May 11, 2007, or the appeal would be dismissed with prejudice. Raibum filed a response addressing several reasons why the appeal should not be dismissed but did not directly address his whereabouts. The Court of Appeals ordered the parties to file supplemental briefs addressing the absconder issue.
Ultimately, the Court of Appeals elected to dismiss the appeal.
State v. Raiburn,
A Brief History of the Fugitive Disentitlement Doctrine
For over 100 years, Kansas courts have followed a loosely formulated rule, variously known as the fugitive disentitlement doctrine, the fugitive dismissal mle, or the escape mle, which allows courts to dismiss an appeal when a criminal defendant escapes during the pendency of the appeal. See
State v. Scott,
Perhaps the first instance of the United States Supreme Court invoking the doctrine was in 1876, when the Court held that it was within its authority to “refuse to hear a criminal case in error, unless
the convicted party, suing out the writ, is where he can be made to respond to any judgment we may render.”
Smith v. United
States, 94 U.S. (4 Otto) 97, 97,
The Supreme Court has not only applied the fugitive disentitlement doctrine to appeals pending before that Court, it has upheld the right of states to implement the doctrine statutorily as well as through case law in state courts. In
Estelle v. Dorrough,
The vast majority of states that have not codified the fugitive dismissal rule have judicially adopted it. See,
e.g., Young v. State,
There are, however, jurisdictions that do not subscribe to the fugitive disentitlement doctrine. Prior to 1967, Louisiana had statutory authority mandating dismissals where the appellant was a fugitive from justice. See
State v. Jugger,
“The provision is omitted from this Code, because it is unfair to the defendant. For example, if a man has appealed from a death sentence and he escapes, under [the former statute], the effect is to make the escape a capital offense, since he loses his right to appeal. Furthermore, the more frightened a convicted defendant is, the more likely he is to attempt to escape, and he should not be denied his right to appeal because of such circumstances.”
See
Falcone,
Kansas first utilized the doctrine in
City of Holton v. Mannix,
Less than 10 years later, the Kansas Supreme Court dismissed an appeal under the fugitive disentitlement doctrine. See
Scott,
In 1978, this court affirmed a trial court’s dismissal of an appeal based on a finding that the appeal had been abandoned.
Weser v. State,
In 1984, the Court of Appeals again invoked the fugitive disentitlement doctrine, holding: “A convicted defendant who is a fugitive from justice is not entitled to ask an appellate court to correct alleged trial errors and is deemed to have waived the right to appeal.”
State v. Scott,
Various rationales have been provided for the doctrine. Some courts, including the United States Supreme Court, have based dismissal on a theory of disentitlement, which treats the escape
during the pendency of the appeal as an abandonment of the appeal. “While such an escape does not strip the case of its character as an adjudicable case or controversy, we believe it disentitles the defendant to call upon the resources of the Court for determination of his claims.”
Molinaro,
An additional justification for the fugitive disentitlement doctrine is that “dismissal by an appellate court after a defendant has fled its jurisdiction serves an important deterrent function and advances an interest in efficient, dignified appellate practice.”
Ortega-Rodriguez,
“a contempt of [a court’s] authority, to which no court is bound to submit. It is much more becoming to its dignity that the court should prescribe the conditions upon which an escaped convict should be permitted to appear and prosecute his writ, than that the latter should dictate the terms upon which he will consent to surrender himself to its custody.” Allen v. Georgia,166 U.S. 138 , 141,41 L. Ed. 949 ,17 S. Ct. 525 (1897).
Raibum’s Arguments
In his brief to this court, Raibum sets out a number of reasons why the Court of Appeals erred in dismissing his appeal. First, he argues that the appeal is not moot. This argument appears to be based upon a phrase which Raiburn isolates from the Court of Appeals opinion: “ ‘[A]n appellate court does not decide moot questions or render advisory opinions.’ ”
Raibum’s interpretation of the quoted language removes it from its context. He had argued to the Court of Appeals the authority for dismissing an appeal could only come from Supreme Court Rule or statute. The Court of Appeals quoted from
Duffy
and cited
State v. Williams,
Raibum argues the fact that fugitive status does not render a case moot “serves to nullify one of the doctrine’s previous justifications . . . ineffectiveness of any appellate judgment.’’Additionally, Raibum submits authority for the proposition that appeals may be heard even when the appellant has died during the pendency of the appeal, see
State v. Jones,
We see a significant difference between the state of being a fugitive and that of being dead. Presumably, the former is significantly more often a matter of choice than the latter. While good reasons may exist for determining issues raised by a defendant who suffers an untimely demise, we do not believe that the defendant who chooses to abscond should be given the option of invoking the assistance of the courts to review his or her appeal and then only accepting the outcome if it is to his or her approval.
Raibum next argues that violation of the terms of his probation is a matter of concern for the trial court, not for this court. He cites
Ortega-Rodriguez
in support of this proposition. The present case is easily distinguishable from
Ortega-Rodriguez.
In
Ortega-Rodriguez,
the defendant escaped after conviction, was sentenced in absentia, and
Raibum argues that even if an appellate court has authority to invoke the fugitive disentitlement doctrine and dismiss his appeal, he does not fall into the categoiy of “fugitive” because he has not escaped from custody. He cites
Dunn v. Hindman,
More compelling is
State v. Hess,
In
United States v. Gonzalez,
However, in a noncriminal context, the Ninth Circuit found that failure to report an address change to the required parties for an extended period of time was sufficient to justify dismissal of an appeal under the fugitive disentitlement doctrine in
Antonio-Martinez v. I.N.S.,
“His disappearance has the same effect as a criminal defendant’s flight. By failing to report his change of address to either his lawyer or the INS for an extended period of time, he has effectively put himself beyond the jurisdiction of the court. Because no one has any clue where Antonio-Martinez is, his petition has the same ‘heads I win, tails you’ll never find me’ quality that justifies disentitlement in other contexts. Those who invoke our appellate jurisdiction must take the bitter with the sweet: They cannot ask us to overturn adverse judgments while insulating themselves from the consequences of an unfavorable result.”317 F.3d at 1093 .
The Tenth Circuit Court of Appeals has held that a violation of terms of postrelease supervision is sufficient to establish fugitive status for purposes of applying the fugitive disentitlement doctrine:
“A term of supervised release is an integral part of a judgment and sentence .... This court will not diminish the importance of that period by disregarding the status of those who become fugitives during supervised release.”
United States v. Hanzlicek,
Many state courts have held that violation of the reporting terms of probation may suffice to show fugitivity for purposes of the fugitive disentidement doctrine. For example, Oregon courts have taken the position that violating reporting requirements of either probation or postrelease supervision suffices to satisfy fugitive status under the fugitive disentidement doctrine. See
State v. Squeglia,
Other courts have analyzed the issue in terms of whether escape is possible when the defendant is not physically restrained. See
State v. Crump,
If it can be shown that a defendant has more likely than not chosen to abscond from the reach of the court and that reasonable measures have been taken to locate him or her which have proved unsuccessful, then the rationale for the fugitive disentitlement doctrine — abandonment or waiver of the appeal and issues of enforceability of the judgment — applies with equal force to the defendant who has violated the reporting terms of probation as to the defendant who has escaped physical custody. But even if such a probation violation may invoke the fugitive disentitlement doctrine, and we hold that it may, it has not been demonstrated that Raibum violated the terms of his probation or that he is a fugitive. The record here shows only an allegation by the State that he has failed to report as required. Generally, there must be some determination that the appellant is actually a fugitive.
There is little discussion in published case law regarding who may raise the issue and which party has the burden of proving or disproving fugitive status in order to determine whether the fugi
tive disentitlement doctrine applies. The Texas statute cited in
Estelle v. Dorrough,
Under the facts of this case, where the defendant appears to have absconded while on probation, something more than a mere allegation by the State in its brief that the defendant has failed to report to his probation officer is necessary to invoke the fugitive disentitlement doctrine. We hold that the burden is upon the State to raise the issue to the appellate court by filing a motion to dismiss the appeal alleging grounds that the defendant is a fugitive. In the absence of such a motion, the appeal should proceed normally. If the State files a motion and the appellate court determines that the State’s motion is sufficient to raise the issue, then in order to invoke the doctrine when the allegation is based on the defendant’s failure to comply with a reporting condition of probation, the appellate court must remand the matter to the district court for an evidentiary hearing on fugitive status. As in any probation violation hearing, the State must show by a preponderance of the evidence that the defendant has absconded. If the district court finds that the defendant has not absconded, the doctrine does not apply and the initial appeal to the Court of Appeals may proceed. If the finding is made that, more likely than not, the defendant has absconded, then the appellate court should review that finding to determine whether it is supported by substantial competent evidence. Once it has been determined by such evidence that the
defendant is a fugitive, the doctrine applies and the appeal may then be dismissed. We note, however, that the decision to dismiss lies within the sound discretion of the appellate court and is subject to the same exceptions as our other doctrines precluding appellate review. See
State v. Williams,
The fugitive disentitlement doctrine has been recognized in Kansas for over 100 years. It remains a valid method of dismissing an appeal when a defendant has chosen to thwart the appellate process by absconding from the jurisdiction of the courts. In this case, however, the State has done no more than raise the possibility that the defendant is a fugitive in its brief. That allegation is an insufficient basis on which to deprive the defendant of his statutoiy right to an appeal. Therefore, the Court of Appeals’ decision is affirmed in part and reversed in part, and the case is remanded to the Court of Appeals with instructions for further proceedings consistent with this opinion.
