United States v. Roberts ( 2010 )

UNITED STATES, Appellee
v.
Christopher J. ROBERTS, Staff Sergeant
U.S. Air Force, Appellant
No. 10-0030
Crim. App. No. 36905
United States Court of Appeals for the Armed Forces
Argued January 13, 2010
Decided May 13, 2010
ERDMANN, J., delivered the opinion of the court, in which
EFFRON, C.J., and BAKER, STUCKY, and RYAN, JJ., joined.
Counsel
For Appellant: Major Darrin K. Johns (argued); Colonel James B.
Roan and Major Shannon A. Bennett (on brief).
For Appellee: Captain Jamie L. Mendelson (argued); Colonel
Douglas P. Cordova, Lieutenant Colonel Jeremy S. Weber, and
Gerald R. Bruce, Esq. (on brief).
Military Judge: Gary M. Jackson
This opinion is subject to revision before final publication.
United States v. Roberts, No. 10-0030/AF
Judge ERDMANN delivered the opinion of the court.
Staff Sergeant Christopher J. Roberts pleaded guilty to one
specification of assault consummated by a battery upon his wife
(ER) and not guilty to the following three specifications: a
separate assault consummated by a battery upon ER; the rape of
ER; and communicating a threat to ER. A military judge sitting
as a general court-martial found him guilty of all charges. The
United States Air Force Court of Criminal Appeals affirmed the
findings and the approved sentence.1 United States v. Roberts,
No. ACM 36905, 2009 CCA LEXIS 251, at *21, 2009 WL 2209206, at
*7 (A.F. Ct. Crim. App. July 24, 2009).
Generally, evidence of a victim’s past sexual behavior is
inadmissible in a sexual offense case under Military Rule of
Evidence (M.R.E.) 412. The purpose of the rule is to “shield
victims of sexual assaults from the often embarrassing and
degrading cross-examination and evidence presentations common to
prosecutions of such offenses.” Manual for Courts-Martial,
United States, Analysis of the Military Rules of Evidence app.
22 at A22-35 (2008 ed.). There are three exceptions to this
general rule of exclusion, the third of which allows the
admission of evidence if “the exclusion of which would violate
1
Roberts was sentenced to a dishonorable discharge, four years
of confinement, forfeiture of all pay and allowances, reduction
to E-1, and a reprimand. The convening authority approved the
sentence, but suspended a portion of the forfeitures and waived
2
United States v. Roberts, No. 10-0030/AF
the constitutional rights of the accused.” M.R.E. 412(b)(1)(C).
We granted review in this case to determine whether the military
judge erred in excluding evidence of ER’s relationship with
another man (FL), evidence that Roberts asserts would have
established a motive for ER to fabricate the rape allegation
against him.2
We agree with the Court of Criminal Appeals that under the
circumstances presented in this case, the proffered evidence of
ER’s alleged sexual relationship with FL was not admissible
under M.R.E. 412. 2009 CCA LEXIS 251, at *7, 2009 WL 2209206,
at *3. We also agree with the lower court that the military
judge erred in limiting the cross-examination of ER concerning
the general relationship between ER and FL and specifically by
not allowing any cross-examination of ER as to her cell phone
call to FL immediately after the incident. 2009 CCA LEXIS 251,
at *8, 2009 WL 2209206, at *3. However, we find those errors to
the automatic forfeitures for six months for the benefit of
Roberts’s wife and the three children.
2
We granted review of the following issue:
Whether the military judge’s denial of Appellant’s
Sixth Amendment right to confront a witness against
him was harmless error when the judge prohibited
Appellant from demonstrating that his wife, the
alleged rape victim, had a motive to fabricate the
issue of consent based on her extramarital romantic
relationship that gave her an incentive to either get
Appellant out of the picture or protect her
extramarital relationship.
3
United States v. Roberts, No. 10-0030/AF
be harmless beyond a reasonable doubt and affirm the lower
court.
Background
Roberts and ER started having marital problems before he
was deployed to Iraq and those problems continued during and
after his deployment, which resulted in the couple contemplating
divorce. Roberts was convinced that ER was having an affair,
although he initially did not know with whom. The charges
against Roberts arose out of an incident that occurred shortly
after he returned from his deployment. One night ER’s cell
phone rang after she had gone to sleep and when Roberts answered
it, the caller would not identify himself. Roberts then called
the number back but the caller still would not identify himself.
Roberts later learned that the individual was FL.
Roberts woke ER and confronted her with the phone call and
asked her who the caller was. When ER responded that it was
nobody -- just a friend, Roberts became “angry and outraged” and
started to choke her.3 Following the choking incident Roberts
and ER had sexual intercourse. ER claimed that she was raped
while Roberts claimed that they had “rough,” but consensual
United States v. Roberts, 68 M.J. 240 (C.A.A.F. 2009) (order
granting review).
3
This incident provided the basis for the assault consummated by
a battery specification to which Roberts pleaded guilty.
4
United States v. Roberts, No. 10-0030/AF
intercourse. ER testified that during the rape Roberts was
yelling at her to “shut up,” that she “deserved it,” that she
“needed to take it,” and that “he wanted to hurt [her] like
[she] hurt him.” ER also testified that during the rape Roberts
told her that she couldn’t tell anyone and if anybody did find
out, he was going to kill her. Expert medical testimony and
photographs taken after the incident documented multiple
injuries to ER, including injuries to her cervix, chest, wrist,
forearm, side, leg, face, mouth, ear, and neck.
After the sexual intercourse, ER testified that she got
dressed and picked up their youngest child from her crib.
Roberts took the child from her and shoved her down the hall,
telling her to get out of his house.4 ER went to a nearby park
where she made and received several cell phone calls. When
asked on cross-examination if she spoke with FL on her cell
phone while at the park, trial counsel objected based on a lack
of relevance and the military judge sustained the objection. ER
testified that she then went to Roberts’s supervisor’s house
where she reported the incident for the purpose of getting
Roberts out of the house.
The defense filed a M.R.E. 412 notice requesting that the
military judge permit the introduction of evidence concerning an
alleged relationship between ER and FL for the purpose of
5
United States v. Roberts, No. 10-0030/AF
attacking ER’s credibility and to demonstrate her bias and
motive to lie. The defense theory was that ER’s motive to
fabricate the rape was to get Roberts out of the house in order
to protect her relationship with FL.
The military judge held an evidentiary hearing on Roberts’s
M.R.E. 412 motion. To establish ER’s motive to fabricate her
story, Roberts sought to introduce evidence of a relationship
between ER and FL in several forms:
1. The back room incident.5 Roberts wanted to call DT as
a witness at trial to testify that he had accompanied
FL to a house where a woman who shared ER’s first
name resided. During the M.R.E. 412 hearing, DT
testified that the woman and FL spent 1½-2 hours in a
back room of the house while DT sat in the living
room and watched TV. It was DT’s impression that
they were having sex. DT could not recall the
location of the house other than that it was in
Valdosta, Georgia, but he did testify that he and FL
had to be escorted to the house.6 While DT could not
identify ER as the woman at the house, he did testify
that there were photographs of that woman and Roberts
in the house. DT did not know Roberts at the time of
his visit to the house, but prior to trial he had
been incarcerated with Roberts. He admitted at the
M.R.E. 412 hearing that he had lied to the trial
counsel about whether he was guilty of possessing
marijuana, which he had pled guilty to before a
civilian judge.
2. Testimony of a sexual relationship. Roberts wanted
to call his ex-wife, LH, to testify that FL and ER
had a sexual relationship. LH testified at the
4
This incident provided the basis for the second assault
consummated by a battery specification.
5
While the military judge and the Court of Criminal Appeals
refer to a “bedroom,” the testimony at the M.R.E. 412 hearing
only referred to it as a “back room.”
6
Appellant’s quarters were located on Moody Air Force Base,
which is in Valdosta, Georgia.
6
United States v. Roberts, No. 10-0030/AF
M.R.E. 412 hearing that FL had told her that he and
ER had been “spending a lot of time together” and she
interpreted that to mean that they had a sexual
relationship. LH knew FL well and they had a child
together.
3. Weekend in Florida. Roberts also sought to introduce
evidence that while he was deployed in Iraq, ER and
FL took a weekend trip to Florida together. While
Roberts did not introduce evidence of this trip at
the M.R.E. 412 hearing, the Government did concede at
that hearing that ER admitted that she went to
Florida with FL but denied that they spent the night
together.
The military judge made the following findings of fact
related to the above evidence:
g. There is no credible evidence that the accused
was deployed nor evidence that while the accused was
deployed, [ER] allowed [FL] into her home and into her
bedroom with the door closed for a period of several
hours. Specifically, the court notes that the only
witness on this issue -- [DT]: does not know and cannot
identify [ER] as the [person] he allegedly met on the one
occasion during the September-October 2005 timeframe; he
does not know and cannot say whether he has ever visited
the alleged scene of the tryst -- the Roberts’ on-base
residence; and, more importantly, he, having been caught
in a lie on the stand and admittedly lying to trial
counsel during a pretrial interview, lacks credibility on
this issue;
h. There is no evidence that the accused was
deployed nor while the accused was deployed that [ER] and
[FL] took a weekend trip to Florida together;
. . . .
l. There is no credible evidence that in early
February 2006, [LH] received a phone call from [FL]
wherein he related that he had a romantic and/or sexual
relationship with [ER]. Specifically, the court notes
that when questioned [LH] asserted that at no time did
[FL] tell her he was involved in a romantic and/or sexual
relationship with [ER] and she simply assumed he was
based on his use of the phrase “spending time with her.”
7
United States v. Roberts, No. 10-0030/AF
The military judge denied the M.R.E. 412 motion on the
basis that the proffered evidence was not relevant as there
was no credible evidence as to any of the allegations. We
review a military judge’s decision to admit or exclude
evidence for an abuse of discretion. United States v. Ayala,
43 M.J. 296, 298 (C.A.A.F. 1995). In doing so, we review
findings of fact under a clearly erroneous standard and
conclusions of law under a de novo standard. Id.We note that the proffered evidence as to the “back room
incident” and the “sexual relationship” both contained
allegations of ER’s prior sexual behavior and were therefore
appropriate for a M.R.E. 412 analysis. The “Florida trip”
allegation, however, merely alleged that ER and FL traveled
to Florida together but contained no direct allegation or
evidence of a sexual relationship. As no evidence was
offered by Roberts to prove that ER engaged in sexual
activity with FL during the Florida trip, those allegations
fell outside the scope of M.R.E. 412.7
7
In light of the Government’s evidentiary concession for
purposes of the M.R.E. 412 motion, the military judge, in his
gatekeeping role, erroneously ruled that there was no evidence
presented of the Florida trip. During the presentation of
evidence on the merits, however, that evidence was offered by
the Government and admitted without objection through the DVD of
Roberts’s interview with the Office of Special Investigations
(OSI). Evidence of a relationship between ER and FL was
therefore before the military judge as factfinder. We assume
that military judges know the law and there is no indication
that the military judge did not consider the evidence once it
8
United States v. Roberts, No. 10-0030/AF
Discussion
M.R.E. 412 Evidence
Except as otherwise provided in M.R.E. 412, evidence of a
victim’s sexual behavior is inadmissible in trials by court-
martial. M.R.E. 412(a). As a rule of exclusion, the burden of
demonstrating why the general prohibition of M.R.E. 412(a)
should have been lifted was on Roberts. United States v.
Banker, 60 M.J. 216, 222 (C.A.A.F. 2004) (citing United States
v. Moulton, 47 M.J. 227, 228 (C.A.A.F. 1997)). In his attempt
to meet this burden at trial, Roberts relied on M.R.E.
412(b)(1)(C), which provides an exception to the general rule of
exclusion if the evidence sought to be admitted is otherwise
admissible under the rules and is “evidence the exclusion of
which would violate the constitutional rights of the accused.”
In order to properly determine whether evidence is
admissible under the constitutionally required exception to
M.R.E. 412(a), the military judge must evaluate whether the
evidence is relevant, material, and favorable to the defense.
Banker, 60 M.J. at 222. Evidence is relevant if it has “any
tendency to make the existence of any fact . . . more probable
or less probable than it would be without the evidence.” M.R.E.
was properly admitted. United States v. Martinez, 65 M.J. 431(C.A.A.F. 2007) (summary disposition) (“‘[M]ilitary judges are
presumed to know the law and follow it absent clear evidence to
the contrary.’” (quoting United States v. Erickson, 65 M.J. 221,
225 (C.A.A.F. 2007))).
9
United States v. Roberts, No. 10-0030/AF
401. “In determining whether evidence is material, the military
judge looks at ‘the importance of the issue for which the
evidence was offered in relation to the other issues in this
case; the extent to which this issue is in dispute; and the
nature of the other evidence in the case pertaining to this
issue.’” Banker, 60 M.J. at 222 (quoting United States v.
Colon-Angueira, 16 M.J. 20, 26 (C.M.A. 1983)). Finally, if the
military judge determines that the evidence is relevant and
material, he then performs the M.R.E. 412(b)(3) balancing test
(whether the probative value of the evidence outweighs the
danger of unfair prejudice to the victim’s privacy) to determine
whether the evidence is favorable to the accused’s defense.8 Id.
at 223.
At the M.R.E. 412 hearing the military judge found that the
evidence proffered by Roberts as to the “back room incident” and
the “sexual relationship” was not relevant because no credible
evidence had been presented. “In applying M.R.E. 412, the judge
is not asked to determine if the profered evidence is true . . .
. Rather, the judge serves as gatekeeper deciding first whether
the evidence is relevant and then whether it is otherwise
competent, which is to say, admissible under M.R.E. 412.” Id.
at 224. To the degree the military judge weighed the
8
In addition to considering the prejudice to the victim’s
legitimate privacy interests, the military judge must also
10
United States v. Roberts, No. 10-0030/AF
credibility of DT and LH in performing his relevancy analysis
under M.R.E. 412, he abused his discretion and his findings were
clearly erroneous. In addition, given the low threshold for
relevant evidence, the military judge’s conclusion that the
testimony of DT and LH was not relevant was also error.
As the application of M.R.E. 412 to proffered evidence
presents a legal issue that we review de novo, we can perform
the analysis at this level. See United States v. Dorsey, 16
M.J. 1 (C.M.A. 1983). However, even if we were to assume that
the proffered evidence was relevant and material, its exclusion
was ultimately proper as the probative value of the evidence did
not outweigh the danger of unfair prejudice to ER’s legitimate
privacy interests under the M.R.E. 412 balancing test. Banker,
60 M.J. at 223.
LH’s testimony of ER’s alleged sexual relationship with FL
was pure conjecture based upon her impression of an innocuous
hearsay statement by FL. LH testified that it was her
“impression” that ER and FL were having a sexual relationship
based on FL’s statement that he and ER were “spending a lot of
time together.” As noted during the cross-examination of LH, FL
never told LH that he was having sex with ER, nor did he use any
euphemism for sex.
consider the M.R.E. 403 balancing factors. Banker, 60 M.J. at
223.
11
United States v. Roberts, No. 10-0030/AF
As to the “back room incident,” DT’s testimony had a low
probative value. He did not know if the house he was in was
ER’s, nor could he identify ER as the woman in the house. He
could not even identify where the house was located, other than
in Valdosta. DT did not testify that FL and the woman went into
a “bedroom,” but rather testified that they went into a “back
room” where it was his impression that they were having sex.
In weighing the probative value of the proffered evidence
it is helpful to note the purpose for which the evidence was
offered. Here Roberts sought to introduce evidence of a sexual
relationship between ER and FL to support his theory that ER
fabricated the rape allegation in order to get him out of the
house so that she could protect that relationship. The
evidence, however, established that Roberts had already asked ER
for a divorce. If ER was seeking to end her relationship with
Roberts, she simply could have acquiesced to the divorce rather
than fabricate a rape allegation. Although we assume that DT’s
and LH’s testimony was true, its speculative nature when
combined with the improbability of the underlying purpose for
the admission of the evidence, leads us to conclude that the
proffered testimony had minimal probative value.
In balancing this low probative value against the danger of
unfair prejudice to the legitimate privacy interests of ER, we
agree with the Court of Criminal Appeals that this evidence is
12
United States v. Roberts, No. 10-0030/AF
precisely the type of evidence that M.R.E. 412 was designed to
exclude. 2009 CCA LEXIS 251, at *7, 2009 WL 2209206, at *3.
Both witnesses’ allegations as to the alleged sexual activity
between ER and FL were based upon speculation and conjecture.9
Accordingly, we conclude that Roberts did not meet his burden of
demonstrating that the probative value of the proffered evidence
outweighed the danger of unfair prejudice to ER’s legitimate
privacy interests. Excluding the evidence of the alleged sexual
relationship and the back room incident did not violate
Roberts’s constitutional right to confrontation.
Limitation on Cross-Examination of ER
Finally we consider whether the lower court correctly
concluded that the military judge erred in limiting the cross-
examination of ER, but that the errors were harmless beyond a
reasonable doubt. 2009 CCA LEXIS 251, at *8-*13, 2009 WL
2209206, at *3-*4. Roberts wanted to establish that ER’s
relationship with FL was a motive for her to fabricate her
allegation of rape against him. As part of that effort, Roberts
wanted to cross-examine ER generally as to her relationship with
FL and specifically as to the phone conversation she had with FL
immediately after the incident. The military judge did not
9
We also note that the evidence may have been excluded pursuant
to M.R.E. 602 (“A witness may not testify to a matter unless
evidence is introduced sufficient to support a finding that the
witness has personal knowledge of the matter.”). See also
United States v. Bush, 68 M.J. 96, 100 (C.A.A.F. 2009).
13
United States v. Roberts, No. 10-0030/AF
permit Roberts to pursue this line of questioning even though
questions concerning ER’s relationship with FL that did not
involve sexual behavior allegations would not implicate the
exclusionary rule of M.R.E. 412. Cross-examination of the
Government’s primary witness may have established a motive for
ER to fabricate her allegation of rape. See Dorsey, 16 M.J. at
4; see also M.R.E. 608(c). We therefore agree with the CCA that
the military judge erred in excluding this cross-examination.
To determine whether an error was harmless beyond a
reasonable doubt, this court applies the five-part balancing
test articulated by the Supreme Court in Delaware v. Van
Arsdall, 475 U.S. 673 (1986).
[T]he importance of the witness’ testimony in the
prosecution’s case, whether the testimony was
cumulative, the presence or absence of evidence
corroborating or contradicting the testimony of the
witness on material points, the extent of cross-
examination otherwise permitted, and, of course the
overall strength of the prosecution’s case.
United States v. Collier, 67 M.J. 347, 356 (C.A.A.F. 2009)
(quoting Van Arsdall, 475 U.S. at 684).
(1) The importance of the witness’s testimony: ER’s
testimony as the victim of the offenses was critical to the
prosecution’s case. She was the only witness to the incident
other than Roberts and as such her credibility was essential.
This factor weighs in favor of Roberts.
14
United States v. Roberts, No. 10-0030/AF
(2) Whether the testimony was cumulative: There was other
evidence admitted as to the relationship between ER and FL. In
addition to ER’s testimony concerning the telephone call that
was the catalyst for the assault and rape incidents, Roberts’s
DVD statement in which he discussed the weekend trip to Florida
and his belief that ER was having an affair was admitted into
evidence. Roberts’s neighbor also testified that Roberts told
him that he had caught ER cheating on him. Although Roberts was
not allowed to cross-examine ER as to her relationship with FL,
there was other evidence in the record that established a
relationship between the two. This factor weighs slightly in
favor of the Government.
(3) The presence or absence of evidence corroborating or
contradicting the testimony of the witness on material points:
The pretrial DVD interview of Roberts by the OSI provided
corroboration of ER’s testimony and much of her account of the
rape. Roberts admitted that he became angry after the telephone
call from FL. He admitted that he forcefully held the blanket
over ER’s head during the sexual intercourse and told her that
since she had hurt him, he was going to hurt her. He also
admitted that ER accused him of rape shortly after the incident.
Significantly, the evidence of ER’s extensive physical injuries
corroborated her testimony. This factor weighs in favor of the
Government.
15
United States v. Roberts, No. 10-0030/AF
(4) The extent of cross-examination otherwise permitted:
Attempting to minimize the inference to be drawn from ER’s
injuries, Roberts’s defense counsel thoroughly cross-examined ER
and the Government’s expert in sexual assault examination about
ER’s history of vaginal bleeding and her increased
susceptibility to injury due to an abnormal friable cervix,
anemia, and other medical issues.10 Although ER was also cross-
examined extensively by the defense counsel on the substance of
the offenses alleged, cross-examination of ER concerning any
relationship with FL (including the telephone conversation with
FL while ER was at the park immediately after the incident) was
not allowed. This factor weighs in favor of Roberts.
(5) The overall strength of the prosecution’s case: The
Government’s case against Roberts was strong. The pretrial DVD
interview of Roberts by the OSI was consistent with much of ER’s
testimony and was admitted into evidence without objection. As
part of that interview, Roberts specifically admitted choking
ER, telling her moments before the sexual intercourse that he
was going to hurt her, and that he had “rough” sex with her
10
The effectiveness of the cross-examination of ER as to her
history of vaginal bleeding during normal intercourse was
diminished by Roberts’s assertion that the couple had “rough”
sex after the assault. We also note that while Roberts’s
defense was based in part on the assertion that the couple had a
history of consensual “rough” sex, the only evidence on this
issue in the record is ER’s denial of ever having engaged
previously in “rough” sex with Roberts.
16
United States v. Roberts, No. 10-0030/AF
while holding her down with a blanket over her head. The
Government presented a neighbor who testified that Roberts
admitted to him that “He had jumped [ER].” As noted, Roberts
admitted that ER accused him of rape shortly after the incident.
In addition, the Government presented extensive evidence
supporting the violent nature of the incident and the resulting
injuries suffered by ER.11 This factor weighs heavily in favor
of the Government.
Balancing the strength of the factors set out in Van
Arsdall, we conclude that the military judge’s errors were
harmless beyond a reasonable doubt.
Summary
The military judge did not abuse his discretion in
excluding evidence of the “back room incident” and the
allegation of a sexual relationship between ER and FL under
M.R.E. 412. While the military judge did err in limiting cross-
examination of ER as to her relationship with FL and
specifically her cell phone call with FL immediately after the
incident, under the Van Arsdall factors those errors were
harmless beyond a reasonable doubt.
11
The Government presented testimony of the sexual assault nurse
examiner and multiple photographs of ER’s injuries.
17
United States v. Roberts, No. 10-0030/AF
Conclusion
The decision of the United States Air Force Court of
Criminal Appeals is affirmed.
18