United States v. Washington , 57 M.J. 394 ( 2002 )

IN THE CASE OF
UNITED STATES, Appellee
v.
Christopher B. WASHINGTON, Airman Basic
U.S. Air Force, Appellant
No. 01-0658
Crim. App. No. S29797
United States Court of Appeals for the Armed Forces
Argued March 19, 2002
Decided September 30, 2002
EFFRON, J., delivered the opinion of the Court, in which
GIERKE and BAKER, JJ., joined. BAKER, J., filed a concurring
opinion. CRAWFORD, C.J., and SULLIVAN, S.J., each filed an
opinion concurring in part and dissenting in part.
Counsel
For Appellant: Major Maria A. Fried (argued); Lieutenant Colonel Beverly B.
Knott, Lieutenant Colonel Timothy W. Murphy (on brief); and Major Jeffrey A.
Vires.
For Appellee: Captain Christa S. Cothrel (argued); Colonel Anthony P.
Dattilo, and Lieutenant Colonel Lance B. Sigmon (on brief); Major Jennifer R.
Rider.
Military Judge: Roger A. Drew, Jr.
THIS OPINION IS SUBJECT TO EDITORIAL CORRECTION BEFORE FINAL PUBLICATION.
United States v. Washington, No. 01-0658/AF
Judge EFFRON delivered the opinion of the Court.
A special court-martial composed of officer and enlisted
members convicted appellant, contrary to his pleas, of willfully
disobeying a lawful order given by a superior commissioned
officer, in violation of Article 90, Uniform Code of Military
Justice (UCMJ), 10 USC § 890. He was sentenced to a bad-conduct
discharge and confinement for two months. The convening
authority approved these results, and the Court of Criminal
Appeals affirmed. 54 M.J. 936 (2001).
On appellant’s petition, we granted review the following
issues:
I. WHETHER THE MILITARY JUDGE ABUSED HIS
DISCRETION WHEN HE EXCLUDED RELEVANT
EVIDENCE REGARDING THE SAFETY AND EFFICACY
OF THE ANTHRAX VACCINE WHICH WAS NECESSARY
TO APPELLANT'S AFFIRMATIVE DEFENSE UNDER
R.C.M. 916(h).
II. WHETHER THE AIR FORCE COURT OF CRIMINAL
APPEALS ERRED IN ITS APPLICATION OF ARTICLE
66(c) WHEN IT CONCLUDED THAT APPELLANT WAS
NOT ENTITLED TO A PRESUMTION OF INNOCENCE.
III. WHETHER THE AIR FORCE COURT OF
CRIMINAL APPEALS ABUSED ITS DISCRETION WHEN
IT AFFIRMED APPELLANT'S SENTENCE DESPITE THE
AIR FORCE'S DE FACTO POLICY THAT ANTHRAX
REFUSAL CASES WILL BE DISPOSED OF BY
NONJUDICIAL PUNISHMENT AND ADMINISTRATIVE
DISCHARGE.
For the reasons set forth below, we remand to the Air Force
Court of Criminal Appeals for further consideration of Issue II.
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I. LITIGATION AT TRIAL CONCERNING THE ORDER
TO RECEIVE THE ANTHRAX VACCINATION
A. BACKGROUND
Anthrax is an infectious animal disease that can be
employed as a deadly biological weapon. Over the last decade,
the Department of Defense (DoD) has focused attention on the
possibility that such weapons might be used against deployed
U.S. forces. As a countermeasure, DoD, for a period of time,
implemented a program involving widespread vaccination of U.S.
military personnel. The program subjected numerous members of
the armed forces to a series of six vaccinations designed to
counter the effects of any exposure to anthrax.
Appellant, who was stationed in the United States,
received five of the six vaccinations without objection. In
1999, he was deployed to Saudi Arabia, where he declined to
receive the sixth vaccination. On December 21, his squadron
commander ordered him to receive the required vaccination.
Appellant refused to obey the order, and he received nonjudicial
punishment under Article 15, UCMJ, 10 USC § 815, for
disobedience of the order. The nonjudicial punishment consisted
of reduction from pay grade E-4 to E-1 and a suspended
forfeiture of $483.00 per month for two months.
Appellant’s commander issued appellant a new order on
January 7, 2000, directing that he receive the anthrax
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vaccination within 24 hours. On January 8, appellant informed
his commander that he would not obey the order. Appellant’s
refusal occurred after he had considered articles in the media
and testimony in congressional proceedings raising questions
about the safety and effectiveness of the anthrax vaccine.
Appellant was charged with a violation of Article 90, UCMJ,
which prohibits willful disobedience of a lawful order from a
superior commissioned officer. The charge was referred to a
special court-martial. During pretrial proceedings, the
prosecution asked the military judge to rule that the order was
lawful. The defense expressly stated that it would not contest
the lawfulness of the order. The military judge ruled that the
order was lawful, and he advised the parties that he would so
instruct the members of the court-martial.
The prosecution then moved to preclude the defense from
introducing evidence challenging the safety and effectiveness of
the vaccination program. The defense objected, contending that
such evidence was central to the defense case, which would be
based upon the defenses of duress and necessity. The military
judge granted the prosecution’s motion. The military judge
indicated that the defense of duress was unavailable because it
requires an unlawful threat from a human being, and that the
defense of necessity was unavailable because it requires a
threat from a natural physical force -- neither of which was
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present in this case. The military judge reasoned, in effect,
that any threat to appellant’s health came from human
implementation of a lawful policy decision, not from an unlawful
threat or a natural physical force. On appeal, appellant
contends that the military judge committed prejudicial error by
not permitting him to present pertinent evidence regarding the
defenses of duress and necessity.
B. DISCUSSION
In United States v. Rockwood, 52 M.J. 98 (1999), we
considered the nature of the duress defense in the military
justice system, as well as the question of whether the defense
of necessity is available in courts-martial. With respect to
duress, we observed: (1) “[c]lassically, duress was seen as a
defense to crime if the defendant was compelled or coerced to
commit the crime by some human agency, under a threat of serious
imminent harm to the defendant or others”; (2) “[f]or the
defense of duress to apply, the crime committed must have been
of lesser magnitude than the harm threatened”; (3) “the duress
must [have] consist[ed] of threatening conduct which produced in
the defendant . . . a reasonable fear of . . . immediate (or
imminent) . . . death or serious bodily harm”; and (4) “[a]n
obviously safe avenue of escape before committing the prohibited
act nullifies the defense.” Id. at 112 (citing 1 Wayne R.
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LaFave & Austin W. Scott, Jr., Substantive Criminal Law 614-27
(1986); Rollin M. Perkins & Ronald N. Boyce, Criminal Law 1959-
65 (3d ed. 1982); United States v. Vasquez, 48 M.J. 426, 429-30
(1998)(internal quotations and emphasis omitted)).
With respect to the defense of necessity, we noted: (1)
necessity “was traditionally seen as a choice of evils defense”
in which “the pressure of circumstances was not brought by human
agency, but by the situation itself”; and (2) “[t]he defendant’s
belief that his actions were necessary must have been
reasonable, and there must have been no alternative that would
have caused lesser harm.” Id. at 112 (citing 1 LaFave & Scott,
supra, at 627-31, 635, 638; Perkins & Boyce, supra, at 1069;
United States v. Bailey, 444 U.S. 394, 410 (1980)(footnote and
internal quotations omitted)).
In our discussion of applicable military law, we took note
of R.C.M. 916(h), Manual for Courts-Martial, United States (2000
ed.)∗ which provides for the defense of duress. We also observed
that the defense of necessity was not specifically provided for
in the Manual for Courts-Martial, and that under the
circumstances of the case it was unnecessary to decide whether,
as a matter of law, it should be available in the military
justice system. Id. at 113-14.
∗
All Manual provisions cited are identical to those in effect at the time of
appellant's court-martial.
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Appellant places primary reliance on R.C.M. 916(h), which
states:
It is a defense to any offense except
killing an innocent person that the
accused’s participation in the offense was
caused by a reasonable apprehension that the
accused or another innocent person would be
immediately killed or would immediately
suffer serious bodily injury if the accused
did not commit the act. The apprehension
must reasonably continue throughout the
commission of the act. If the accused has
any reasonable opportunity to avoid
committing the act without subjecting the
accused or another innocent person to the
harm threatened, this defense shall not
apply.
Appellant contends that a plain reading of the text provides a
defense to a charge of disobeying a lawful order if the accused
had a reasonable belief that compliance with the order would
result in death or serious bodily injury to the accused or
another person. According to appellant, the military judge
erred in two respects: first, by grafting onto the rule a
requirement that the duress result from the unlawful threat of a
human being; and second, by declining to consider the necessity
defense in the absence of a threat imposed by a natural physical
force.
Appellant’s narrow reading of R.C.M. 916(h) would permit a
member of the armed forces to disobey a lawful order if the
servicemember had a reasonable apprehension that he or she, or
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another innocent person, would immediately be killed or suffer
serious bodily injury if he or she complied with the order.
Such an interpretation suggests that the President designed the
rule to alter one of the core values of military service -- the
willingness of the individual to sacrifice his or her life or
well-being for the sake of the nation. As the Supreme Court has
emphasized, “[t]he essence of military service ‘is the
subordination of the desires and interests of the individual to
the needs of the service.’” Goldman v. Weinberger, 475 U.S.
503, 507 (1986)(quoting Orloff v. Willoughby, 345 U.S. 83, 92
(1953)).
The requirement to place the needs of the nation above a
servicemember’s personal welfare applies in peacetime as well as
in war. “[I]t is the primary business of armies and navies to
fight or be ready to fight should the occasion arise.” United
States v. ex rel. Toth v. Quarles, 350 U.S. 11, 17 (1955).
Every day, members of the armed forces engage in operational
missions or training activities in which there is a risk of
death or serious bodily injury to themselves or others.
Although the armed forces rely on unit cohesion and leadership
to foster a willingness to undertake such risks, legal sanctions
are available to promote obedience should positive measures
prove insufficient. Congress has expressly provided criminal
sanctions in Article 90, UCMJ, as well as Articles 91 and 92,
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UCMJ, 10 USC §§ 891 and 892, for failure to obey a lawful order,
including authority in Article 90(2) for capital punishment in
time of war for disobedience of the lawful order of a superior
commissioned officer.
The President’s guidance with respect to the disobedience
offenses embodies longstanding military law. “An order
requiring the performance of a military duty or act may be
inferred to be lawful and it is disobeyed at the peril of the
subordinate.” Paragraph 14c(2)(a)(1), Part IV, Manual, supra.
“The order must relate to military duty, which includes all
activities reasonably necessary to accomplish a military
mission, or safeguard or promote the morale, discipline, and
usefulness of members of a command and directly connected with
the maintenance of good order in the service.” Id. at para.
14c(2)(a)(iii). When a commander gives an order that is
reasonably necessary to accomplish the mission -- including an
order involving protective measures, such as defensive
positioning, wearing protective armor, or taking a vaccine to
counter a biological weapon -- the servicemember is obligated to
obey or face punishment under Articles 90, 91, or 92, UCMJ. If
servicemembers could disobey lawful orders to participate in
military training or operations out of a reasonable apprehension
that they or others might suffer death or serious bodily injury,
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the President’s guidance in paragraph 14c(2)(a) Part IV, Manual,
supra, would be rendered meaningless.
In light of the foregoing, it would be inappropriate to
read the President’s guidance on the duress defense in R.C.M.
916(h) Manual, supra, in isolation. Instead, it must be read in
conjunction with the guidance on disobedience of lawful orders
and the essential purposes of military law. In that context,
the military judge correctly ruled that the duress defense in
R.C.M. 916(h) should be viewed in a manner consistent with the
requirement in prevailing civilian law that the threat emanate
from the unlawful act of another person. Likewise, if the
defense of necessity applies in the military justice system -- a
question which we need not resolve at this time -- similar
considerations would call for an application of the prevailing
civilian doctrine regarding the requirement for the necessity to
arise from a natural force, as opposed to a human action.
As we noted in Rockwood, supra, “[t]here may indeed be
unusual situations in which an assigned military duty is so
mundane, and the threat of death or grievous bodily harm . . .
is so clearly defined and immediate, that consideration might be
given to a duress or necessity defense.” 52 M.J. at 114. This is
not such a case. The evidence offered at trial demonstrated
that the vaccination program was designed and implemented as a
defensive measure in the face of a significant military threat.
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Assuming the validity of the data provided by appellant
concerning the risk of adverse effects from the vaccination,
such information does not demonstrate that the purpose of the
vaccination program was “mundane” or that such risks were so
immediate and widespread as to undermine its purpose.
The foregoing discussion is based on the premise -- not
challenged by appellant in this case -- that the order was
lawful. A servicemember charged with a disobedience offense may
challenge the lawfulness of the order on a variety of grounds,
e.g., that the order directed the commission of a crime; that
the issuing officer lacked authority; that the order did not
relate to a military duty; that it interfered with private
rights or personal affairs without a valid military purpose;
that it was solely designed to achieve a private purpose; that
it conflicted with a person’s statutory or constitutional
rights. See para. 14c(2)(a)(i)-(iv), Part IV, Manual, supra;
United States v. New, 55 M.J. 95 (2001). In the present case,
however, appellant chose not to challenge the lawfulness of the
order he received to participate in the anthrax vaccination
program. Accordingly, we have no occasion in this case to
determine whether the program is based upon lawful authority or
whether there are other legal grounds for questioning the
program. Based on the foregoing, we resolve this issue against
appellant.
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II. APPLICABILITY OF THE PRESUMPTION OF INNOCENCE
DURING INTERMEDIATE APPELLATE REVIEW UNDER ARTICLE 66(c)
A. BACKGROUND
Article 66(c), UCMJ, 10 USC § 866(c) provides:
In each case referred to it, the Court of
Criminal Appeals may act only with respect
to the findings and sentence as approved by
the convening authority. It may affirm only
such findings of guilty and the sentence or
such part or amount of the sentence, as it
finds correct in law and fact and
determines, on the basis of the entire
record, should be approved. In considering
the record, it may weigh the evidence, judge
the credibility of witnesses, and determine
controverted questions of fact, recognizing
that the trial court saw and heard the
witnesses.
Article 66(c) requires the Courts of Criminal Appeals to
conduct a de novo review of legal and factual sufficiency of the
case. See United States v. Cole, 31 M.J. 270, 272 (CMA 1990).
The court may affirm a conviction only if it concludes, as a
matter of factual sufficiency, that the evidence proves
appellant’s guilt beyond a reasonable doubt. United States v.
Sills, 56 M.J. 239, 240-41 (2002); United States v. Turner, 25 M.J.
324, 324-25 (CMA 1987). Although the court in the present case
discussed the theoretical basis for a lesser standard of proof,
it ultimately concluded that the evidence was sufficient to
demonstrate appellant’s guilt beyond a reasonable doubt, thereby
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mooting any impact from its discussion of the lesser standard.
See 54 M.J. at 941.
In the course of its discussion of factual sufficiency, the
court also rejected appellant’s suggestion that appellate review
for factual sufficiency under Article 66(c), UCMJ, required the
court to apply the “presumption of innocence.” Id. at 940. The
“presumption of innocence” is a longstanding feature of both
military and civilian law and is set forth in the statutory
requirement that, prior to findings, the members of a court-
martial must be instructed “that the accused must be presumed to
be innocent until his guilt is established by legal and
competent evidence beyond a reasonable doubt.” See Art.
51(c)(1), UCMJ, 10 USC § 851(c)(1). The instruction, which does
not literally employ a presumption, reminds the members of a
critical fact -- that the accused, as a matter of law, is
innocent unless the members are satisfied the prosecution has
proved each required element of the offense beyond a reasonable
doubt. See 1 Barbara E. Bergman & Nancy Hollander, Wharton’s
Criminal Evidence, §§ 2:2, 3:10, at 23, 169-70 (15th ed. 1997).
As a practical matter, the presumption of innocence serves to
underscore the instruction that the members may not presume that
the defendant is guilty simply because charges have been
referred to trial. See Military Judges’ Benchbook, Dept. of the
Army Phamphlet 27-9 (Sept. 30, 1996) at 2-5.
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At the appellate level, different considerations apply.
The Court of Criminal Appeals is required to conduct a de novo
review of the entire record of a trial, which includes the
evidence presented by the parties and the findings of guilt.
Such a review involves a fresh, impartial look at the evidence,
giving no deference to the decision of the trial court on
factual sufficiency beyond the admonition in Article 66(c),
UCMJ, to take into account the fact that the trial court saw and
heard the witnesses.
In the performance of its Article 66(c), UCMJ, functions,
the Court of Criminal Appeals applies neither a presumption of
innocence nor a presumption of guilt. The court must assess the
evidence in the entire record without regard to the findings
reached by the trial court, and it must make its own independent
determination as to whether the evidence constitutes proof of
each required element beyond a reasonable doubt. In contrast to
the lay members who serve on courts-martial, the mature and
experienced judges who serve on the Courts of Criminal Appeals
are presumed to know and apply the law correctly without the
necessity of a rhetorical reminder of the “presumption of
innocence.”
In addition to reminding the fact-finder to not employ a
presumption of guilt, the presumption of innocence also reflects
allocation of the burden of proof. See Bell v. Wolfish, 441
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U.S. 520, 533 (1979)(citing Taylor v. Kentucky, 436 U.S. 478,
485 (1978)). During review under Article 66(c), UCMJ, an
appellant does not bear the burden of raising doubts about the
trial-level finding of guilty. If the decision of the Court of
Criminal Appeals raises substantial questions as to whether
there has been an appropriate allocation of the burden, our
Court cannot rely on the presumption that the court below
applied the law correctly, and a remand is required to ensure
that the court below applies a level playing field. See United
States v. Troutt, 8 USCMA 436, 439, 24 CMR 246, 249 (1957). The
opinion of the court below in the present case raises such
questions. Instead of describing the approach that it would
apply in lieu of the presumption of innocence, the court below
cited Herrera v. Collins, 506 U.S. 390 (1993). 54 M.J. at 941.
Herrera, however, involved the appellate issue of whether
federal habeas corpus relief is appropriate in light of newly
discovered evidence – an issue under which the convicted person
faces a very heavy burden in terms of raising doubts about his
guilt. Herrera, 506 U.S. at 417. The lower court’s reliance on
Herrera raises the question of whether the court erroneously
placed the burden on appellant to raise doubts about his guilt.
Although the lower court does not need the reminder of a
presumption of innocence in order to perform its Article 66(c),
UCMJ, review, we must be assured on appeal that the court did
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not improperly shift the burden to appellant to raise doubts
about his guilt, which would indicate “application of an
erroneous principle of law.” Troutt, 8 USCMA at 439, 24 CMR at
249. A limited remand is appropriate in the present case to
ensure that the court below has applied the correct principles
of law. See United States v. Hutchison, 57 M.J. 231 (2002).
III. REVIEW OF APPELLANT’S SENTENCE
BY THE COURT OF CRIMINAL APPEALS
Before the Court of Criminal Appeals, appellant introduced
information concerning the disposition of other anthrax-related
cases in the Air Force. The information indicated that
disciplinary action had been taken in “just over 150 Air Force
cases” involving refusal to take the anthrax vaccine. Some of
the cases involved repeat offenders. Of the six individuals
whose cases were referred to summary courts-martial, all
eventually were given an administrative discharge. One of the
six cases was referred to a special court-martial after the
accused objected to a summary court-martial under Article 20,
UCMJ, 10 USC § 820, and he subsequently requested and was
granted an administrative discharge in lieu of court-martial.
One officer, who was offered nonjudicial punishment under
Article 15, UCMJ, requested trial by court-martial, and his case
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was pending at the time appellant’s case was under review at the
Court of Criminal Appeals. See 54 M.J. at 942-43.
The Court of Criminal Appeals identified specific aspects
of appellant’s case which it viewed as significant on the issue
of sentence appropriateness, including a letter of counseling
for reporting late for duty, a letter of reprimand for similar
misconduct on a different date and for insubordinate conduct
towards a noncommissioned officer, and negative comments in the
performance report he received prior to deployment. Id. at 943.
The court also took note of “substantial evidence that . . .
appellant was motivated to refuse the inoculation, not because
of his concern for the effects of the vaccine upon his body, but
because he wanted to return to Barksdale Air Force Base to
operate a trucking business he had been running during his off-
duty hours before he deployed.” Id. The court, noting that it
had considered “all the facts and circumstances surrounding the
commission of the offense, as well as the character of . . .
appellant and the matters in the record of trial,” concluded
that the sentence was appropriate. Id.
In the present appeal, appellant contends that the lower
court abused its discretion by not granting relief on the basis
of sentence appropriateness. Appellant does not contend in this
appeal that he is the subject of discriminatory or selective
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prosecution. Compare United States v. Garwood, 20 M.J. 148, 154
(CMA 1985).
The information submitted by appellant to the Court of
Criminal Appeals reflects a variety of discretionary
dispositions by Air Force commanders over both a relatively
brief period of time and a small number of cases. In reviewing
a case for sentence appropriateness, the Courts of Criminal
Appeals are not required to compare appellant’s case to other
specific cases unless the appellant demonstrates that his or her
case is closely related to the case or cases offered for
comparison. The mere similarity of offenses is not sufficient.
See United States v. Wacha, 55 M.J. 266, 267-68 (2001).
In our review of sentence appropriateness decisions by the
Courts of Criminal Appeals, we determine whether the lower court
“abused its discretion or caused a miscarriage of justice” in
exercising its highly discretionary sentence review function.
Id. at 268 (citing United States v. Fee, 50 M.J. 290, 291 (1999)).
In the present case, the court below considered both the data
provided by appellant and the specific circumstances of
appellant’s case. The court’s delineation of the factors
pertinent to its exercise of this highly discretionary function
did not constitute either an abuse of discretion or a
miscarriage of justice.
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IV. CONCLUSION
The decision of the United States Air Force Court of
Criminal Appeals is set aside. The record of trial is returned
to the Judge Advocate General of the Air Force for remand to the
Court of Criminal Appeals for further consideration of Issue II
in accordance with this opinion. Thereafter, the record of
trial shall be returned directly to this Court.
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BAKER, Judge (concurring):
I agree with the majority on Issue I that appellant
did not reasonably raise a defense of duress or necessity,
but I feel it is unnecessary to redefine those defenses, or
establish their factual predicates, in the context of this
case. On Issue II, I agree with the limited remand, but
write separately to communicate my views regarding one of
the principle foundations of criminal law. Finally, I
agree with the majority on Issue III.
I.
A military judge is required to instruct members on
the defense of duress when the defense is reasonably raised
by some evidence. United States v. Williams, 21 M.J. 360,
362 (CMA 1986); United States v. Rankins, 34 M.J. 326, 328
(CMA 1992). The same is true of the necessity defense, to
the extent such a defense exists in military law. Rankins,
34 M.J. at 328. The Supreme Court summarized the rationale
behind this two-part test in United States v. Bailey,
precisely because a defendant is entitled to have the
credibility of his testimony, or that of witnesses
called on his behalf, judged by the jury, it is
essential that the testimony given or proffered meet a
minimum standard as to each element of the defense so
that, if the jury finds it to be true, it would
support an affirmative defense -– here that of duress
or necessity.
444 U.S. 394, 415 (1980).
United States v. Washington, 01-0658/AF
In criminal law systems where members and juries
adjudicate facts, there are good reasons why “[r]uling on a
defense as a matter of law and preventing the jury from
considering it should be a rare occurrence in criminal
cases.” Id. at 435 (Blackmun, J., dissenting). The same
reasoning applies to a trial before a judge alone. If some
evidence reasonably raises a duress or necessity defense,
then an accused should have the opportunity to put on a
full defense and have the judge or members assess the
defense as the trier of fact. With such a standard, in
theory, it should be a rare event when such a defense is
not presented to the trier of fact. This is such a case.
Appellant conceded that the order to undergo anthrax
inoculation was lawful. He took five of six anthrax shots
without adverse reaction. The materials from the Internet,
on which appellant based his defense, were not relevant to
appellant’s situation; they were not connected to his
health or to his profile.1 As a result, whether cast as a
duress or necessity defense, neither defense was reasonably
1
The circumstances might have been different had appellant concretely
demonstrated his presence in a defined class of risk: a soldier
deathly allergic to penicillin ordered to take penicillin or a soldier
allergic to eggs ordered to take an egg-based vaccine. The majority
opinion seems to suggest that neither a duress nor a necessity defense
would be available in such cases because the predicate for the defense
would not arise from a human action or a natural force. The majority
opinion also suggests that a defense would only be available if taking
such a vaccine were considered “mundane.” These are issues we need not
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raised by appellant; therefore, we need not decide whether
appellant was making a duress or necessity argument, or
ultimately, whether the necessity defense is available in
the military system of justice. In the absence of a
definitive textual argument, I am inclined to think that
the necessity defense is available for the reasons stated
by Judge Wiss in Rankins. Rankins, 34 M.J. at 336-40 (Wiss,
J., dissenting). But surely, as well, for the reasons
stated in United States v. Rockwood, 52 M.J. 98, 107-12
(1999), in a military context, the defense is far more
likely to arise in law school hypotheticals, than in the
reality of military service, and then only where the
flouting of military authority is not involved. It is for
these reasons, perhaps, that this court has circled around
the necessity defense, not sure whether to pull the defense
fully on board, but not willing to cast it fully adrift,
lest its presence is required on deck in unforeseeable
circumstances.
II.
The presumption of innocence is a critical part of our
tradition of justice. It is deeply imbedded in our culture
as well as in our systems of justice. It is a virtue of
consider or decide in this context where, in any event, the defenses
were not reasonably raised.
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democratic society and can be an expression of American
optimism. It finds its way into the vernacular of everyday
relationships, between parent and child, teacher and
student, as well as in our legal relationships. In the
courtroom, the presumption of innocence means not only that
the Government bears the burden of proving every element of
crime beyond a reasonable doubt, but that the trier of fact
-- panel, jury, or judge -- approaches the case without
negative predisposition drawn from the accused’s presence
in the courtroom. Indeed, to guard against such
disposition, juries are instructed to adopt an affirmative
assumption of innocence.
Not surprisingly, the reasonable doubt standard and
the presumption of innocence are tightly intertwined, but
not inextricably so. The Supreme Court has described the
“presumption of innocence” as a “shorthand description of
the right of the accused to ‘remain inactive and secure,
until the prosecution has taken up its burden and produced
evidence and effected persuasion. . . .’” Taylor v.
Kentucky, 436 U.S. 478, 485 n.12 (1978). Beyond a
reasonable doubt is the measure of the prosecution’s
burden. But the presumption of innocence is a trial level
construct. As a matter of law and logic, it does not
migrate from the courtroom to military appellate chambers.
4
United States v. Washington, 01-0658/AF
The Air Force Court of Criminal Appeals relies on
Herrera v. Collins, 506 U.S. 390 (1993), to make its case;
however, Herrera is not controlling precedent in a military
justice system where Courts of Criminal Appeals exercise
unique de novo powers of factual review. See Article
66(c), Uniform Code of Military Justice (UCMJ), 10 USC §
866(c); United States v. Crider, 22 USCMA 108, 110-11, 46
CMR 108, 110-11 (1973). However, Supreme Court precedent
involving civilian proceedings is informative in tracing
the derivation of the “presumption of innocence” as a trial
mechanism. In Taylor, the Court observed that the
“admonition derives from a perceived salutary effect upon
lay jurors.” Taylor, 436 U.S. at 484. In Bell v. Wolfish,
441 U.S. 520 (1979), the Court noted that the “presumption
of innocence is a doctrine that allocates the burden of
proof in criminal trials; it also may serve as an
admonishment to the jury to judge an accused's guilt or
innocence solely on the evidence adduced at trial and not
on the basis of suspicions that may arise from the fact of
his arrest, indictment, or custody, or from other matters
not introduced as proof at trial.” Bell, 441 U.S. at 533.
This same precedent demonstrates that the presumption of
innocence is tied to principles of due process, but is not
derived from an independent constitutional requirement.
5
United States v. Washington, 01-0658/AF
Thus, in Taylor, the Court held that “on the facts of this
case the trial court’s refusal to give petitioner’s
requested instruction on the presumption of innocence
resulted in a violation of his right to a fair trial as
guaranteed by the Due Process clause of the Fourteenth
Amendment.” Taylor, 436 U.S. at 490 (emphasis added). As
a result, the presumption cannot be said to flow from a
principle of law that would override the language of
Article 66(c), UCMJ, or this Court’s long-standing
interpretation of that responsibility that has neither
acknowledged nor rejected an appellate presumption of
innocence, but that has required Courts of Criminal Appeals
to independently review courts-martial records free from
factual assumptions or presumptions.
Article 66(c), UCMJ, does not textually incorporate a
presumption of innocence: “In considering the record, [the
Court of Criminal Appeals] may weigh the evidence, judge
the credibility of witnesses, and determine controverted
questions of fact, recognizing that the trial court saw and
heard the witnesses.” “Weigh the evidence” comes without
textual presumption. In contrast, deference for the trial
court having seen and heard the witnesses arguably
incorporates a presumption in the direction of the trial
outcome appealed.
6
United States v. Washington, 01-0658/AF
Nor is an appellate presumption of innocence found in
military case law. The test for factual sufficiency is
“whether, after weighing the evidence in the record of
trial and making allowances for not having personally
observed the witnesses, the members of the Court of
[Criminal Appeals] are themselves convinced of the
accused’s guilt beyond a reasonable doubt.” United States
v. Turner, 25 M.J. 324, 325 (1987). The Courts of Criminal
Appeals have been referred to as a "thirteenth juror."
United States v. Schlegel, 7 M.J. 773, 775 (ACMR
1979)(Mitchell, S.J., concurring in part and dissenting in
part). See also Tibbs v. Florida, 457 U.S. 31, 42 (1982).
But that is a confusing analogy in this context. For the
Courts of Criminal Appeal do not in fact sit as a juror or
military judge, observing the witnesses, and with a
predisposition of innocence.2 When questions of law are
concerned, for example, Courts of Criminal Appeal consider
the evidence “in the light most favorable to the
prosecution.” Jackson v. Virginia, 443 U.S. 307, 319
(1979).
2
A Court of Criminal Appeals’ “fact-finding powers in determining the
degree of guilt to be found on the record [may be] more apposite to the
action of a trial court than to an appellate body,” but that does not
mean the presumption of innocence applies anymore than it means the
rules regarding speedy trial apply to de novo appellate review. United
States v. Crider, 22 USCMA 108, 111, 46 CMR 108, 111 (1973).
7
United States v. Washington, 01-0658/AF
Further, as a matter of logic, a panel or military
judge has already adjudicated the case. There is a finding
of guilt. The law necessarily incorporates presumptive
constructs. Judges are presumed to know the law, until
demonstrated otherwise. United States v. Prevatte, 40 M.J.
396, 398 (CMA 1994). Juries are presumed to follow
instructions, until demonstrated otherwise. United States
v. Holt, 33 M.J. 400, 408 (CMA 1991). But the law does not
expect the Courts of Criminal Appeals to disregard the
trial, which is, after all, what they are asked to review
under the Turner and Jackson standards. This is an
artificial construct too far. Nor do appellate judges,
constrained by Turner and Jackson, require admonishment to
preserve the Government’s burden of proof. What the law
requires, as Crider demonstrates, is a de novo review of
the facts free from a presumption of guilt and subject to a
burden of proof beyond a reasonable doubt. Crider, 22
USCMA at 111, 46 CMR at 111.
8
United States v. Washington, No. 01-0658/AF
CRAWFORD, Chief Judge (concurring in part and dissenting in
part):
I agree with the majority as to Issues I and III, and its
rationale as to Issue II, but part company as to a remand. The
judges on the Court of Criminal Appeals (CCA) cited dicta in
Herrera v. Collins, 506 U.S. 390, 399 (1993), as follows: “Once a
defendant has been afforded a fair trial and convicted of the
offense for which he was charged, the presumption of innocence
disappears....” This correct statement of the law, even though in
a habeas corpus case, does not rebut the presumption that the
judges below knew and applied the law correctly in this case.
See, e.g., United States v. Prevatte, 40 M.J. 396, 398 (CMA 1994);
United States v. Montgomery, 20 USCMA 35, 39, 42 CMR 227, 231
(1970).
The presumption of innocence is not strictly speaking, a
presumption in the sense of an inference deduced from a given
premise, “but an assumption of innocence since the prosecution
has the burden of persuasion with regard to the defendant’s
guilt.” See Harold A. Ashford & D. Michael Risinger,
Presumptions, Assumptions and Due Process in Criminal Cases, A
Theoretical Overview, 79 Yale L.J. 165, 173 (1969). See also 9
John H. Wigmore, Evidence in Trials at Common Law § 2511 at 530
(Chadbourn rev. 1981). Professor J. Thayer recognized that the
presumption “is not evidence -- not even an inference drawn from
United States v. Washington, No. 01-0658/AF
a fact and evidence -- but instead is a way of describing the
prosecution’s duty” to prove the guilt of the defendant at
trial. Taylor v. Kentucky, 436 U.S. 478, 483 n.12 (1978).
“In contrast to the lay members who serve on courts-
martial, the mature, experienced judges who serve” on the CCAs
are well-suited to perform their statutorily mandated Article
66(c)1 review without employing a rhetorical “presumption of
innocence” reminder. ___ MJ (14-15). The beyond a reasonable
doubt standard assures that the burden does not shift to an
appellant, thereby creating a level playing field without
further reminder of the burdens of proof and burdens of
persuasion to these able judges. Surely we do not require
appellate judges to list mechanically in every case the items
they did not consider, e.g., arrest, investigation pursuant to
Article 32,2 when applying the factual sufficiency test.
Presumptions of guilt or innocence are inconsistent with the
requirement of both United States v. Turner, 25 M.J. 324 (CMA
1987), and Jackson v. Virginia, 443 U.S. 307 (1979), that the
Government prove the case beyond a reasonable doubt, and have no
place in appellate practice. Accordingly, the court’s rejection
of appellant’s request to apply a “presumption of innocence” did
1
Uniform Code of Military Justice (UCMJ), 10 USC § 866(c).
2
UCMJ, 10 USC § 832.
2
United States v. Washington, No. 01-0658/AF
not constitute error or create an ambiguity requiring re-
examination.
As the majority correctly notes, the CCA applies neither a
presumption of innocence nor a presumption of guilt. The dicta
from Herrera cited by the CCA correctly reflect the long-
standing view that the presumption of innocence is a trial-level
device and a means of allocating the burdens of proof. That is,
that the Government has the burden of producing evidence of
guilt and must persuade the fact finder beyond a reasonable
doubt. However, the presumption of innocence disappears
following a conviction at trial, without regard to whether that
conviction is attacked via a direct appeal or a habeas corpus
petition. In Herrera, the Supreme Court held that there was no
violation of due process by the state’s reliance on a time limit
to refuse to consider newly discovered evidence, even though
such evidence would establish “actual innocence” of the offense
for which the defendant had been sentenced to death. 506 U.S.
at 404. The dicta cited by the CCA from Herrera is consistent
with the basic historical fact that the “assumption of
innocence” only applies at the trial level. Further, the dicta
cited by the CCA correctly reflect the burdens and the
presumptions at the trial level and what happens on appeal,
whether a direct appeal or a habeas corpus petition.
3
United States v. Washington, No. 01-0658/AF
Other than noting that Herrera involved a federal habeas
corpus issue, the majority offers no explanation as to how the
lower court’s citation to dicta in Herrera raise the question of
burden shifting to appellant. While the majority cites lack of
clarity by the lower court, it certainly can be criticized for
its own lack of clarity in ordering a remand. The cite to dicta
in Herrera neither undermines the fact that the court correctly
applied the Turner and Jackson standard, nor blunts the fact
that the CCA found the Government had proven its case beyond a
reasonable doubt. A remand will do little more than clarify
what review the court performed under Turner and Jackson. The
fact that the “presumption of innocence disappears” when there
is a habeas corpus petition does not weaken, and is indeed
consistent with, the proposition that there is no presumption of
innocence after a conviction at the trial level. Thus, the CCA
correctly applied Turner and Jackson to both its factual and
legal sufficiency reviews. See 54 M.J. at 941.
4
United States v. Washington, No. 01-0658/AF
SULLIVAN, Senior Judge (concurring in part and dissenting in
part):
I do not write on a clean slate concerning the first granted
issue. See United States v. Rockwood, 52 M.J. 98, 114 (1999);
United States v. Olinger, 50 M.J. 365, 367 (1999)(Sullivan, J.,
concurring in the result); United States v. Rankins, 34 M.J. 326,
331 (CMA 1992)(Sullivan, J., dissenting). However, in this case,
appellant conceded that the order to take the anthrax shot was
lawful. In addition, it was uncontroverted that he had
previously taken five of six required anthrax shots without
serious incident. Under these circumstances, the judge’s
decision to deny admission of evidence of possible effects of an
anthrax shot in general, if error, was clearly harmless beyond a
reasonable doubt. See United States v. Garcia, 44 M.J. 27, 31-32
(1996)(exclusion of defense evidence which did not have value in
particular case was harmless error).
The second issue granted review is more difficult. It asks:
WHETHER THE AIR FORCE COURT OF CRIMINAL
APPEALS ERRED IN ITS APPLICATION OF
ARTICLE 66(c) WHEN IT CONCLUDED THAT
APPELLANT WAS NOT ENTITLED TO A
PRESUMPTION OF INNOCENCE
In my view, the Court of Criminal Appeals clearly erred. United
States v. Troutt 8 USCMA 436, 439, 24 CMR 246, 249 (1957), See
also United States v. Sills, 56 M.J. 239, 240-41 (2002)(holding
1
United States v. Washington, No. 01-0658/AF
that the Air Force Court of Criminal Appeals erred in not
applying a beyond a reasonable doubt standard when exercising its
factual sufficiency power under Article 66(c), Uniform Code of
Military Justice (UCMJ), 10 USC § 866(c). Nevertheless, I
further conclude that this error did not prejudice appellant.
See Article 59(a), UCMJ, 10 USC § 859(a).
Article 66(c) UCMJ states:
In a case referred to it, the Court of
Criminal Appeals may act only with
respect to the findings and sentence as
approved by the convening authority. It
may affirm only such findings of guilty
and the sentence or such part or amount
of the sentence, as it finds correct in
the law and fact and determines, on the
basis of the entire record, should be
approved. In considering the record, it
may weigh the evidence, judge the
credibility of witnesses, and determine
controverted questions of fact,
recognizing that the trial court saw and
heard the witnesses.
This statute does not expressly provide a standard of review for
a service appellate court to use in exercising its fact-finding
power. See also Jackson v. Taylor, 353 U.S. 569, 575-76 (1957).
However, as noted above, in United States v. Sills, 56 M.J. at 241
this Court held that a service appellate court should employ the
traditional criminal trial standard of “beyond a reasonable
doubt” in conducting “a de novo review” of the facts. See
generally Bose Corp. v. Consumers Union of United States Inc.,
466 U.S. 485, 514 n.31 (1984)(defining de novo review as an
2
United States v. Washington, No. 01-0658/AF
“original appraisal of all the evidence”). Our holding reflected
well-established military law. See United States v. Boland, 1 M.J.
241, 241 (1975)(per curium); United States v. McCrary, 1 USCMA 1,
3, 1 CMR 1, 3 (1951)(Board of Military Review (now Court of
Criminal Appeals) is a trier of fact which must apply a beyond a
reasonable doubt standard); See generally Homer E. Moyer,
Procedural Rights of the Military Accused: Advantages over a
Civilian Defendant, 51 Mil.L.Rev. 1, 28-29 (1971).
Article 66(c), UCMJ, also does not expressly provide that the
Court of Criminal Appeals afford a military accused a presumption
of innocence in conducting its fact-finding. Cf. J. Powers, Fact
Finding in the Courts of Military Review, 44 Baylor L. Rev., 457,
465-68 (1992)(suggesting that structure of Article 66(c), UCMJ,
presumes error by trial court until affirmed by Court of Military
Review). However, a presumption of innocence is clearly
applicable to fact-finding by a court of members at a court-
martial. Article 51(c), UCMJ, 10 USC § 851(c), states:
Before a vote is taken on the findings,
the military judge or the president of a
court-martial without a military judge
shall, in the presence of the accused and
counsel, instruct the members of the
court as to the elements of the offense
and charge them-
(1) that the accused must be presumed to
be innocent until his guilt is
established by legal and competent
evidence beyond reasonable doubt;
(2) that in the case being considered,
if there is a reasonable doubt as to the
3
United States v. Washington, No. 01-0658/AF
accused, the doubt must be resolved in
favor of the accused and he must be
acquitted;
(3) that, if there is a reasonable doubt
as to the degree of guilt, the finding
must be in a lower degree as to which
there is no reasonable doubt; and
(4) that the burden of proof to
establish the guilt of the accused beyond
reasonable doubt is upon the United
States.
Moreover, as the above statute indicates, the presumption of
innocence is inextricably woven within the traditional criminal
law standard of proof beyond a reasonable doubt. See generally
Taylor v. Kentucky, 436 U.S. 478 (1978). Finally, decisions from
this Court and the Court of Criminal Appeals hold that the
presumption of innocence is applicable to the factual review of
the Court of Criminal Appeals.1 See United States v. Pettiford,
9 USCMA 648, 651, 26 CMR 428, 431 (1958); United States v.
Troutt, 8 USCMA 436, 439, 24 CMR 246, 249 (1957); see e.g.,
United States v. Powell, 29 CMR, 688, 701 (N.B.R. 1959); United
States v. Walker, 10 CMR 773, 784-85 (A.B.R. 1952).
My conclusion that this presumption should be applied by the
Courts of Criminal Appeals is amply supported by the unanimous
decision of this Court in United States v. Crider, 22 USCMA 108,
46 CMR 108 (1963). There, this Court clearly recognized that
1
Trial burdens and appellate standards of review are not necessarily
unrelated, especially where a unique appellate statute like Article 66(c),
Uniform Code of Military Justice (UCMJ), 10 USC § 866(c), is involved. See
Steven A. Childress & Martha S. Davis, 1 Federal Standards of Review § 6.03 at
6-21. (3rd ed. 1999).
4
United States v. Washington, No. 01-0658/AF
Congress had uniquely provided service appellate courts with the
same fact finding powers as a trial court.
Of greater importance is that Courts of
Military Review possess far-reaching
powers that are not normally attributes
of appellate bodies. Article 66(c),
UCMJ, 10 USC § 866(c), provides that such
courts
“. . . may affirm only such
findings of guilty, and the sentence or
such part or amount of the sentence, as
it finds correct in the law and fact and
determines, on the basis of the entire
record, should be approved. In
considering the record, it may weigh the
evidence, judge the credibility of the
witnesses, and determine controverted
questions of fact....”
Factual determinations by Courts of
Military Review are binding on this
Court. United States v. Baldwin, 17
USCMA 72, 37 CMR 336 (1967); United
States v. Remele, 13 USCMA 617, 33 CMR
149 (1963); United States v. Moreno, 5
USCMA 500, 18 CMR 124 (1955).
Essentially, the Court of Military
Review provides a de novo trial on the
record at appellate level, with full
authority to disbelieve the witnesses,
determine issues of fact, approve or
disapprove findings of guilty, and,
within the limits set by the sentence
approved below, to judge the
appropriateness of the accused’s
punishment. We believe such a court’s
exercise of its fact-finding powers in
determining the degree of guilt to be
found on the record is more apposite to
the action of a trial court than to that
of an appellate body.
Crider, 22 USCMA at 110-11, 46 CMR at 110-11 (emphasis added).
See also United States v. Sikorski, 21 USCMA 345, 348, 45 CMR
119, 122 (1972); McCrary, 1 USCMA at 4, 1 CMR at 4. Fifty years
5
United States v. Washington, No. 01-0658/AF
of military precedent and practice upholding this broad appellate
fact-finding power should not be lightly discarded.2 See
generally United States v. Tualla, 52 M.J. 228, 231
(2000)(upholding the doctrine of stare decisis); see generally,
Lester B. Orfield, Criminal Appeals in America 79-91
(1939)(“[p]erhaps the greatest step in the development of the
scope of review in modern times has been that of allowing the
[appellate] court... to review the facts”).
In any event, a new argument against applying the
presumption of innocence at the Court of Criminal Appeals was
accepted by the service appellate court in this case. It
cited the Supreme Court decision in Herrera v. Collins, 506 U.S.
390, 399 (1993). There, the Supreme Court said,
[o]nce a defendant has been afforded a
fair trial and convicted of the offense
for which he was charged, the
presumption of innocence disappears. Cf.
Ross v. Moffit, 417 U.S. 600, 610 (1974)
(“The purpose of the trial stage from the
state’s point of view is to convert a
criminal defendant from a person presumed
innocent to one found
guilty beyond a reasonable doubt”). Here
it is not disputed that the State met its
burden of proving at trial that
petitioner was guilty of the capital
murder of Officer Carrisalez beyond a
reasonable doubt. Thus, in the eyes of
2
In my view the majority opinion reaffirms the prior decision of this court
in United States v. Troutt, 8 USCMA 436, 24 CMR 246 (1957) and effectively
requires application of the presumption of innocence by the Court of Criminal
Appeals during its factual review of the evidence under Article 66, UCMJ. It
does so to the extent that it implicitly recognizes that for purposes of this
review the burden of proof or persuasion beyond a reasonable doubt is on the
government and it cannot be shifted to the military accused. In my view this
is not a “level playing field.” See generally Taylor v. Kentucky, 431 U.S.
478 (1978).
6
United States v. Washington, No. 01-0658/AF
the law, petitioner does not come before
the Court as one who is “innocent”, but,
on the contrary, as one who has been
convicted by due process of law of two
brutal murders.
Id. (emphasis added).
The Court of Criminal Appeals below likewise concluded that the
presumption of innocence disappears for a service member who
comes before the Court of Criminal Appeals after being found
guilty by a court-martial. United States v. Washington, 54 M.J.
936, 941 (A.F. Ct. Crim. App. 2001). I disagree.
Herrera, supra, concerns a Supreme Court review of a federal
habeas corpus petition of a state court criminal conviction.
That petitioner had already unsuccessfully challenged his
conviction on direct review, in collateral state proceedings in
the state court, and in a prior federal habeas petition. The
Supreme Court affirmed the Circuit Court of Appeals denial of
this petition on the basis that, absent a constitutional
violation, a claim of actual innocence based on post-trial
affidavits is not cognizable on such a habeas petition.
Appellant, unlike Herrera, however, is on direct appeal of his
court-martial conviction under Article 66, UCMJ.
More importantly, Herrera, supra, does not hold or
reasonably imply that a presumption of innocence can never be
afforded an appellant on the appeal of a criminal case. The
7
United States v. Washington, No. 01-0658/AF
existence of such presumption on appeal is not a constitutional
or common law question, but a question of statutory law. See
generally Martinez v. Court of Appeals of California, 528 U.S.
152, 160 (2000) (quoting Abney v. United States, 431 U.S. 651,
656 (1977)(“the right of appeal, as we presently know it in
criminal cases, is purely a creature of statute”)). The Supreme
Court’s pronouncement in Herrera on the status of a criminal
defendant before an appellate court was no more than a general
statement of the law. Indeed, the federal civilian criminal
justice system, and most state jurisdictions, do not provide for
appellate review of findings of guilty of a trial court for
factual sufficiency. However, a small minority of
jurisdictions, like the military justice system, do provide for
a factual review by statute, and thus, present a different
appellate scenario not addressed in Herrera. See People of
Virgin Islands v. Price, 181 F.2d 394 (3rd Cir. 1950); People v.
Bleakley, 508 N.E. 2d. 672 (N.Y. 1987); Commonwealth v. Cadwell,
372 N.E.2d. 246 (Mass. 1978); Clewis v. State, 922 S.W.2d. 126
(Tex. Crim. App. 1996); see generally Lester B. Orfield,
Appellate Review of the Facts in Criminal Cases, 12 F.R.D. 311,
315-16 (1952)(noting six states had statutes permitting review
of facts in criminal cases in 1930).
Of course, even in this appellate scenario, most of the
jurisdictions which provide for some appellate factual review of
findings of guilty, employ a weight of the evidence standard of
8
United States v. Washington, No. 01-0658/AF
review which might not require application of the presumption of
innocence. See Bleakley, 508 N.E.2d at 675 But see Price,
supra. Nevertheless, there is a long established tradition in
military law providing for de novo post-trial review of court-
martial verdicts by reviewing authorities and confirming
authorities using a beyond a reasonable doubt standard of
review. See Runkle v. United States, 122 U.S. 543, 557 (1887);
William F. Fratcher Appellate Review in American Military Law,
14 Mo. L. Rev. 15, 25, 30-40, 48, 51-52, 60, 66 (1949); William
M. Connor, Reviewing Authority Action in Court-Martial
Proceedings, 12 Va. L. Rev. 43, 54-60 (1926); cf. William M.
Connor, Legal Aspects of the Determinative Review of General
Court-Martial Cases and Article of War 50 1/2, 31 Va. L. Rev.
119 (1944). Moreover, the overwhelming demand for drastic
reform in military justice after World War II strongly suggests
that Congress intended this same type of appellate review of the
facts (including a presumption of innocence) be conducted by
these newly constructed service appellate courts pursuant to the
UCMJ. See generally 1 Jonathan Lurie, Arming Military Justice,
130-50 (1992); J.Powers, Fact Finding in the Courts of Military
Review, supra; cf. Hurley v. Irish-American Gay, Lesbian, and
Bisexual Group of Boston, 515 U.S. 557, 567-68
(1995)(recognizing Supreme Court’s authority for independent
appellate review of constitutional facts without deference to
trial courts). See generally Adam Hoffman, Note, Corralling
9
United States v. Washington, No. 01-0658/AF
Constitutional Fact: De Novo Fact Review in the Federal
Appellate Courts, 50 Duke L.J. 1427, 1430-31 (2001).
A final question remains whether certain language in Article
66(c), UCMJ, itself precludes or is inconsistent with a
presumption of innocence being applied by the Courts of Criminal
Appeals in their review of the verdicts of courts-martial.
Article 66(c), UCMJ, states in pertinent part
In considering the record, it may weigh
the evidence, judge the credibility of
witnesses, and determine controverted
question of fact, recognizing that the
trial court saw and heard the witnesses.
(Emphasis added.)
An argument is made that the clean slate afforded an accused
at the beginning of a court-martial, see Article 51, UCMJ, can
not be maintained on appeal, once that accused is convicted and
the Court of Criminal Appeals is required to give that verdict
deference. See Washington, 54 M.J. at 941. Again, I am not
persuaded that this Court should change course. See also
Hoffman, Note, supra, at 1441-45.
I would first note that the recognition language noted above
does not stand alone in Article 66(c), UCMJ. This statute broadly
says that the Courts of Criminal Appeals “may affirm only such
findings of guilty. . . as it finds correct... in fact.” It
10
United States v. Washington, No. 01-0658/AF
additionally delineates specific fact-finding powers for that
appellate court which normally are associated only with a trial
court where the presumption of innocence usually operates.
Second, our Court has not attached undue significance to this
language in this statute; rather we generally have considered it
a simple admonition or caution. See United States v. Doctor, 7
USCMA 126, 137, 21 CMR 252, 263 (1956); United States v. Hendon,
7 USCMA 429, 432, 22 CMR 219, 222 (1956)(“subject only to the
limitations that they bear in mind that the trial forum saw and
heard the witnesses . . . .”). Third, this Court’s construction
of this language is justified in that the statutory predecessor
of Article 66(c), UCMJ, Article of War 50(g), did not contain
this language, and no explanation of its meaning or purpose is
provided in the legislative history of the UCMJ.3 Finally, as
noted above, the Courts of Criminal Appeals and their
predecessors (the Boards of Military Review and the Courts of
3
See Articles of War, as amended by the act of June 24, 1948, reprinted in
Manual for Courts-Martial, United States Army 1949. The words “recognizing
that the trial court saw and heard the witnesses” are not unique to Article
66(c), UCMJ. Since 1938, Federal Rule of Civil Procedure 52 has contained
similar language. See 9A Charles A. Wright & Arthur R. Miller, Federal
Practice and Procedure § 2571 at 481 (1997); G.K.T., Jr., Note, Rule 52(a):
Appellate Review of Findings of Fact Based on Documentary or Undisputed
Evidence, 49 Va. Rev. 506, 510-16 (1963). That is a civil law rule, however,
and it additionally provides for a clearly erroneous standard of review
placing the burden of persuasion on the appellant. Id. at 2585-87. Similar
language was also used before 1938 with respect to appeals in equity to
describe a judicially created limit on the traditionally broad scope of appeal
in equity which extended even to the facts of a case. See Lester B. Orfield,
Appellate Procedure in Equity Cases: A Guide For Appeals at Law, 90 U. Pa. L.
Rev. 563, 580, 593 (1942); Henry L. McClintock, Handbook of the Principle of
Equity 40 (2nd ed. 1948); cf. William M. Connor, Legal Aspects of the
Determinative Review of General Court-Martial Cases and Articles of War 50½,
31 Va. L. Rev. 119, 152-56 (1944). United States v. Calder, 27 B.R. 365, 382-83
(A.B.R. 1944). Neither situation is particularly analogous to the broad de
novo review of the facts provided by Congress after World War II as an
innovative response to widely demanded reform of our military justice system.
See 1 Jonathan Lurie, Arming Military Justice 130-50 (1992).
11
United States v. Washington, No. 01-0658/AF
Military Review) have historically conducted their Article 66 de
novo review of the facts using a presumption of innocence. See
Powell, supra; Walker, supra.
Although I conclude that the Court of Criminal Appeals erred
in rejecting a presumption of innocence, I still must vote to
affirm appellant’s conviction. The Court of Criminal Appeals
alternatively decided this case on the basis of our precedent,
not Herrera, supra, which required it to find proof of guilt
beyond a reasonable doubt in its review of the evidence under
Article 66(c), UCMJ. 54 M.J. at 941 (citing United States v.
Turner, 25 M.J. 324, 325 (CMA 1987)). While the presumption of
innocence and the traditional criminal law standard of proof
beyond a reasonable doubt are not synonymous, they overlap to
the extent that they both require the prosecution to prove
beyond a reasonable doubt each and every element of the offense.
See 9 John H. Wigmore, Evidence in Trials at Common Law § 2511
(Chadbourne rev. 1981). Admittedly, the presumption of
innocence also protects against conviction of the accused based
on the fact of his arrest, his being charged with a crime, or
his presence in the courtroom as a defendant. However, the
Court of Criminal Appeals, composed of professionally trained
and qualified judges, need no reminder of this law.
Accordingly, the lower appellate court’s disavowal of the
presumption of innocence was harmless error in this case. See
12
United States v. Washington, No. 01-0658/AF
United States v. Velez-Vasquez, 116 F.3d 58, 62 (2nd Cir. 1997);
see also Kentucky v. Whorton, 441 U.S. 786 (1979).4
4
Concerning the third granted issue in this case, I agree with its resolution
by the majority.
13