DocketNumber: 13-5006-AF
Judges: Baker, Erdmann, Ef-Fron, Stucky, Ryan
Filed Date: 7/18/2013
Status: Precedential
Modified Date: 10/19/2024
delivered the opinion of the Court.
The Air Force Judge Advocate General (JAG) certified three issues for review by this Court:
I. WHETHER THE AIR FORCE COURT OF CRIMINAL APPEALS ERRED BY HOLDING THAT IT LACKED JURISDICTION TO HEAR A1C LRM’S PETITION FOR A WRIT OF MANDAMUS.
II. WHETHER THE MILITARY JUDGE ERRED BY DENYING A1C LRM THE OPPORTUNITY TO BE HEARD THROUGH COUNSEL THEREBY DENYING HER DUE PROCESS UNDER THE MILITARY RULES OF EVIDENCE, THE CRIME VICTIMS’ RIGHTS ACT AND THE UNITED STATES CONSTITUTION.
III. WHETHER THIS HONORABLE COURT SHOULD ISSUE A WRIT OF MANDAMUS.
BACKGROUND
On October 16, 2012, Airman First Class (A1C) Nicholas Daniels (Real Party in Interest) was charged with raping and sexually assaulting A1C LRM in violation of Article 120, UCMJ, 10 U.S.C. § 920 (2006). Lieutenant Colonel (Lt Col) Joshua E. Kasten-berg (Appellee) was detailed to the case as military judge. The Real Party in Interest was arraigned at Holloman Air Force Base, New Mexico, and elected trial by enlisted and officer members.
Captain (Capt) Seth Dilworth was appointed as special victims’ counsel for LRM. In his formal notice of appearance, Capt Dil-worth stated that LRM had “standing involving any issues arising under [Military Rules of Evidence (M.R.E.)] 412, 513, and 514 in which she is the patient or witness as the subject of the motion.” Capt Dilworth noted that his formal involvement in the court-martial would “be limited to asserting A1C [LRM]’s enumerated rights as a victim of crime under federal law and [M.R.E.] 412, 513, and 514.” He requested that the court direct counsel to provide LRM with copies of related motions. Trial counsel and trial defense counsel did not object to LRM receiving copies of the motions, but trial defense counsel opposed Capt Dilworth’s presence or participation at the evidentiary hearings. Before the arraignment hearing, LRM received copies of defense motions to admit evidence under M.R.E. 412 and 513.
Initially during the arraignment hearing, Capt Dilworth indicated that he did not intend to argue at any future M.R.E. 412 or 513 motions hearings. Later during the same hearing, Capt Dilworth argued that there may be instances where LRM’s interests in the motions hearings were not aligned with the Government, in which case Capt Dilworth asked the court to reserve LRM’s right to present an argument. The military judge treated this request as a “motion in fact.”
In a judicial ruling, the military judge limited LRM’s right to be heard to factual matters, finding that standing “denotes the right to present an argument of law before a court, which is fundamentally different than the opportunity to be heard.” The military judge then found that LRM had no standing, through counsel or otherwise, to motion the court for relief in the production of documents, and that Capt Dilworth could not argue evidentiary matters in LRM’s interest. The military judge concluded that “the prospect of an accused having to face two attor
LRM filed a motion to reconsider, asking for relief in the form of production and provision of documents, and that the military judge grant LRM “limited standing to be heard through counsel of her choosing in hearings related to M.R.E. 412, M.R.E. 513, [Crime Victims’ Rights Act, 18 U.S.C. § 3771 (CVRA)], and the United States Constitution.” The military judge denied the motion for reconsideration in full.
LRM filed a petition for extraordinary relief in the nature of a writ of mandamus and petition for stay of proceedings, but the CCA concluded that it lacked jurisdiction to review LRM’s petition for extraordinary relief. After the United States Air Force Criminal Court of Appeals (CCA) denied LRM’s motion for reconsideration en banc, the Air Force JAG certified three issues for review by this Court.
JURISDICTION
Jurisdiction is a question of law that this Court reviews de novo. United States v. Ali, 71 M.J. 256, 261 (C.A.A.F.2012).
As a preliminary matter, this Court has statutory jurisdiction to review the decision of the CCA under Article 67, UCMJ, 10 U.S.C. § 867 (2006). Article 67(a)(2), UCMJ, provides that this Court shall review the record in “all cases reviewed by a Court of Criminal Appeals which the Judge Advocate General orders sent to the Court of Appeals for the Armed Forces for review.”
In United States v. Curtin, this Court considered the definition of a “ease” as used in Article 67(a)(2), UCMJ. 44 M.J. 439 (C.A.A.F.1996), cited with approval in United States v. Dowty, 48 M.J. 102, 107 (C.A.A.F.1998). In Curtin, the military judge ruled that trial counsel’s subpoenas duces tecum for the financial statements of the accused’s wife and her father were administrative, and that the appropriate United States district court was the proper forum for challenging the subpoenas. Id. at 440. The Air Force JAG filed a certificate for review of a CCA decision denying the government’s petition for extraordinary relief in the form of a writ of mandamus. Id. This Court held that it had jurisdiction, and determined that the “definition of ‘case’ as used within that statute includes a ‘final action’ by an intermediate appellate court on a petition for extraordinary relief.” Id. (citing United States v. Redding, 11 M.J. 100, 104 (C.M.A.1981)).
Similarly, in this case the CCA took a final action on a petition for extraordinary relief when it denied LRM’s writ-appeal petition. Thus, as in Curtin, this Court has jurisdiction over the certificate submitted by the JAG pursuant to Article 67(a)(2), UCMJ, as we would in the case of a writ-appeal.
Subject-Matter Jurisdiction
The CCA erred by holding that it lacked jurisdiction to hear LRM’s petition for a writ of mandamus. The All Writs Act, 28 U.S.C. § 1651 (2006), and Article 66, UCMJ, 10 U.S.C. § 866 (2006), establish the CCA’s jurisdiction. The All Writs Act grants the power to “all courts established by act of Congress to issue all writs necessary and appropriate in aid of their respective jurisdiction and agreeable to the usages and principles of law.” 28 U.S.C. § 1651(a). Extraordinary writs serve “to confine an inferior court to a lawful exercise of its prescribed jurisdiction.” Bankers Life & Casualty Co. v. Holland, 346 U.S. 379, 382, 74 S.Ct. 145, 98 L.Ed. 106 (1953). “[Military courts, like Article III tribunals, are empowered to issue extraordinary writs under the All Writs Act.” United States v. Denedo, 556 U.S. 904, 911, 129 S.Ct. 2213, 173 L.Ed.2d 1235 (2009).
The All Writs Act is not an independent grant of jurisdiction, nor does it expand a court’s existing statutory jurisdiction. Clinton v. Goldsmith, 526 U.S. 529, 534-35, 119 S.Ct. 1538, 143 L.Ed.2d 720 (1999). Rather, the All Writs Act requires two determinations: (1) whether the requested writ is “in aid of’ the court’s existing jurisdiction; and (2) whether the requested writ is “necessary or appropriate.” Denedo
To establish subject-matter jurisdiction, the harm alleged must have had “the potential to directly affect the findings and sentence.” Ctr. for Constitutional Rights v. United States (CCR), 72 M.J. 126, 129 (C.A.A.F.2013) (citing Hasan, 71 M.J. 416). There is no jurisdiction to “adjudicate what amounts to a civil action, maintained by persons who are strangers to the courts-martial, asking for relief ... that has no bearing on any findings and sentence that may eventually be adjudged by the court-martial.” Id. The CCA’s holding that the present case “does not directly involve a finding or sentence that was — or potentially could be imposed — in a court-martial proceeding,” does not accurately reflect this analysis.
Under the appropriate analysis, LRM prevails. The petition invited the CCA to evaluate whether the military judge can limit the right to be heard under M.R.E. 412 and 513 by precluding LRM from presenting the basis for a claim of privilege or exclusion, with or without counsel, during an ongoing general court-martial. The military judge’s ruling has a direct bearing on the information that will be considered by the military judge when determining the admissibility of evidence, and thereafter the evidence considered by the court-martial on the issues of guilt or innocence — which will form the very foundation of a finding and sentence. Furthermore, unlike “strangers to the courts-martial,” CCR, 72 M.J. at 129, LRM is the named victim in a court-martial seeking to protect the rights granted to her by the President in duly promulgated rules of evidence, namely to a claim of privilege under M.R.E. 513 and a right to a reasonable opportunity to be heard under M.R.E. 412(c)(2) and 513(e)(2). Indeed, this Court has reversed court-martial convictions based on erroneous M.R.E. 412 evidentiary rulings. See, e.g., United States v. Ellerbrock, 70 M.J. 314, 321 (C.A.A.F.2011) (reversing rape conviction after finding that evidence of the victim’s prior extramarital affair was improperly excluded under M.R.E. 412). LRM is not seeking any civil or administrative relief. Cf. Goldsmith, 526 U.S. at 533, 119 S.Ct. 1538 (challenging an administrative separation proceeding, rather than a court-martial). Rather, she is seeking her right to be heard pursuant to the M.R.E. Thus, the harm alleged has “the potential to directly affect the findings and sentence,” and the CCA erred by holding that it lacked jurisdiction. See CCR, 72 M.J. at 129.
Standing
LRM’s position as a nonparty to the courts-martial, see Rule for Courts-Martial (R.C.M.) 103 (16), does not preclude standing. There is long-standing precedent that a holder of a privilege has a right to contest and protect the privilege. See, e.g., CCR, 72 M.J. 126 (assuming that CCR had trial level standing to make request); United States v. Wuterich, 67 M.J. 63, 66-69 (C.A.A.F.2008) (assuming standing for CBS in part under R.C.M. 703); United States v. Harding, 63 M.J. 65 (C.A.A.F.2006) (assuming standing for victim’s mental health provider); United States v. Johnson, 53 M.J. 459, 461 (C.A.A.F.2000) (standing for nonparty challenge to a subpoena duces tecum or a subpoena ad tes-tificandum during an Article 32, UCMJ, 10 U.S.C. § 832 (2006), pretrial investigation); ABC, Inc. v. Powell, 47 M.J. 363, 364 (C.A.A.F.1997) (standing under First Amendment); Carlson v. Smith, 43 M.J. 401 (C.A.A.F.1995) (summary disposition) (granting a writ of mandamus where the real party in interest did not join petitioners, but rather was added by this Court as a respondent).
Limited participant standing has also been recognized by the Supreme Court and other federal courts. See Richmond Newspapers, Inc. v. Virginia, 448 U.S. 555, 580, 100 S.Ct. 2814, 65 L.Ed.2d 973 (1980) (standing created
Ripeness
Finally, this issue is ripe for review. The military judge’s ruling limits LRM’s right to be heard to factual matters, preventing her from making legal arguments while invoking her legal privilege under M.R.E. 513.
Furthermore, while LRM’s counsel initially indicated at the arraignment hearing that he did not intend to argue at a future motions hearing, noting that LRM had not received any documents, discovery, or court filings with respect to such hearings, counsel asked the military judge to reserve that right. The military judge treated this request as a “motion in fact.” In the judicial ruling, the military judge specified whether counsel had standing to represent LRM during applicable hearings arising from the M.R.E. at trial as one of the issues before the court-martial, and ultimately denied the motion to grant standing. Accordingly, LRM interpreted the military judge’s ruling as finding that she “does not have standing to be represented by counsel during applicable hearings arising from the military rules of evidence at trial.” In the motion to reconsider, LRM asked for relief in the form of production and provision of documents, and that the military judge grant LRM “limited standing to be heard through counsel of her choosing in hearings related to M.R.E. 412, M.R.E. 513, CVRA, and the United States Constitution.” The military judge denied the motion for reconsideration in full.
Thus, the issue of whether LRM has limited standing to be heard through counsel in hearings related to M.R.E. 412 and 513 comes to this Court in the form of a challenge by a limited participant to a concrete ruling by a military judge in an adversarial setting. See United States v. Chisholm, 59 M.J. 151, 153 (C.A.A.F.2003) (“In the absence of a challenge by a party to a concrete ruling by a military judge in an adversarial setting, we conclude that consideration of Issue I under the circumstances of the present case would be premature.”). The parties have argued, and the military judge has addressed, the relevant legal issues. The issue is ripe for review by this Court.
SUBSTANTIVE ISSUES
Construction of a military rule of evidence, as well as the interpretation of statutes, the UCMJ, and the R.C.M., are questions of law reviewed de novo. United States v. Matthews, 68 M.J. 29, 35-36 (C.A.A.F.2009); United States v. Lopez de Victoria, 66 M.J. 67, 73 (C.A.A.F.2008).
The military judge erred by determining at the outset of the court-martial, during arraignment proceedings and before any M.R.E. 412 or 513 evidentiary hearings, that LRM would not have standing to be represented through counsel during applicable hearings arising from the M.R.E. The President has expressly stated the victim or patient has a right to a reasonable opportunity to attend and be heard in evidentiary hearings under M.R.E. 412 and 513. M.R.E. 412(c)(2) provides that, before admitting evidence under the rule, the military judge must conduct a hearing where the “alleged victim must be afforded a reasonable opportunity to attend and be heard.” See also M.R.E. 513(e)(2) (“The patient shall be afforded a reasonable opportunity to attend the hearing and be heard .... ”). M.R.E. 513(a) also provides that a patient has the privilege to refuse to disclose confidential communica
Statutory construction indicates that the President intended, or at a minimum did not preclude, that the right to be heard in evi-dentiary hearings under M.R.E. 412 and 513 be defined as the right to be heard through counsel on legal issues, rather than as a witness. Both M.R.E. 412 and 513 permit the parties to “call witnesses, including the alleged victim [or patient].” M.R.E. 412(c)(2); M.R.E. 513(e)(2). However, in addition to providing that the victim or patient may be called to testify as a witness on factual matters, the rules also grant the victim or patient the opportunity to “be heard.” Id. Furthermore, every time that the M.R.E. and the R.C.M. use the term “to be heard,” it refers to occasions when the parties can provide argument through counsel to the military judge on a legal issue, rather than an occasion when a witness testifies. See, e.g., R.C.M. 806(d) Discussion; R.C.M. 917(e); R.C.M. 920(c); R.C.M. 920(f); R.C.M. 1005(c); R.C.M. 1102(b)(2); M.R.E. 201(e).
This interpretation of a reasonable opportunity to be heard at a hearing is consistent with the case law of this Court and other federal courts. In Carlson, for example, this Court provided extraordinary relief to two sexual assault victims who had sought to prevent “unwarranted invasions of privacy” and to protect their rights under M.R.E. 412, Article 31, UCMJ, 10 U.S.C. § 831, and other privileges recognized by law. 43 M.J. 401. The Court ordered that the victims “will be given an opportunity, with the assistance of counsel if they so desire, to present evidence, arguments and legal authority to the military judge regarding the propriety and legality of disclosing any of the covered documents.” Id. (emphasis added). While Carlson is a summary disposition, this Court “has profited from guidance offered in prior summary dispositions.” United States v. Diaz, 40 M.J. 335, 339-40 (C.M.A.1994); see also Hicks v. Miranda, 422 U.S. 332, 344-45, 95 S.Ct. 2281, 45 L.Ed.2d 223 (1975) (holding that “lower courts are bound by summary decisions by” the Supreme Court); United States v. Sanchez, 44 M.J. 174, 177 (C.A.A.F.1996) (citing Carlson). Similarly, in United States v. Klemick, the Navy-Marine Corps CCA found that the military judge did not abuse his discretion in rulings on M.R.E. 513 matters. 65 M.J. 576, 581 (N.-M.Ct.Crim.App. 2006). During the evidentiary hearing, the patient opposed trial counsel’s motion “through counsel who entered an appearance in the court-martial on her behalf for this limited purpose,” and the military judge considered the patient’s brief and argument. Id. at 578.
Furthermore, while the military judge suggests that LRM’s request is novel, there are many examples of civilian federal court decisions allowing victims to be represented by counsel at pretrial hearings. Although not precedent binding on this Court, in the United States Court of Appeals for the Fifth Circuit, for example, victims have exercised their right to be reasonably heard regarding pretrial decisions of the judge and prosecutor “personally [and] through counsel.” In re Dean, 527 F.3d 391, 393 (5th Cir.2008). The victims’ “attorneys reiterated the victims’ requests” and “supplemented them appearances at the hearing with substantial post-hearing submissions.” Id.; see also Brandt v. Gooding, 636 F.3d 124, 136-37 (4th Cir.2011) (motions from attorneys were “fully commensurate” with the victim’s “right to be heard.”). Similarly, in United States v. Saunders, at a pretrial Fed.R.Evid. 412(c)(1) hearing, “all counsel, including the alleged victim’s counsel, presented arguments.” 736 F.Supp. 698, 700 (E.D.Va.1990). In United States v. Stamper, the district court went further and, in a pretrial evidentiary hearing, allowed counsel for “all three parties,” including the prosecution, defense, and victim’s counsel, to examine witnesses, including the victim. 766 F.Supp. 1396, 1396 (W.D.N.C.1991).
Based on the foregoing discussion, the military judge’s ruling in the present case runs counter to the M.R.E., and is in error for three reasons. First, by prohibiting LRM from making legal arguments, the military judge improperly limited LRM’s right to be heard on the basis for the claim of privilege or admissibility. M.R.E. 513(a) creates a privilege to refuse to disclose confidential communications, which necessarily involves a legal judgment of whether the privilege applies, as well at the opportunity for argument so that a patient may argue for or against the privilege. Neither M.R.E. 412 nor 513 preclude the victim or patient from arguing the law.
Second, the military judge’s ruling, made during the arraignment hearing process and prior to any M.R.E. 412 or 513 proceedings, is a blanket prohibition precluding LRM from being heard in M.R.E. 412 or 513 proceedings through counsel without first determining whether it would be unreasonable under the circumstances. Instead, the military judge based his ruling on his flawed conclusion that LRM was precluded from making legal argument. While LRM’s right to be heard through counsel is not absolute, LRM has a right to have the military judge exercise his discretion on the manner in which her argument is presented based on a correct view of the law.
Third, the military judge cast the question as a matter of judicial impartiality. It is not a matter of judicial partiality to allow a victim or a patient to be represented by counsel in the limited context of M.R.E. 412 or 513 before a military judge, anymore than it is to allow a party to have a lawyer. The military judge’s ruling was thus taken on an incorrect view of the law, and is in error.
REMEDY
As a threshold matter, the Government argues that, even though the Judge Advocate General has certified three issues to this Court, this Court is not authorized to act with respect to matters of law when the CCA has not acted with respect to the same matters of law. The relevant text of Article 67, UCMJ, states:
(a) The Court of Appeals for the Armed Forces shall review the record in—
(2) all cases reviewed by a Court of Criminal Appeals which the Judge Advocate General orders sent to the Court of Appeals for the Armed Forces for review;
(c) In any ease reviewed by it, the Court of Appeals for the Armed Forces may act only with respect to the findings and sentence as approved by the convening authority and as affirmed or set aside as incorrect in law by the Court of Criminal Appeals. In a case which the Judge Advocate General orders sent to the Court of Appeals for the Armed Forces, that action need be taken only with respect to the issues raised by him. In a case reviewed upon petition of the accused, that action need be taken only with respect to issues specified in the grant of review. The Court of Appeals for the Armed Forces shall take action only with respect to matters of law.
Emphasis added. The first clause of Article 67(c), UCMJ, does not confine the second clause in the way the Government proposes. In United States v. Leak, for example, this Court considered that:
*372 One possible reading of the language in subsection (c) of the statute is that because the lower court did not affirm the finding with respect to Appellant’s rape charge, or set it aside as incorrect in law, this Court is without authority to “act.” Under this reading, this Court would be obliged to “review” the Judge Advocate General’s certified question, but we would have no statutory authority to “act.”
61 M.J. 234, 239 (C.A.A.F.2005). The Court concluded that “Article 67 does not preclude review of questions of law certified by Judge Advocates General where the courts of criminal appeals have set aside a finding on the ground of factual insufficiency.” Id. at 242. Similarly, in the present case, even though the CCA did not reach the substantive issues, this Court may still take action with respect to all of the certified issues, including whether this Court should issue a writ of mandamus.
Furthermore, prudential concerns, such as the impending court-martial start date, the parties’ interest in the speedy resolution of these issues, and the JAG’s certification of all three issues, counsel the Court to reach all the substantive issues and proceed to grant relief at this time, if appropriate. In addition, the military judge’s ruling raises issues of law of first impression which could apply in all M.R.E. 412 and M.R.E. 513 hearings. Absent any guidance from this Court and with no other meaningful way for these issues to reach appellate review, every military judge could interpret the scope and extent of a victim’s rights differently, so that a victim or patient’s rights vary from courtroom to courtroom. Under these circumstances, this Court should not decline to address substantive issues which are properly before it, and which present a novel legal question regarding the interpretation of the M.R.E. affecting an ongoing court-martial. As in Wuterich, “[i]n view of the pending court-martial proceedings, and because this ease involves an issue of law that does not pertain to the unique factfinding powers of the Court of Criminal Appeals, we [should] review directly the decision of the military judge without remanding the case to the lower court.” 67 M.J. at 70. “[Njeither justice nor judicial economy would be served by delaying the [court-martial] pending remand to the Court of Criminal Appeals.” Powell, 47 M.J. at 364.
However, while this Court may appropriately take action at this time, a writ of mandamus is not the appropriate remedy. At the lower court, LRM petitioned for a writ of mandamus directing the military judge “to provide an opportunity for [LRM] to be heard through counsel at hearings conducted pursuant to [M.R.E.] 412 and 513, and to receive any motions or accompanying papers reasonably related to her rights as those may be implicated in hearings under [M.R.E.] 412 and 513.” The military judge’s ruling must be based on a correct view of the law. M.R.E. 412 and M.R.E. 513 create certain privileges and a right to a reasonable opportunity to be heard on factual and legal grounds, which may include the right of a victim or patient who is represented by counsel to be heard through counsel. However, these rights are subject to reasonable limitations and the military judge retains appropriate discretion under R.C.M. 801, and the law does not dictate the particular outcome that LRM requests.
CONCLUSION
Certified questions I and II are answered in the affirmative. Certified question III is answered in the negative. The current record is returned to the Judge Advocate General of the Air Force for remand to the military judge for action not inconsistent with this opinion.