United States v. Sullivan

UNITED STATES, Appellee
v.
Geoffrey L. SULLIVAN, Sergeant
U.S. Marine Corps, Appellant
No. 10-0383
Crim. App. No. 200900148
United States Court of Appeals for the Armed Forces
Argued December 13, 2010
Decided June 8, 2011
BAKER, J., delivered the opinion of the Court, in which
STUCKY and RYAN, JJ., joined. EFFRON, C.J., filed a
separate dissenting opinion, in which ERDMANN, J., joined.
Counsel
For Appellant: Major Jeffrey R. Liebenguth, USMC (argued);
Lieutenant Michael E. Maffei, JAGC, USN.
For Appellee: Captain Robert E. Eckert, USMC (argued);
Colonel Louis J. Puleo, USMC, and Brian K. Keller, Esq. (on
brief).
Military Judges: E. H. Robinson and T. J. Sanzi
THIS OPINION IS SUBJECT TO REVISION BEFORE FINAL PUBLICATION.
United States v. Sullivan, No. 10-0383/MC
Judge BAKER delivered the opinion of the Court.
A general court-martial composed of members convicted
Appellant, contrary to his pleas, of carnal knowledge, two
specifications of assault consummated by a battery, assault
with a means likely to produce death or grievous bodily
harm, communicating a threat, and kidnapping, in violation
of Articles 120, 128, and 134, Uniform Code of Military
Justice (UCMJ), 10 U.S.C. §§ 920, 928, 934 (2006). The
adjudged and approved sentence included confinement for six
years, reduction to pay grade E-1, forfeiture of all pay
and allowances, and a dishonorable discharge.
On review, the United States Navy-Marine Corps Court
of Criminal Appeals affirmed.1
We granted review of the following issues:
WHETHER THE MILITARY JUDGE ABUSED HIS DISCRETION BY
EXCLUDING RELEVANT EVIDENCE THAT SHOWED THE ALLEGED
VICTIM HAD A MOTIVE TO FABRICATE HER STORY.
WHETHER THE MILITARY JUDGE ABUSED HIS DISCRETION BY
EXCLUDING EVIDENCE EXPLAINING WHY APPELLANT TOLD
WITNESSES THAT THE ALLEGED VICTIM HAD NOT TAKEN HER
MEDICATION, LEAVING THE MEMBERS WITH THE UNREBUTTED
IMPRESSION THAT APPELLANT LIED ABOUT HER NEED FOR
MEDICATION TO PROTECT HIMSELF AGAINST ALLEGATIONS OF
MISCONDUCT.
For the reasons stated below, we conclude that the military
judge did not abuse his discretion.
1
United States v. Sullivan, No. NMCCA 200900148, 2010 CCA
LEXIS 19, at *18, 2010 WL 520821, at *6 (N-M. Ct. Crim.
App. Feb. 12, 2010).
2
United States v. Sullivan, No. 10-0383/MC
BACKGROUND
Appellant did not testify at trial. Therefore, the
evidence of events within quarters on Camp Pendleton
derives entirely from the victim EM’s testimony. However,
the facts that were in evidence or in the record for the
purposes of assessing the military judge’s rulings also
derive from physical evidence of the victim’s injuries,
witness testimony involving events outside quarters on Camp
Pendleton, as well as any permissible uses of Appellant’s
initial statement to investigators. It also includes the
portions of EM’s medical records, testimony of EM’s mother,
and testimony of Dr. Herbert McMichael that were admitted
during the Article 39(a), 10 U.S.C. §839(a) (2006), session
conducted for the purpose of assessing Appellant’s proffer
of evidence.
EM was a minor who lived on the Cahuilla Indian
Reservation in California. As a child, EM experienced a
number of family traumas: her maternal grandfather shot
and killed her mother’s boyfriend, and her younger sister
and cousin were killed by a drunk driver (the drunk driver
was also EM’s cousin). In the wake of these events and
because her mother caught her using marijuana, EM entered
psychological therapy around age twelve: she saw a
psychologist associated with Indian Health Services, Dr.
3
United States v. Sullivan, No. 10-0383/MC
McMichael, an average of seven times per year from 2002 to
2007.
EM identifies Appellant as her cousin. In June 2005,
there was an incident that predated the charged offenses.
EM was visiting Appellant at his house in Hemet,
California, about forty-five minutes from the reservation.
EM was fifteen. EM testified that Appellant “forced [her]
to have sexual intercourse with him.” This was the basis
for the carnal knowledge specification under Article 120,
UCMJ.
The event resulting in the other charges occurred
approximately two years later, in September 2007.
September 22, 2007, was EM’s seventeenth birthday, and EM
had a barbeque with family at her house. Appellant could
not attend. However, Appellant called EM ten to fifteen
times and texted her about fifty times until she answered.
According to EM, Appellant asked her to go to a movie with
him; when she declined his offer, he “said that if I didn’t
go to the movies, he would show up at my house and he would
kill me.” EM agreed to go to the movies.
EM met up with Appellant the next day at a motocross
race. Appellant texted her that he was “parked behind a
bike trailer.” He refused her mother’s request to say
hello and drove off when EM got in the car. They stopped
4
United States v. Sullivan, No. 10-0383/MC
for fast food. As Appellant ate in the car, EM informed
Appellant that she had told her mom to meet them at the
movie theater, and he seemed “a little bit upset” at this.
Appellant then told EM that he was feeding the dogs
for his Officer-In-Charge at Camp Pendleton. Entering Camp
Pendleton, military police pulled over Appellant and gave
him a ticket. As Appellant pulled into the driveway, EM
said she wanted to wait in the car while he fed the dogs,
but he “was getting angry” and told her to go inside. A
neighbor approached as they were entering the house and
said that the dogs had been fed and “taken care of.”
Appellant then told EM that the neighbor “took care of [the
dogs] on weekends.” This prompted EM to ask “what we were
doing here,” and “he wouldn’t answer.”
At this point, EM testified, “I was nervous and
scared.” Appellant went in the living room, sat on the
couch and began watching TV. EM stated she wanted to
leave, and then yelled that she wanted to leave. Appellant
“told [EM] that we weren’t going to leave until we did
something.” EM testified, “I think [it] meant he wanted to
perform some kind of sexual activity with me.” EM’s sister
called and EM answered; Appellant got angry and told her to
hang up. When she was off the phone, Appellant repeated
that “we weren’t leaving till we did something.”
5
United States v. Sullivan, No. 10-0383/MC
EM said she “tried walking out the front door” but
“[Appellant] had grabbed the back of my sweatshirt and
pulled me down to the couch . . . . He had throw[n] his
shorts off and tried pushing my head . . . . [h]e put it
around the back of my neck and pushed -- pushed my head
down.” According to EM, he had pulled his shorts “almost
midthigh” and his boxers down. EM made a run toward the
front door, but it was locked and she didn’t get it open in
time. Appellant grabbed her “[l]ike in a headlock” and
dragged her down the hallway. EM rated his use of force as
an “eight or nine” on a scale of one to ten.
As he dragged her down the hallway, Appellant “had
pulled the hood from my sweater over my face and held . . .
one of his hands down on my nose and my mouth and the other
hand around my neck.” EM testified that she “thought he
was trying to kill me. And I thought I was going to die.”
She testified that she dialed 911 in her pocket but lost
consciousness, and when she came to, Appellant took the
phone from her hand and hung up before she could say
anything. EM ran to the bedroom and reached for the
window, but Appellant pulled her away; Appellant told her
to be quiet or he was going to kill her.
Appellant walked out of the bedroom; EM was trying to
stand, leaning over a dresser. He came back to the room
6
United States v. Sullivan, No. 10-0383/MC
with a knife in his hand. First, according to EM, he held
the knife to EM’s neck and “told me that, if I wasn’t going
to be quiet, that he was going to kill me.” Then he
offered EM the handle “[a]nd he told me that . . . if I was
going to tell someone what he had done then just to kill
him.” Appellant seemed “scared” and “like he wanted to
cry.”
EM testified that at this point she ran for the door.
She got it unlocked, opened it, and Appellant grabbed her
again in a headlock, locked the door, threw EM to the floor
and when she stood up, punched her in the mouth. She stood
up and walked toward the third bedroom, trying to push
Appellant away. He hit her head on the corner of a tall
dresser. Appellant subsequently told EM to get in the car.
She was afraid that “he’d do something like maybe get us in
a car wreck or something and try to kill both of us. I
still didn’t think he was going to let me live that day.”
They walked through the house toward the driveway and he
discussed what EM should tell her mom to explain her
unanswered calls. When he opened the passenger door for
EM, she ran down the street until she “saw a lady. And I
asked her to help me. And I just kind of collapsed on the
-- on the grass area. I think it was someone’s yard.”
7
United States v. Sullivan, No. 10-0383/MC
The lady EM saw was Eileen Taylor, a neighbor who was
on a walk with her young children. When EM collapsed,
Taylor, who had previously worked as a registered nurse,
kneeled over her. Other neighbors saw them and came
outside. Witnesses described EM as “hyperventilating,”
“eyes rolled in her head,” and saying, “[h]e hurt me.”
Appellant watched EM from down the street and then
drove over in his car. Appellant told Lieutenant Colonel
(Lt Col) Kenneth Maney and his wife, neighbors who were
among the bystanders, that “she missed a series of her
meds” and attempted to persuade EM back into the car. Lt
Col Maney testified that EM “made it clear to me that [she
thought] he would hurt her.” As the situation progressed,
“her health was starting to deteriorate” and they “couldn’t
get a pulse on her.” Lt Col Maney and the other bystanders
called EM’s mother and then the Provost Marshal’s Office,
which sent military police and an ambulance. Military
police questioned Appellant at the scene as the ambulance
took EM to the hospital.
The defense argued at trial that EM was mentally
unstable and “fabricated the allegations against Cpl
Sullivan because she attempted to mutilate herself and had
suicidal ideations on 23 September 2007.” According to
Appellant, EM feared that her mother would send her to be
8
United States v. Sullivan, No. 10-0383/MC
hospitalized if her mother discovered the true source of
her injuries as self-inflicted or having occurred during
Appellant’s attempt to stop EM’s self-injury. Appellant
further argued that EM’s condition was prone to triggering
events, like birthdays, and cyclical in nature, making past
behavior relevant to current conduct. To support this
defense, Appellant sought to present evidence of EM’s prior
self-mutilation and “suicidal ideations” allegedly
discussed with Dr. McMichaels during her prior treatment
and recorded in her medical records.2
2
“Suicide ideation,” according to psychologist Dr.
McMichael, who introduced the term to this case, “doesn’t
involve intent. It does not involve a plan.” Rather,
suicidal ideation involves thoughts that are “not unusual
for daily life for healthy people.” Dr. McMichael
described a continuum ranging from mere suicidal ideations
to someone at high risk of suicide, who is developing an
intent and a plan, which is “much different from a suicidal
ideation.” For example, Dr. McMichael offered, “if I had
an automobile accident and I crush up my wife’s car and
said, Oh, my goodness. I wish I were dead. . . . She’s
going to read me the riot act. That’s an ideation.”
The term self-mutilation, as used by Dr. McMichael in
his proposed testimony, is distinct from suicide ideation.
He testified, “[s]elf-mutilation is a coping skill. It’s a
dysfunctional coping skill, but it’s nonetheless an
effective coping skill.” Discussing self-mutilation, Dr.
McMichael noted:
It reduces the psychological pain that the person is
having. And it’s a cut across the arm. Cutting is a
cut across the arm. When they start cutting down the
arm[s] that’s no longer cutting, that’s a suicide
attempt. So that’s not cutting, that’s not self-
mutilation. And cutting across the thighs is typical
9
United States v. Sullivan, No. 10-0383/MC
The military judge called an Article 39(a), UCMJ,
session to determine the admissibility of Dr. McMichael’s
proposed testimony, particularly regarding EM’s past
medication prescriptions and history of self-mutilation or
“suicide ideation.” He concluded that it did not meet the
relevancy requirement and that any relevance was outweighed
by potential prejudice pursuant to Military Rules of
Evidence (M.R.E.) 401 and 403. He also ruled inadmissible
the defense’s cross-examination of EM and her mother on the
subject of her past suicide ideation, self-mutilation, and
medications. The military judge stated on the record that
he excluded this evidence based on failure to establish a
relevant connection to the case (from which members could
draw permissible inferences).
Because these subjects were repeated and because the
military judge invited the defense counsel to revisit the
topic or recall witnesses if they could establish
relevance, the record contains multiple discussions with
counsel and rulings by the military judge.3 Ultimately, the
of someone who has had a lot of trauma in their life,
as well as cutting across the arms.
3
The military judge held:
Defense counsel characterizes this evidence as
bias. When it appears that what this actually
is, is character evidence to show action and
10
United States v. Sullivan, No. 10-0383/MC
conformity there with [sic]; that is, [EM]
exhibits these traits, does these things, is this
type of person, and she was this type of person
on September 23, 2007.
He based this on prior examinations in which he
stated:
I, again, am not going to allow you to get into
her suicide ideations or self mutilation. . . .
[F]irst off, . . . I have not heard the
relevance. I have asked both sides a couple
times. I have not heard the relevance of it. So
that is number one.
Number two, I see no way that the government has
somehow opened the door on this issue by either
direct or otherwise.
Whatever relevance there may be there, if there
is any, I would say that under 403 that this type
of evidence must be kept out in order to not
confuse the members or to get in improper
evidence on the alleged victim that is not
relevant to these charged offenses.
He later gave the defense counsel another opportunity:
Connect for me the embarrassment of self
mutilation and the threat of residential
treatment to making up these allegations.
. . . .
. . . [S]how me the linkage of how that would go
to show her making false allegations against the
accused.
. . . .
. . . What evidence is on the record right now
that she injured herself?
. . . .
11
United States v. Sullivan, No. 10-0383/MC
military judge detailed his decisions in written findings
of fact and conclusions of law rooted in M.R.E. 401 and
M.R.E. 403.
[T]he [C]onstitution does not confer upon the accused
a right to present any and all evidence at trial, but
only the evidence which is legally and logically
relevant.
. . . .
. . . [E]vidence that the defense sought to elicit
here was not bias, because at no point was there a
fragile theory of bias presented. . . . Under 403, in
doing an analysis, a balancing analysis on this issue,
I found that the evidence that the defense was trying
to admit . . . had very low probative value.
. . . Conversely, the danger that the members would
misuse the evidence and use it for an improper purpose
or . . . distract from the main issue in the case was
very high.
On appeal, Appellant argues that he was denied the
opportunity to put on a defense because EM’s mental health
records were relevant and central to his claim that EM’s
injuries were self-inflicted and that she had a motive to
. . . [W]hat evidence is on the record that she
injured herself? Is there something on the
record?
When the defense counsel was unable to demonstrate a
connection, the military judge stated:
[Y]ou can’t just pull out something that happened
six months ago and say, Ha, we’re going to bring
this in. There’s got to be some connection.
There’s got to be some relevancy to the charged
offense. And right now there’s nothing in the
record that shows that.
12
United States v. Sullivan, No. 10-0383/MC
fabricate. Appellant further argues that the military judge
violated his constitutional right to confront witnesses
because the military judge restricted the admission of
evidence that went toward EM’s credibility based on her
psychological history.
DISCUSSION
This Court reviews a military judge’s evidentiary
decisions for an abuse of discretion. United States v.
Ediger, 68 M.J. 243, 248 (C.A.A.F. 2010).
Issue I: Evidence of Motive to Fabricate
The Confrontation Clause preserves the right of an
accused “to be confronted with the witnesses against him.”
U.S. Const. amend. VI; United States v. Carruthers, 64 M.J.
340, 344 (C.A.A.F. 2007). This right includes the right to
cross-examine witnesses, including on issues of bias and
credibility. In fact, “This Court has held that rules of
evidence should be read to allow liberal admission of bias-
type evidence.” United States v. Moss, 63 M.J. 233, 236
(C.A.A.F. 2006).
At the same time, a military judge retains “wide
latitude” to impose “reasonable limits” upon cross-
examination. Delaware v. Van Arsdall, 475 U.S. 673, 679
(1986), quoted in Carruthers, 64 M.J. at 341. Moreover,
evidence must satisfy the rules of evidence. An accused
13
United States v. Sullivan, No. 10-0383/MC
does not have a right to cross-examine a witness on any
subject solely because he describes it as one of
credibility, truthfulness, or bias. There must be a direct
nexus to the case that is rooted in the record. That is,
the evidence must be logically relevant as required by
M.R.E. 401, and it must also be legally relevant in
accordance with the M.R.E. 403 balancing test. In short,
the right to cross-examine is the right to question where
the proffer establishes a real and direct nexus to a fact
or issue at hand. That nexus is as important where the
concern involves inquiry into the victim’s medical
background and privacy as it does when it involves
traditional M.R.E. 403 concerns like distraction and
confusion of the members.
In our view, the military judge did not abuse his
discretion in ruling that Appellant did not establish such
a nexus in this case. First, Appellant’s theory of
admission was based in part on the prospect that EM feared
hospitalization if her mother believed she had sought to
injure herself. However, there is no evidence in the
record that EM contemplated the possibility of
hospitalization. There is also no evidence that EM’s
mother would consider hospitalization in the case of a
future cutting incident. Significantly, defense counsel
14
United States v. Sullivan, No. 10-0383/MC
did not question EM or her mother on this subject at trial
–- nor did the military judge preclude defense counsel from
doing so. (To his credit, Appellant’s counsel acknowledged
as much at oral argument.) The mere fact of prior
psychological counseling does not create a sufficient nexus
to inquire into a victim’s medical history. A direct nexus
is needed.
Further, EM’s injuries were not similar to those Dr.
McMichaels described as associated with EM’s prior self-
mutilation through cutting. At one point, the military
judge asked defense counsel: “[I]s there anything on the
record that shows that she did these injuries? . . . I just
want to be certain about that.” Defense counsel responded
by acknowledging the question and stating, “[N]o, sir.”
Subsequently, the military judge found “the injuries were
marks to her neck and a cut lip, which in no way was ever
presented as something that she had done to herself.”
Again, there is no direct nexus that would open the door to
inquiry regarding the victim’s mental health counseling for
cutting.
As a result, this case is distinguished from Moss, 63
M.J. at 238-39, a case Appellant cites, in which this Court
reversed the trial court’s decision to exclude testimony
regarding the victim’s mental health records and history.
15
United States v. Sullivan, No. 10-0383/MC
To start, Moss was a “‘he said/she said’ scenario.” Id. at
237. The testimony of the accused and the victim stood
alone and “[t]here was no other evidence to corroborate the
sexual misconduct.” Id. In contrast, in this case there
were witness bystanders who testified to the circumstances
immediately following the incident as well as evidence of
EM’s physical injuries, which tended to corroborate EM’s
testimony.
In Moss, there was also a direct nexus between the
proffered evidence and evidence on record at trial. Id.
The victim had been repeatedly punished, beaten, and
institutionalized “as a result of behavior problems and
suicide attempts,” contemporaneous with the events in
question. Id. at 235. The record also reflected that the
victim had lied to her mother, school officials, and mental
health professionals, for which there was evidence in her
mental health records. Id. As a result, this Court
recognized a “viable defense theory as to why KLVD would
fabricate the rape allegations,” because “KLVD had a motive
to misrepresent the event with Appellant in order to change
her own present circumstances,” and alter the context of
her relationship with her mother. Id. at 235, 237. The
Court concluded, “[a] reasonable panel might have reached a
significantly different impression of [the victim]’s
16
United States v. Sullivan, No. 10-0383/MC
credibility had the defense been able to present the
excluded evidence.” Id. at 237. Thus “the military
judge’s exclusion of the proffered evidence denied
Appellant his fundamental right of confrontation and cross-
examination.” Id. at 236. This case is not Moss;
Appellant did not provide the factual predicate necessary
to create a sufficient nexus between EM’s previous mental
health issues and counseling and Appellant’s theory of
admission to overcome the M.R.E. 403 balancing test.4
Further, and important to our reasoning, Appellant was
given the opportunity to demonstrate such a nexus. First,
all of the records of EM’s visits with Dr. McMichael were
available to Appellant, and the defense was able to
question Dr. McMichael out of the presence of the members
to attempt to show the relevance of his proposed testimony.
Second, the military judge repeatedly conducted
balancing tests, on the record, in light of M.R.E. 401 and
4
The military judge specifically concluded:
So I felt the probative value of this evidence was
extremely low. Conversely, the danger that the
members would misuse the evidence . . . was very high.
. . . .
. . . [A] link that was missing in the defense theory
here was that evidence that somebody who suffers from
adjustment disorder with mixed emotions and post
traumatic stress disorder would react in the way that
the defense presented.
17
United States v. Sullivan, No. 10-0383/MC
M.R.E. 403. Appellant had the opportunity to make his
case, the military judge stating on at least three
occasions that if the defense was able to produce evidence
that would demonstrate a connection, he would revisit the
topic. In short, the military judge treated the relevance
and balancing determinations with the care necessary to
uphold the accused’s constitutional rights while also
protecting the privacy of the victim and did not abuse his
discretion in doing so.5 Therefore, we are satisfied that
the military judge considered the M.R.E. 403 factors and
the probative value of this evidence, and did not abuse his
discretion.
Issue II: Medication Evidence
The second issue is related to the first because it
also tests the balance between an accused’s right to
confront witnesses and put on a defense and a witness’s
medical and personal privacy. It, too, presents a question
of legal and logical relevance as to whether Appellant
demonstrated a sufficient nexus between his proffered
5
See United States v. Collier, 67 M.J. 347, 353 (C.A.A.F.
2009) (to constitute an abuse of discretion, a military
judge’s ruling “must be more than a mere difference of
opinion; rather, it must be arbitrary, fanciful, clearly
unreasonable, or clearly erroneous” (quotation marks
omitted)).
18
United States v. Sullivan, No. 10-0383/MC
evidence regarding EM’s past use of medication and a fact
or issue at trial.
The defense sought to introduce evidence of EM’s
prescribed medications history prior to 2007, in particular
during the years 2002, 2003, and 2005. The defense argued
that it was necessary to show why Appellant told the
bystanders that EM had “missed her medication” as an
explanation for her behavior on the day of the incident.
Appellant argues that because he was aware of EM’s prior
medication, he might reasonably have thought she was still
on medication at this later time. In the alternative,
Appellant argues that trial counsel opened the door to this
evidence by eliciting testimony that EM was not on
medication at the time of the incident, and thus the
military judge abused his discretion in excluding the
evidence.
As with the first issue, the military judge excluded
this evidence based on a lack of logical relevance. The
military judge found that there was no evidence on the
record that showed that EM was on medication at the time of
the incident. Neither was there evidence before the court
that Appellant believed EM to be on medication in September
19
United States v. Sullivan, No. 10-0383/MC
2007.6 To the contrary, the record contained EM’s testimony
that she was last on medication in 2003. Moreover, EM’s
testimony is consistent with Dr. McMichael’s testimony
during the Article 39(a), UCMJ, session that EM had not
been on medication for a number of years -— he testified
that his last prescription for EM was in 2005.
Thus, in our view, the military judge correctly
determined that Appellant’s statements at the scene that EM
needed her medication, made inquiry about EM’s use of or
lack of medication in 2007 relevant. But it did not make
her history of medication in prior years relevant, absent
some showing that such prior medication would affect her
ability to perceive events or tell the truth at a later
time.
Evidence of a witness’s psychological state is
properly excluded if it did not affect her “ability to
perceive and tell the truth.” United States v. Butt, 955
F.2d 77, 83 (1st Cir. 1992). Conversely, it should be
admitted if it relates to the witness’s ability to perceive
events and testify accurately. United States v. Lindstrom,
698 F.2d 1154, 1165-66 (11th Cir. 1983).7 As with Issue I,
6
The lower court noted this as well. 2010 CCA LEXIS 19, at
*8, 2010 WL 520821, at *3.
7
In Lindstrom, “medical records showed that a government
witness had manipulated the results of a medical test and
20
United States v. Sullivan, No. 10-0383/MC
the problem here is one of establishing a sufficient nexus
to satisfy the requirements of M.R.E. 401 and especially
M.R.E. 403.
In Butt, the witness had attempted suicide and been
hospitalized; her hospital records revealed diagnoses of
“splitting,” “hysteroid dysphoric,” and “borderline
personality disorder.” 955 F.2d at 80. Nevertheless, the
United States Court of Appeals for the First Circuit
affirmed the trial court’s decision to exclude her mental
health records as “not relevant to her veracity” because “a
tighter logical nexus was necessary to justify the
introduction of such personal and potentially stigmatizing
material.” Id. at 83-84. Similarly, in the words of the
military judge in the present case, “The girl is 17 years
old and everyone’s been on medication.”
Appellant retained a number of avenues through which
to attack EM’s credibility, which he did. For instance,
defense counsel introduced testimony of MP, a former friend
of EM, and her mother DJ, who testified to EM’s lack of
truthfulness and implied that she had fabricated her
testimony. Ultimately, however, Appellant failed to
woven an ‘intricate fabrication’ to explain it, that the
witness ‘chronically misinterpreted the words and actions
of others,’ and that she exhibited ‘pseudoneurotic
schizophrenia with marked paranoid trends.’” Butt, 955
F.2d at 83 (quoting Lindstrom, 698 F.2d at 1164-65).
21
United States v. Sullivan, No. 10-0383/MC
establish a sufficient nexus between his statement and
inquiry into EM’s prior medical history and records or
prescriptions to survive the balancing test provided in
M.R.E. 403. The military judge did not abuse his
discretion in restricting the admission of evidence of EM’s
self-mutilation, suicide ideation, or past use of
medication.
CONCLUSION
The decision of the United States Navy–Marine Corps
Court of Criminal Appeals is affirmed.
22
United States v. Sullivan, No. 10-0383/MC
EFFRON, Chief Judge, with whom ERDMANN, Judge, joins
(dissenting):
In a contested trial, a court-martial panel convicted
Appellant of offenses against his minor cousin, EM, including
assault consummated by a battery, carnal knowledge,
communicating a threat, and kidnapping. The evidence against
Appellant regarding the details of the charged offenses
consisted primarily of the testimony of EM. The prosecution
also offered corroborating evidence, including the testimony of
persons who observed Appellant and EM in the aftermath of the
incident forming the basis for most of the charged offenses.
The prosecution sought to demonstrate that Appellant had
attempted to deceive the witnesses to the subsequent events in
order to shield himself from potential charges.
At trial, the defense vigorously challenged the
prosecution’s case, contending that the allegations had been
fabricated by EM. In support of that position, the defense
sought to introduce evidence demonstrating EM’s motive to lie.
In addition, the defense sought to introduce evidence in
rebuttal of the prosecution’s claim that Appellant had lied
about EM’s medical situation in the aftermath of the incident.
The military judge restricted Appellant in presenting both forms
of evidence. The majority concludes that the military judge did
United States v. Sullivan, No. 10-0383/MC
not err in either respect. For the reasons set forth below, I
respectfully dissent.
I. THE COMPETING THEORIES OF THE PARTIES AT TRIAL
A. OPENING STATEMENTS
The prosecution, in its opening statement, told the members
that the evidence would show that Appellant drove EM “to his
Officer-In-Charge’s [OIC’s] house on board Camp Pendleton. And
in that house, he attempted to force her to perform oral sex on
him. When she refused, he assaulted her repeatedly, confined
her wrongfully in that house, and threatened her life.” Trial
counsel also contended that Appellant had sexual intercourse
with EM two years prior to the Camp Pendleton incident, while EM
was fifteen years old. The prosecution stated that these
charges would be supported “first and foremost” by EM and that
her testimony would be supported by witnesses from near the Camp
Pendleton home and law enforcement officers who responded to the
event.
The defense, in its opening statement, contended that the
case was “about lies made by an emotionally disturbed teenager,
seeking attention.” Counsel described EM as having a lot of
troubles in her life and noted that she had first begun
receiving psychological treatment in 2002. As late as March
2007, six months before the accusations were made against
2
United States v. Sullivan, No. 10-0383/MC
Appellant, she had received psychological treatment because,
“she wanted to kill herself, and she had been cutting herself.”
The defense asserted that on the day in question Appellant
and EM had agreed to see a movie. Before going to the movie,
Appellant wanted to check on his OIC’s home and take care of the
dogs, since he was house-sitting for the warrant officer. While
Appellant was taking care of the dogs, EM went to the bathroom.
EM allegedly grabbed a knife owned by the OIC and threatened to
kill herself. Appellant was surprised but wrestled the knife
away from EM, who was having an “emotional breakdown” and
repeatedly telling Appellant to get away from her. Appellant
tried to settle her down and when he thought she was calmed down
enough he tried to take her back to her mother. Rather than get
into Appellant’s car, EM wandered down the street in “an
emotional frenzy” collapsing in a nearby lawn.
B. TESTIMONY ABOUT THE CHARGED OFFENSES
1. Testimony by EM on direct examination
The prosecution called EM as its primary witness. At the
time of the trial, in 2008, she was seventeen years old. EM
testified she had known appellant for seven or eight years and
that he had lived with her family in the past. EM stated that
Appellant compelled her to have intercourse with him in 2005,
but she did not tell anyone at the time of this event. EM then
described a separate incident in September 2007, which began
3
United States v. Sullivan, No. 10-0383/MC
when she reluctantly agreed to go to a movie with Appellant
after he threatened EM with harm to her family.
She testified that after Appellant picked her up in his
car, they did not go to the movie. Instead, Appellant told her
that “he had to go to Camp Pendleton to feed his boss’s dogs.”
After arriving at the house in Camp Pendleton, EM repeatedly
requested that they leave and Appellant grew increasingly angry.
At some point EM attempted to leave through the front door, when
Appellant allegedly attacked her by grabbing her clothes and
pulling her onto the couch. According to EM’s testimony,
Appellant lowered his shorts and attempted to force her head
towards his penis. EM got loose and headed for the front door
again. Her testimony detailed a struggle with Appellant in
which Appellant allegedly choked her, threatened her with a
knife, and struck her. After striking her, Appellant allegedly
asked her to get in his car and promised that he would take her
to her mother and that she would never hear from him again. EM
testified that she did not believe Appellant, but agreed to go
along with him. When they got outside to Appellant’s car she
ran, eventually collapsing when a woman asked her if she needed
help.
The prosecution also elicited testimony from EM that she
was not on medication on the day in question, and she testified
that she had not been on medication since 2003. EM stated that
4
United States v. Sullivan, No. 10-0383/MC
she believed Appellant told the witnesses that she was on
medication in an attempt to make her appear “naturally
unstable.”
2. Restrictions on the defense cross-examination of EM
During cross-examination, defense counsel attempted to ask
EM questions about her past trauma, psychological condition and
self-mutilation. Trial counsel objected. In the ensuing
hearing before the military judge under Article 39(a), UCMJ, 10
U.S.C. § 839(a), defense counsel offered the following
explanation for cross-examination of EM:
Sir, on direct examination, the government was asking
questions about her state of mind. They’ve asked if
she has been prescribed medication. . . . This goes to
whether Corporal Sullivan’s belief that she was on
medication was reasonable or not.
Counsel added that the cross-examination would “show the members
why [the defense] theory of the case [was] reasonable.” The
military judge rejected the defense position, stating that the
prosecution had not “opened the door” to this line of
questioning. The military judge added that he did not “see the
relevance of talking about her psychological issues.”
The defense then sought to address the issue of self-
mutilation, explaining the defense theory “that this young lady
picked this knife up and she tried to injure herself.” Defense
counsel contended, “That is how she got injured. And there is
5
United States v. Sullivan, No. 10-0383/MC
evidence that she -- ” The military judge interrupted and
stated that the defense had not presented that theory earlier in
the trial, and that merely mentioning the theory did not mean
that the defense was entitled to discuss the matter. The
military judge asked defense counsel to articulate why self-
mutilation in 2003 would be relevant to the circumstances of the
charged events in 2007. Defense counsel noted that EM had
stated during the pretrial hearing under Article 32, UCMJ, 10
U.S.C. § 832, that her last self-mutilation occurred in 2005,
and there was evidence of self-mutilation in 2007. The defense
stated that it wanted to confront the witness with statements
made to her psychologist as a means of addressing credibility.
The defense also wanted to contrast the evidence of self-
mutilation with her testimony denying any suicidal tendencies.
In response to the military judge’s questions about the
relevance of this evidence, defense counsel offered two reasons:
[One:] Our entire theory of the case is that this
entire event occurred because she was having suicidal
ideations. She picked up the knife and was going to
cut herself, number one. So it goes to [Appellant’s]
right to compulsory process.
Number two, it is relevant to show that at the Article
32 these matters were brought up, and she testified
falsely about them.
In support of this view, defense counsel pointed to conflicts
between EM’s testimony during the pretrial Article 32 hearing
and other statements by EM, as reflected in a medical report
6
United States v. Sullivan, No. 10-0383/MC
from EM’s psychologist. The military judge ultimately concluded
that the evidence was neither inconsistent nor relevant, and
that in any case should be excluded under M.R.E. 403 as likely
to confuse the members.
During the subsequent cross-examination of EM, defense
counsel asked a number of questions about inconsistencies in
EM’s testimony. The cross-examination indicated that EM had
told one investigator that she had been raped by Appellant four
times, while providing different numbers to other individuals.
During cross-examination, the defense also was able to establish
that EM had acknowledged, during the pretrial Article 32
investigation, that she had made a false statement to one of the
law enforcement investigators.
3. The prosecution’s evidence concerning developments in the
aftermath of the charged offenses
a. The witnesses who observed Appellant and EM
To corroborate EM’s allegations, the prosecution offered
the statements of a number of witnesses regarding events that
occurred in the immediate aftermath of the incident forming the
basis for the charged offenses. Ms. Eileen Taylor testified
that she was walking her two young children near the home of
Appellant’s supervisor when she observed a girl, EM, “walking
down the street, sort of mumbling to herself.” Ms. Taylor
7
United States v. Sullivan, No. 10-0383/MC
stated that EM said that she was “looking for her mother” and
that EM looked “out of sorts, like she needed some help.” EM
collapsed onto a lawn when Ms. Taylor asked if she was okay.
Ms. Taylor, a registered nurse, went to assist EM. She
described EM as having a swollen lip, hyperventilating, being
“terrified” and “a little bit disoriented.”
While Ms. Taylor was assessing EM, other neighbors began to
arrive on the scene. One of these neighbors testified that EM’s
emotional state was “[c]ompletely looped” and that she was
“breathing heavy, eyes were rolling in her head, tears were
going down her face. She was asking for her mom.” The neighbor
also stated that EM had a “fat lip” and “a red mark on the right
side of her neck.” All of the neighbors testified that after
Appellant arrived at the scene, he endeavored to get EM into his
car.
The witnesses also testified that Appellant made a
statement about EM’s condition. Specifically, they testified
that Appellant told them that EM had missed her medication. EM
told at least one of the witnesses that she was not on
medication.
The witnesses testified that EM refused to go with
Appellant. They further testified that EM told them that
Appellant would hurt her.
8
United States v. Sullivan, No. 10-0383/MC
One of the witnesses, Lt. Col. Maney, took informal control
of the situation. He testified that when he arrived on the
scene, EM was “pretty much incoherent.” He also observed
Appellant standing nearby on his cell phone with his car parked
in the middle of the road. Lt. Col Maney described Appellant
as, “trying to -- like anybody would if they were on [sic] a
situation in base housing, trying to get her in the car, and
let’s just move on, let’s move on from the scene.”
After EM refused to get in the car with Appellant, Lt. Col.
Maney suggested that Appellant call EM’s mother. Appellant
dialed the number and handed the phone to Lt. Col. Maney. When
EM’s mother told Lt. Col. Maney that EM was not on any
medication, he decided that the situation was “out of [his]
hands” and called the Provost Marshal’s Office. Lt. Col. Maney
testified that Appellant was cooperative and polite throughout
the scene at base housing. He also testified that EM’s mother
became very emotional when he asked about EM’s medication.
b. The testimony of EM’s mother
On direct examination of EM’s mother, the prosecution asked
if EM had said anything about medications during the phone
conversation between EM and her mother while EM was on the lawn
in base housing. When defense counsel objected, the prosecution
indicated that the testimony would demonstrate that Appellant
had sought to transform his crime into a benign incident by
9
United States v. Sullivan, No. 10-0383/MC
fabricating an explanation. According to the prosecution, the
testimony from EM’s mother would show that Appellant had lied to
the other witnesses and that he “was trying to extract [EM] from
the situation by saying that she was on medications when she was
not.” The military judge did not rule on the defense objection,
but EM’s mother was permitted to testify that EM was not on
medication on the day in question.
When the defense attempted to pursue the relationship
between the testimony of EM’s mother and the credibility of
Appellant’s statements in the aftermath of the incident, the
prosecution objected. The prosecution asserted that questions
concerning EM’s prior use of medications did not involve
evidence relevant to the case. In response, defense counsel
noted that the prosecution had interjected into the case the
link between EM’s prior use of medication and the assertion that
Appellant had fabricated an explanation for the incident. The
defense expressed concern that the prosecution, in its closing
statement, would rely on the asserted false statement by
Appellant.
The military judge noted the defense point, stating:
I guess the point here is: That standing alone. It
could look like he’s making this up out of the clear
blue as some story to tell these people that are all
around her. If he had it in his head -- if he knew
she had been on medication, whatever, six months ago
or something, then this might go to show that he had
10
United States v. Sullivan, No. 10-0383/MC
some knowledge that she had been on medication. This
wasn’t fabricated.
In response to the military judge’s question as to the
details that the defense would try to elicit, defense counsel
responded:
The government wants to have their cake and they want
to eat it too. They want to introduce [Appellant’s]
statement that she’s on medication. Then they want to
prevent me from arguing that, and then argue to the
jury that my client is a liar and he was trying to
completely fabricate the story.
They opened the door. I didn’t ask that witness that
question on direct. He opened the door. I want to
ask well, when was your daughter prescribed medication
then, if she ever was?
The military judge indicated that he would allow the
defense to ask a single question as to whether EM had ever been
on medication. Upon further objection from the prosecution, the
military judge limited the time frame of the question to
medication use within a year of the September, 2007, event.
Ultimately the military judge sustained the objection to the
defense counsel’s general question: “Was [EM] ever prescribed
medication in the past?” The military judge concluded that such
questions would confuse the members: “The girl is 17 years old
and everyone’s been on medication. I’m just not going to allow
it at this point.” The military judge left open the issue for
the defense case-in-chief but no further questions were asked
11
United States v. Sullivan, No. 10-0383/MC
concerning EM’s medication use or psychological history during
cross-examination.
4. The testimony proffered by the defense concerning EM
During its case-in-chief, the defense sought to present
testimony from Dr. Herbert McMichael who provided psychological
services to EM. The defense contended that testimony would
provide evidence concerning the source of EM’s injury as well as
her motive to fabricate.
In a session before the military judge under Article 39(a),
the parties discussed the relevance of the proposed testimony.
Defense counsel stated that the testimony would provide
information concerning EM’s history of suicidal ideation and
self-mutilation. In addition, the defense stated that the
evidence would show that EM’s condition had been a source of
conflict between EM and her mother, and that consideration had
been given to placing EM in a facility for residential
treatment. Counsel argued that the evidence would show that EM
had a variety of motives to fabricate the allegations against
Appellant, including a desire to gain sympathetic attention from
her mother, and a fear of her mother’s reaction if she knew that
EM had engaged in further attempts at self-mutilation.
During the Article 39(a) session, Dr. McMichael stated that
he had met with EM an average of seven times per year from 2002-
12
United States v. Sullivan, No. 10-0383/MC
2007. He stated that EM had a long history of suicidal ideation
going back to at least 2002 when EM first started receiving
treatment. He described suicidal ideation as part of the
continuum of suicidal thought and behavior, with suicidal
ideation at one end of the continuum, while forming a suicidal
intent or plan would be further along the spectrum. According
to Dr. McMichael’s testimony, EM’s last reported suicidal
ideation occurred in March, 2007.
Dr. McMichael also discussed EM’s history of self-
mutilation. Dr. McMichael distinguished self-mutilation from a
suicide attempt, and described it as a dysfunctional coping
skill. “The agony that a person is experiencing, they’re
depressed, they’re anxious, they feel in their chest, they think
it and process it in their head.” The physical cutting “reduces
the psychological pain that the person is having.” Dr.
McMichael told the military judge that although the primary
focus of self-mutilation involves a form of control, it also can
have a secondary effect in terms of gaining attention. His
testimony described two major periods of self-mutilation by EM,
occurring in 2005 and early 2007, and he indicated that there
had been earlier self-mutilation.
Dr. McMichael said that he had discussed the possibility of
hospitalization with EM’s mother during the 2005 period of self-
mutilation. He said that EM’s mother was “open to the idea, but
13
United States v. Sullivan, No. 10-0383/MC
she really wasn’t keen on the idea.” In his report, Dr.
McMichael noted, “Mom realizing the need to consider alternative
interventions for client including residential placement.” At
that time, Dr. McMichael also discussed a “no suicide contract”
with EM, which is an approach used when the doctor feels
concerned that someone is “moving into the direction of high
risk.” This is essentially a stated commitment by the patient
to contact the doctor if personal thoughts turn to committing
suicide; the commitment to the agreement itself is part of
suicide prevention. In March, 2007, the medical records
indicated that EM was at moderate suicide risk.
In describing EM’s family dynamic, Dr. McMichael testified,
“Well, there was a theme that’s emerged on and off throughout
[EM]’s life. Not feeling special enough to her mom, and when
her mom gives someone else attention, it is upsetting for [EM].”
He further noted that EM had a “love/hate” relationship with her
siblings and her mother. “Always competing for position in the
family. Always competing for attention and affection. Always
overly sensitive to being rejected by anybody in the family.”
Elsewhere he offered the following description of EM: “This is
a child who early in life was violated by numerous people and
she never internalized a feeling of security and safety that a
family can provide.” He continued, “She is always looking over
her shoulder expecting something scary or bad to happen.” Dr.
14
United States v. Sullivan, No. 10-0383/MC
McMichael noted the complexity of the family dynamic by stating
that “they’re always putting each other down and at the same
time they’re wonderfully supportive of one another.” He also
testified that EM’s mother had started to take care of two more
of EM’s cousins, noting that while EM appeared to enjoy
interacting with her cousins, it signaled reduced attention from
her mom.
In describing EM’s underlying psychological condition, Dr.
McMichael noted EM’s recent improvements in the months prior to
the charged offenses. He added, however, EM’s mental condition
was like a “volcano” and pressure could build up at any time.
He stated that EM’s condition “cycles from mild to acute and
from active to delayed.” He explained that a trauma has a
lasting psychological impact, “[s]o that the trauma that took
place . . . [fifty] years ago is no less significant than the
trauma that took place one year ago.” Dr. McMichael also
testified that in treating EM, he looked for “[t]riggers of
depression.” He further noted that during the summer of 2007 EM
appeared the healthiest of her time in treatment. In response
to a question from the military judge concerning the events of
September 2007, Dr. McMichael testified that, “[t]here were no
triggers prior to that event that would lead [him] to believe
that [EM] would be wanting to hurt herself.” He subsequently
noted that individuals with EM’s problems would be prone to
15
United States v. Sullivan, No. 10-0383/MC
depression on holidays, birthdays, and anniversaries of deaths.
He testified that times of celebration would remind EM of family
members who were not there anymore but also expressed particular
concern for anniversaries of deaths, such as the October 2003
death of EM’s sister. He noted that any of these events could
serve as triggers. The defense had previously elicited
testimony that EM’s birthday occurred the day prior to the
alleged events in the Camp Pendleton home.
During the Article 39(a) session, Dr. McMichael also
described EM’s history regarding usage of medication. The
record is not clear on the time lines for specific medications,
but the doctor testified that he prescribed two different
psychiatric medications at different periods of time. He noted
that her last prescription occurred in 2005. Dr. McMichael
testified that EM had never been compliant: “She would take
them for a little while and then she wouldn’t take them.”
After the proffered testimony, defense counsel explained
that they wanted to introduce this testimony as evidence of
self-mutilation, suicidal ideation, and EM’s family dynamic.
Defense counsel presented two theories of relevance for this
particular testimony.
Under the first theory of relevance, the defense sought to
demonstrate that EM may have been the source of the injuries
that occurred inside the house at the time of the charged
16
United States v. Sullivan, No. 10-0383/MC
offenses. The military judge asked if there was any other
evidence in the case, outside of the proffered testimony, that
EM was the source of the injury. Defense counsel stated that
there was no other evidence that EM had inflicted the injuries
on herself, but noted that the source of the injuries was an
issue in dispute in the case.
Under the second theory of relevance, the defense cited the
issue of whether EM had a motive to fabricate. The defense, in
its written submission, referred to the issue of whether EM had
a motive to fabricate the allegations in order to avoid possible
hospitalization resulting from her actions in the house. During
the Article 39(a) hearing, defense counsel also argued that EM
had a motive of gaining attention. Specifically, counsel noted
that EM had four brothers and sisters and that she competed with
them for her mother’s attention. Dr. McMichael had described
this as a recurring theme in her treatment, and defense counsel
argued, “[w]hat better way to get attention from your mother
than to say my cousin raped me and assaulted me.” Defense
counsel also argued that the proffered testimony should be
viewed in the context of other evidence impeaching EM’s
credibility, including a defense witness who testified that EM
had admitted to lying about events. Counsel noted that in view
of this evidence of falsehood, the defense needed “to present to
the members why she’s being untruthful.” Defense counsel noted:
17
United States v. Sullivan, No. 10-0383/MC
[O]ur theory of the case is that she is attention
starved. She wants the attention from her mother.
She loves the attention from Dr. McMichael. And
interestingly enough, Dr. McMichael said, [w]ell you
know what, the self-mutilation, secondarily could be
to get attention from her mother. That is our theory
of the case. And it is not unreasonable.
The defense contended that exclusion of this evidence would
violate the right to confrontation and compulsory process.
The military judge ruled against the defense, prohibiting
the introduction of any evidence of EM’s mental health issues.
The restrictions imposed by the military judge precluded
testimony from Dr. McMichael as well as further examination of
EM. The military judge stated that “at no point was there a
fragile theory of bias presented.” The military judge further
noted that the proffered evidence “had very low probative value”
and because there was a risk of confusing the panel, the
evidence would be excluded under M.R.E. 403.
II. DISCUSSION
The right to confront and cross-examine witnesses and to
call witnesses on one’s own behalf constitute the essential
components of due process in a criminal trial. U.S. Const.
amend. VI; Chambers v. Mississippi, 410 U.S. 284, 294 (1973).
The right of confrontation under the Sixth Amendment includes
the “constitutionally protected right of cross-examination.”
Davis v. Alaska, 415 U.S. 308, 316-17 (1974). Cross-examination
18
United States v. Sullivan, No. 10-0383/MC
allows the accused to “expose to the jury the facts from which
jurors . . . could appropriately draw inferences relating to the
reliability of the witness.” United States v. Collier, 67 M.J.
347, 352 (C.A.A.F. 2009) (omission in original) (quoting Davis,
415 U.S. at 318). Military Rule of Evidence (M.R.E.) 608(c)
“allows for evidence to show bias, prejudice, or any motive to
misrepresent through the examination of witnesses or extrinsic
evidence.” United States v. Moss, 63 M.J. 233, 236 (C.A.A.F.
2006). “The partiality of a witness . . . is always relevant as
discrediting the witness and affecting the weight of his
testimony.” Id. (quoting Davis, 415 U.S. at 316) (omission in
original) (quotation marks omitted). The weight and credibility
of a witness’s testimony are issues for the members of the panel
to decide. United States v. Bins, 43 M.J. 79, 85 (C.A.A.F.
1995).
The military judge may place reasonable limits on cross-
examination to avoid problems such as unfair prejudice,
harassment, and repetitive or only marginally relevant
interrogation. See Collier, 67 M.J. at 353 (quoting Delaware v.
Van Arsdall, 475 U.S. 673, 679 (1986)). Under M.R.E. 403, the
military judge may exclude relevant evidence “if its probative
value is substantially outweighed by the danger of unfair
prejudice, confusion of the issues, or misleading the members,
19
United States v. Sullivan, No. 10-0383/MC
or by considerations of undue delay, waste of time, or needless
presentation of cumulative evidence.”
On appeal, the first granted issue addresses the military
judge’s exclusion of evidence concerning EM’s prior mental
health history, focusing on the relationship of the proffered
evidence to the defense theory that EM had a motive to
fabricate. The second granted issue concerns the exclusion of
evidence which the defense sought to introduce in rebuttal of
the prosecution’s claim that Appellant lied to witnesses
regarding EM’s use of medication in order to protect himself
from punishment.
A. ISSUE I: EXCLUSION OF EVIDENCE CONCERNING THE
COMPLAINANT’S MOTIVE TO FABRICATE
Under M.R.E. 608(c) a defendant has the right to present
evidence which shows bias, prejudice or a motive to lie. In
this case EM and Appellant were the only two people present
during the circumstances constituting the charged offenses.
The other witnesses presented by the prosecution arrived on the
scene in the aftermath of those circumstances. In that context,
the credibility of EM formed a critical component of the
prosecution’s case.
The majority contends that Appellant did not establish the
relevance of the evidence at trial. I respectfully disagree.
Defense counsel at trial set forth two viable grounds for
20
United States v. Sullivan, No. 10-0383/MC
presenting the court-martial panel with information concerning a
motive to lie. First, the proffered evidence showed that EM was
a troubled young woman with dysfunctional coping skills whose
psychological problems involved a competition for the attention
of her mother. Defense counsel sought to introduce evidence
that would enable the court-martial panel to consider whether
fabricating a rape and assault allegation provided a means of
getting attention from her mother.
Second, the defense sought to introduce evidence that would
permit the court-martial panel to consider whether EM had a
motive to lie based upon fear of hospitalization if her mother
found out that she had another episode of self-mutilation. To
support this theory the defense proffered evidence that EM’s
mother had reluctantly considered residential treatment in the
past. The majority concludes that the evidence was not relevant
because the defense did not show that EM had a contemporaneous
fear of hospitalization or that the mother contemplated
hospitalization in the future. Those matters go to weight, not
relevance. The defense proffered evidence of past contemplation
of hospitalization based upon self-mutilation. The evidence was
not so remote in either time or detail as to be irrelevant or
otherwise excludable under M.R.E. 403. The responsibility for
assessing EM’s credibility in light of that evidence rested with
the members, a function that they could not perform due to the
21
United States v. Sullivan, No. 10-0383/MC
exclusion of the evidence by the military judge. See Bins, 43
M.J. at 85.
The military judge compounded the error by prohibiting the
defense from questioning EM about the possibility that her
wounds were caused by self-mutilation unless the defense could
produce additional evidence that EM was the source of her own
injuries. EM was the only prosecution witness to provide direct
testimony about the details of the charged offenses. In that
context, the military judge erred by prohibiting the defense
from asking a person with a history of cutting herself the
questions pertinent to whether her injuries on the day in
question could have resulted from yet another incident of self-
mutilation.
The exclusion of the evidence constituted prejudicial
error. The defense, through other evidence, directly challenged
EM’s credibility by showing that she had made statements
pertinent to the proceedings that were inconsistent and perhaps
untruthful. The military judge’s rulings, however, meant that
the defense could not place those matters in proper context. If
the defense had been able to explore EM’s motive to lie, a
reasonable panel might have reached a different conclusion about
EM’s credibility.
22
United States v. Sullivan, No. 10-0383/MC
B. ISSUE II: THE EVIDENCE OF PRIOR MEDICATION
The prosecution opened the door to the discussion of
medication when it accused Appellant of lying to the other
witnesses about EM needing medication. The prosecution’s
reference to Appellant’s statement was neither inadvertent nor
incidental. The prosecution first referred to Appellant’s
comment in its opening statement, asserting that on the day in
question EM was not on medication. The prosecution repeatedly
elicited testimony about Appellant’s statement and EM’s claim
that she was not on medication from virtually every witness
presented during the prosecution’s case-in-chief. EM testified
that she believed that Appellant had told people that she was on
medication to make her seem unstable. In closing, trial counsel
focused on Appellant’s statement and told the panel:
The accused lied about her being on medication. He
lied . . . because [EM] was not on medication. You
heard that from [EM] herself, and you heard it from
her mother. She was not on any medication that day.
This is a lie concocted by the accused to extract her
from that situation so that he would not get caught.
The prosecution presented Appellant’s statement as a lie to
protect himself. The military judge recognized that in the
absence of additional information it would appear that Appellant
had made the story up out of the blue, but nonetheless the
military judge refused to allow Appellant to respond to this
assertion.
23
United States v. Sullivan, No. 10-0383/MC
If not excluded by the military judge, there would have
been sufficient evidence on the record for the members to
consider whether Appellant had a reasonable basis for believing
that EM’s behavior on the day of the charged incident resulted
from medication. The record contained evidence that Appellant
was related to EM’s family and that he had lived for a time in
the family household. Dr. McMichael testified that EM’s
psychological problems had been ongoing since 2002. He further
testified that he had last prescribed medication in 2005, which
would have called into question EM’s testimony that she had last
been on medication in 2003. Dr. McMichael also noted that EM
had been non-compliant with regard to the medication, taking it
properly at some points and not taking it at other times. The
issue of when EM was last on medication goes to weight not
relevance. The proffered testimony made clear that EM had been
on medication for a period of time spanning years. In light of
that evidence, the responsibility for deciding whether Appellant
had a reasonable belief that EM was taking medication in the
period close to the incident, and that he believed her behavior
resulted from failure to adhere to a medication regime, rested
with the members, not the military judge. Allowing the
prosecution to repeatedly brand Appellant’s statement as a lie,
while simultaneously precluding him from introducing evidence
24
United States v. Sullivan, No. 10-0383/MC
showing a basis for that statement, constituted prejudicial
error.
III. CONCLUSION
The military judge committed prejudicial error by
precluding Appellant from presenting evidence and engaging in
cross-examination pertinent to the credibility of the only
person who testified as to the details of the charged offenses.
I would set aside the findings and sentence and authorize a
rehearing.
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