DocketNumber: 04-0295-AR
Judges: Gierke, Crawford, Baker
Filed Date: 9/27/2005
Status: Precedential
Modified Date: 11/9/2024
delivered the opinion of the Court.
Following the trial of Private Eric M. McNutt, the military judge met with defense and Government counsel to critique their performance, in what is often called a “Bridging the Gap” session.
We hold that the military judge improperly considered the collateral administrative effect of the “good-time” policy in determining Appellant’s sentence and this error prejudiced Appellant. Accordingly, the decision of Army Court of Criminal Appeals is reversed as to sentence and the case is remanded to that court to provide the appropriate relief in light of Appellant’s improper confinement for ten days.
BACKGROUND
Appellant was stationed at Fort Campbell, Kentucky. On January 8, 2001, Appellant left his unit without permission and remained absent until February 2, 2001. On February 20, 2001, Appellant again absented himself without authority and returned to his hometown of Belton, Missouri. About a month later, he surrendered to military authorities on March 19, 2001, at Fort Campbell, Kentucky. Appellant remained under military control, awaiting disposition, until he absented himself without authority a third time on April 27, 2001. He was absent until he was apprehended at his house in Belton by the County Sheriff on December 5, 2001. Appel
After Appellant’s court-martial, Captain (Cpt) Shahan, Appellant’s trial defense counsel, submitted a letter to the convening authority pursuant to Rule for Courts-Martial (R.C.M.) 1105, asserting that the military judge erred in formulating the length of confinement.
After the guilty plea, the military judge informed the trial counsel, Cpt Gisela Westwater, and me, that the reason he sentenced Pvt McNutt to 70 days was because he knew Pvt McNutt would receive 10 days of “good time” credit, and that he wanted to be sure that Pvt McNutt served 60 actual days.
Further, Cpt Shahan stated that “[i]t is common knowledge in the military justice system that the Army Regional Corrections Facilities (RCFs) credit service members with 5 days per month of ‘good time’ on sentences of 12 months or less.” Cpt Shahan asserted that, based on United States v. McLaren,
In affirming the findings and sentence, the Army Court of Criminal Appeals noted that Appellant could not impeach his sentence because none of the three exceptions to the M.R.E. 606(b)
I. The military judge erred in considering the Army’s good-time policy in assessing Appellant’s sentence
In general, “‘courts-martial [are] to concern themselves with the appropriateness of a particular sentence for an accused and his offense, without regal’d to the collateral administrative effects of the penalty under consideration/ ”
Although military judges and members should not generally consider collateral consequences in assessing a sentence, this is not a “bright-line rule.”
Similarly, in this case, the general preference for prohibiting consideration of collateral consequences is applicable to the military judge’s consideration of the Army “good-time” credits.
We agree with the lower court that, practically, the military judge could not be precluded from being aware of the Army policy because it falls within his general knowledge of the legal system. But this does not mean that he should consider it in determining Appellant’s sentence. We hold that the military judge erred in considering the Army’s “good-time” credit policy when he assessed Appellant’s sentence.
II. Military Rule of Evidence 606(b) does not apply to military judges
The Army Court of Criminal Appeals appropriately cautioned that “the core of the deliberative process remains privileged, and military judges should refrain from disclosing information during ‘Bridging] the Gap’ sessions concerning their deliberations, impressions, emotional feelings, or the mental processes used to resolve an issue before them.”
A. The plain meaning of M.R.E. 606(b)
The task of determining the meaning of M.R.E. 606(b) and to whom it should apply begins with a reading of the plain language of the rule.
Moreover, M.R.E. 605 explicitly addresses the competency of a military judge as a witness. Similar to subsection (a) of M.R.E. 606, M.R.E. 605(a) states that a military judge may not testify as a witness at a court-martial over which he is presiding. But M.R.E. 605 does not include a subsection (b) that mirrors the language in M.R.E. 606(b), which protects members’ deliberations. “Given the absence of such a provision, it can be inferred that the drafters of said rule understood that there were certain extraordinary situations in which a judge may be called upon to explain his verdict or rulings in a subsequent proceeding.”
B. An analysis of the precedent applying M.R.E. 606(b)
In deciding that M.R.E. 606(b) does not apply to protect the voluntary disclosure of the military judge in this case, we are faced with precedent from this Court that is inconsistent with our holding.
In asserting that the appellant was attempting to “accomplish the precise inquiry into the trial judge’s mind which is prohibited by Mil. R. Evid. 606,”
The Fifth Circuit based its holding on two cases. One was the Supreme Court’s 1904 decision in Fayerweather v. Ritch,
[T]he testimony of the trial judge, given six years after the case had been disposed of, in respect to matters he considered and passed upon, was obviously incompetent. True, the reasoning of the court for the rule [prohibiting testimony by jurors] is not wholly applicable, for as the case was tried before a single judge there were not two or more minds coming by different processes to the same result. Nevertheless no testimony should be received except of open and tangible facts — matters which are susceptible of evidence of both sides. A judgment is a solemn record. Parties have a right to rely upon it. It*22 should not lightly be disturbed, and ought never to be overthrown or limited by the oral testimony of a judge or juror of what he had in mind at the time of the decision.39
In Fayerweather, the judge was being asked to provide testimony about his thought process years after the trial. But in the present case, the military judge volunteered his explicit statement that he based his sentence in part on collateral consequences immediately following the trial. Therefore, this is not a situation where Appellant is trying to “disturb” his trial’s outcome or have it “overthrown or limited” by asking the military judge to disclose his thoughts when he determined Appellant’s sentence that would otherwise never have been disclosed.
The other case that the Fifth Circuit cited to support its holding in Washington is United States v. Crouch.
Fayerweather and Crouch are the same two cases that the Eleventh Circuit cited in Proffitt.
Significantly, the Supreme Court has not explicitly held that Fed.R.Evid. 606(b)
First, the Fifth Circuit stated that the testimony of the trial judge “poses special
The first and fourth reasons are clearly inapplicable to the military judge’s disclosure in this case. The first reason does not apply because the military judge explicitly stated his thought process in the “Bridging the Gap” session immediately after trial; this is not a case where the judge is being asked years afterwards to recall his thought processes. The fourth policy reason is inapplicable because the military justice system is one system, rendering the friction between the federal and state systems irrelevant.
The second and third factors — which we will label the “finality” factors — arguably support the conclusion that a judge’s mental processes should be protected. But the situation in this case, where the military judge voluntarily disclosed immediately after trial that he considered collateral information in determining Appellant’s sentence, is completely different from an appellant’s request years after a trial to explore the deliberative process of the judge.
In conclusion, the plain meaning of M.R.E. 606 limits its application to court members. When read in conjunction with M.R.E. 605, it becomes even more apparent that military judges are excluded from its scope. Moreover, to read the case law as protecting all statements made by a military judge — such as the one made here — would not only further misconstrue the precedent relied upon in our decisions in Rice and Gonzalez, but would also thwart the well-settled rules against considering collateral information in assessing an accused’s sentence. Therefore, we hold that the military judge erred in considering the Army’s policy of “good-time” credit when assessing Appellant’s sentence. Furthermore, we hold that the Army Court of Criminal Appeals erred in relying on M.R.E. 606(b) to protect the statements voluntarily disclosed by the military judge. To the extent that our decisions in Rice and Gonzalez conflict with this decision, they are overruled.
When the military judge’s statements are considered, it is apparent that he lengthened Appellant’s sentence by ten days for an improper reason. This error establishes prejudice under Article 59(a), UCMJ, 10 U.S.C. § 859(a).
DECISION
Accordingly, we affirm that portion of the lower court’s decision affirming the findings. We set aside the portion of the lower court’s decision affirming the sentence and remand the case to the Army Court of Criminal Appeals. That court shall perform a new Article 66(c), UCMJ, sentence appropriateness review in light of Appellant’s improper confinement for ten days and determine an appropriate remedy.
. "Bridging the Gap” sessions, common in Army practice, are post-trial meetings intended to be used as professional and skill development for trial and defense counsel. See United States v. Copening, 34 M.J. 28, 29 n. * (C.M.A.1992).
. Therefore, we granted review of the following issue:
Whether the military judge erred in considering the collateral administrative effect of the Army Regional Correctional Facilities’ policy of granting a service member five days of confinement credit per month for sentences which include less than twelve months of confinement in adjudging Appellant’s sentence.
60 M.J. 122 (C.A.A.F.2004) (order granting review).
. United States v. McNutt, 59 M.J. 629 (A.Ct. Crim.App.2003).
. Accordingly, we also granted review of this issue:
Whether the Army Court of Criminal Appeals erred in holding that there was no evidence of extraneous prejudicial information improperly brought to the attention of the sentencing authority and no basis for impeaching Appellant’s sentence under Mil. R. Evid. 606(b).
60 M.J. 122 (C.A.A.F.2004)(order granting review).
. 10 U.S.C. §§ 885, 886 (2002).
. See R.C.M. 1105, 1107 (convening authority must consider clemency matters submitted by accused before taking final action on sentence).
. The military judge’s statements made during the "Bridging the Gap" session were first asserted by Appellant in his clemency submission to the convening authority. Appellate Government counsel did not deny that the statements were made when the case was before the Army Court of Criminal Appeals, a fact specifically noted by that court. See McNutt, 59 M.J. at 631. And now before our Court, the unrebutted statements continue to be unchallenged by appellate Government counsel.
. 34 M.J. 926 (A.F.C.M.R.1992).
. M.R.E. 606(b) prohibits a court member from testifying as to any matter or statement made during deliberations or to the effect of anything upon the member's mind, emotions, or mental processes in deciding the findings or sentence, with three exceptions. "[A] member may testify on the question whether extraneous prejudicial information was improperly brought to the attention of the members ..., whether any outside influence was improperly brought to bear upon any member, or whether there was unlawful command influence."
. McNutt, 59 M.J. at 632.
. Id.
. Id. at 633.
. United. States v. Griffin, 25 M.J. 423, 424 (C.M.A. 1988) (quoting United States v. Quesinberry, 12 C.M.A. 609, 612, 31 C.M.R. 195, 198 (1962)).
. Id. (stating that the impact of a punitive discharge on retirement benefits is a collateral consequence that should not influence the members' decision on the accused’s sentence). See also United States v. Mamaluy, 10 C.M.A. 102, 106, 27 C.M.R. 176, 180 (1959) (stating that the sentences in other cases cannot be given to court-martial members for comparative purposes).
. Quesinberry, 12 C.M.A. at 612, 31 C.M.R. at 198 (holding that members should not be informed of the specific consequences of a bad-conduct discharge).
. Id.
. United States v. Duncan, 53 M.J. 494, 499 (C.A.A.F.2000).
. See, e.g., United States v. Boyd, 55 M.J. 217, 221 (C.A.A.F.2001) (stating that military judges should "instruct on the impact of a punitive discharge on retirement benefits, if there is an evidentiary predicate for the instruction and a party requests it.... They may deny a request for such an instruction only in cases where there is no evidentiary predicate for it or the possibility of retirement is so remote as to make it irrelevant to determining an appropriate sentence.”). Additionally, instructions are routinely given on the other consequences of a punitive discharge. See, e.g., United States v. Rasnick, 58 M.J. 9, 10 (C.A.A.F.2003) (affirming the military judge’s refusal to instruct the members that a punitive discharge was an “ineradicable stigma,” where he "adequately advised the members that a punitive discharge was a severe punishment, that it would entail specified adverse consequences, and that it would affect Appellant's future with regard to his legal rights, economic opportunities, and social acceptability” (internal quotations omitted)).
. Duncan, 53 M.J. at 499 (internal quotations and citation omitted).
. Id. at 500 (citing United States v. Greaves, 46 M.J. 133, 139 (C.A.A.F.1997)).
. Id.
. See United States v. Howell, 16 M.J. 1003 (A.C.M.R.1983) (Naughton, J., concurring) (finding it improper for the trial counsel to argue that the appellant would not serve the full confine
. Mamaluy, 10 C.M.A. at 107, 27 C.M.R. at 181.
. McNutt, 59 M.J. at 633.
. 42 M.J. 244, 250-51 (C.A.A.F.1995)(holding that members’ statements made during deliberations about the possibility that the accused might be paroled did not fall into one of the exceptions to the M.R.E. 606(b) prohibition and thus, they were not competent to impeach the accused’s sentence).
. Our holding in this case in no way implies that the mental deliberations of military judges are not protected or that the decision-making processes of military judges are more open to scrutiny than the decision-making processes of members. We hold only that M.R.E. 606(b) is not the vehicle to protect those mental processes of military judges.
. See United States v. Ron Pair Enter., 489 U.S. 235, 241, 109 S.Ct. 1026, 103 L.Ed.2d 290 (1989) ("The task of resolving the dispute over the meaning of [a statute] begins where all such inquiries must begin: with the language of the statute itself.... [I]t is also where the inquiry should end, for where ... the statute's language is plain, 'the sole function of the courts is to enforce it according to its terms.' ” (citations omitted)).
. See Straight, 42 M.J. at 250-51.
. Lamie v. United States Trustee, 540 U.S. 526, 534, 124 S.Ct. 1023, 157 L.Ed.2d 1024 (2004) (quoting Hartford Underwriters Ins. Co. v. Union Planters Bank, N.A., 530 U.S. 1, 6, 120 S.Ct. 1942, 147 L.Ed.2d 1 (2000)). Principles of statutory construction are used in construing the Manual for Courts-Martial, United States. United States v. Lucas, 1 C.M.A. 19, 22, 1 C.M.R. 19, 22 (1951).
. Stewart v. Southeast Foods, Inc., 688 So.2d 733, 735-36 (Miss.1996) (holding that a reading of Miss. R. Evid. 606(b), which is substantially similar to Fed.R.Evid. 606(b), indicates that the rule applies to jurors only and that Miss. R. Evid. 605 applies to judges).
. Id. at 735.
. See United States v. Rice, 25 M.J. 35, 37-38 (C.M.A.1987) (holding that the military judge did not impermissibly rely on extraneous prejudicial information in sentencing the accused to life imprisonment); United States v. Gonzalez, 42 M.J. 373, 374-75 (C.A.A.F.1995) (per curiam) (following Rice to conclude that the military judge’s statement concerning his deliberative processes at the accused’s original sentencing could not be considered during a post-trial inquiry into the basis for the sentence he imposed).
. Rice, 25 M.J. at 38.
. 693 F.2d 1243, 1263 (5th Cir.1982) (en banc), rev’d on other grounds, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984).
. 685 F.2d 1227, 1255 (11th Cir.1982).
. 693 F.2d 1243.
. Id. at 1263.
. 195 U.S. 276, 25 S.Ct. 58, 49 L.Ed. 193 (1904).
. Id. at 306-07, 25 S.Ct. 58 (emphasis added).
. Id.
. 566 F.2d 1311 (5th Cir. 1978).
. Id. at 1316.
. 313 U.S. 409, 422, 61 S.Ct. 999, 85 L.Ed. 1429 (1941).
. 685 F.2d at 1255.
. Id.
. Id.
. Fed.R.Evid. 606(b) is virtually identical to M.R.E. 606(b), except that it does not include the exception for "unlawful command influence" that is included in M.R.E. 606(b).
. 693 F.2d at 1263.
. Id. Some of these policy reasons were addressed by the Air Force Court of Military Review in United States v. Rice, 20 M.J. 764, 768 (A.F.C.M.R.1985), aff'd, 25 M.J. 35, 37-38 (1987), when it held that M.R.E. 606(b) applies to military judges.
. Washington, 693 F.2d at 1263.
. Id.
. Id. (internal quotations and citations omitted).
. Id.
. See Fayerweather, 195 U.S. at 306-07, 25 S.Ct. 58. See also Morrison v. Kimmelman, 650 F.Supp. 801, 805-07 (D.N.J.1986) (holding that, on remand, the State could not elicit evidence from the trial judge, sitting as trier of fact, concerning how he weighed the evidence and whether, absent a specific type of evidence, he would have convicted the petitioner).
. See United States v. Lentz, 54 M.J. 818, 820 (N.M.Ct.Crim.App.2001).
. 10 U.S.C. § 850(a)(2000).