United States v. Baas

Court of Appeals for the Armed Forces·Decided May 29, 2020·No. 19-0377/MC·Published

Opinion

This opinion is subject to revision before publication

UNITED STATES COURT OF APPEALS FOR THE ARMED FORCES _______________

UNITED STATES Appellee v. Nicholas S. BAAS, Corporal United States Marine Corps, Appellant No. 19-0377 Crim. App. No. 201700318 Argued March 17, 2020—Decided May 29, 2020 Military Judges: Forrest W. Hoover and Peter S. Rubin For Appellant: Lieutenant Daniel E. Rosinski, JAGC, USN (argued). For Appellee: Lieutenant Joshua C. Fiveson, JAGC, USN (argued); Lieutenant Colonel Nicholas L. Gannon, USMC, Lieutenant Commander Timothy C. Ceder, JAGC, USN, and Brian K. Keller, Esq. (on brief); Colonel Mark K. Jamison, USMC. Judge RYAN delivered the opinion of the Court, in which Chief Judge STUCKY and Judges OHLSON, SPARKS, and MAGGS (except as to Part II.B), joined. Judge MAGGS filed a separate opinion, concurring in part and concurring in the judgment. _______________

Judge RYAN delivered the opinion of the Court. A general court-martial convicted Appellant, contrary to his pleas, of two specifications of conspiracy,1 one specifica- tion of false official statement, two specifications of raping a child, two specifications of producing child pornography with intent to distribute, and two specifications of distribution of child pornography in violation of Articles 81, 107, 120b, and 134, Uniform Code of Military Justice (UCMJ), 10 U.S.C. §§ 881, 907, 920b, 934 (2012). In accordance with his pleas, he

1 Following findings, the military judge consolidated the two conspiracy specifications into one. United States v. Baas, No. NMCCA 201700318, 2019 CCA LEXIS 173, at *1 n.1, 2019 WL 1601912, at *1 n.1 (N-M. Ct. Crim. App. Apr. 15, 2019) (un- published). United States v. Baas, No. 19-0377/MC Opinion of the Court

was acquitted of one specification of raping a child, one spec- ification of producing child pornography, and one specifica- tion of distributing child pornography. Appellant was sen- tenced to forfeiture of all pay and allowances, reduction to grade E-1, confinement for fifteen years, and a dishonorable discharge. The convening authority approved the sentence as adjudged and the United States Navy-Marine Corps Court of Criminal Appeals (NMCCA) affirmed the findings and sen- tence. Baas, 2019 CCA LEXIS 173, at *55, 2019 WL 1601912, at *19. We granted review of two issues: I. Did admission of an allegedly positive Diatherix Laboratories test for gonorrhea, without testimony at trial of any witness from Diatherix,2 violate the Sixth Amendment Confrontation Clause? II. Did the lower court abuse its discretion in admit- ting an alleged positive Diatherix test result for gon- orrhea in a child’s rectal swab—where Diatherix failed to follow its own procedures and the result was of near zero probative value? The first question we answer in the negative. As to the second question, even assuming error, we find no prejudice. We therefore affirm the lower court. I. Background The charges arose out of Appellant’s abuse of his son, GB. In June 2016, Appellant’s girlfriend, KM, searched through his cellphone for evidence of infidelity and discovered mes- sages in the Skype application between him and “Hailey Burtnett”3 from August 2015 to June 2016. In these mes- sages—exchanged simultaneously but with a one-way video

2 Although the executive vice president of Diatherix was a wit- ness at an Article 39(a), UCMJ, 10 U.S.C. § 839(a) (2012), session, neither he nor any Diatherix employee who administered the test at issue testified at trial. 3 Hailey Burtnett was never located or identified. While Appel- lant claimed to have known her from his high school in Alabama, he never saw her since the Skype feed was one-way, and law en- forcement was unable to find any record of such a person at the school or in that town. “Hailey’s” internet protocol (IP) address did not originate from Florida—where she told Appellant she lived—

2 United States v. Baas, No. 19-0377/MC Opinion of the Court

in which Hailey could view Appellant though he could not view her—Hailey directed Appellant to perform sexual acts on his infant son. The messages indicated that Appellant com- plied. KM gave Appellant’s phone to his chain of command, who then alerted the Naval Criminal Investigative Service (NCIS). NCIS apprehended and interrogated Appellant. Dur- ing his NCIS interview, Appellant admitted performing the acts Hailey directed him to do but insisted that the object of those acts was a green teddy bear belonging to his son, and not GB himself. When the NCIS agents expressed disbelief at this defense given the obscene specifics and the inability to commit the acts described with a teddy bear, Appellant ex- plained that all the graphic descriptions and directions were the stuff of imagination. Then, attempting to demonstrate his innocence, Appellant admitted that he had chlamydia and gonorrhea, and insisted that should NCIS test GB for the in- fections, the tests would come back negative. The day after Appellant’s NCIS interview, GB’s mother, who had separated from Appellant in 2015, took the child to Coastal Children’s Clinic for an appointment with Dr. Lisa Kafer, who performed a physical examination on GB. Finding no visible signs of abuse, Dr. Kafer obtained a rectal swab of GB and ordered a test from Diatherix—a diagnostic service— to check for chlamydia and gonorrhea. Diatherix ran a nucleic acid amplification test (NAAT), which came back positive for gonorrhea. Dr. Kafer then referred GB to another medical center for a confirmatory culture test and treatment. That fa- cility ran the wrong test, contaminated the sample by refrig- erating it, and treated GB with an antibiotic, which foreclosed the possibility of further confirmatory testing. Before trial, defense counsel moved to exclude the Dia- therix test result under both the Confrontation Clause and Daubert v. Merrell Dow Pharms., Inc., 509 U.S. 579 (1993). The military judge admitted the test result, finding no Con-

but resolved back to Spain, France, Iceland, and Germany. Though we do not know who Appellant skyped with, or if it was even a woman, for purposes of the opinion we will use the name and sex of the person Appellant believed he was communicating with.

3 United States v. Baas, No. 19-0377/MC Opinion of the Court

frontation Clause violation because the result was not testi- monial: It was “not made with an eye toward litigation” but was part of GB’s medical treatment. As to the Daubert challenge, both parties submitted volu- minous documentary evidence, and the military judge heard expert testimony from each party in a lengthy Article 39(a), UCMJ, hearing. The defense called Dr. Hammerschlag, a pe- diatrician and certified expert in the field of sexually trans- mitted infection (STI) diagnostics, who testified that the par- ticular NAAT Diatherix used had not been reviewed by the Food and Drug Administration (FDA), and the Centers for Disease Control and Prevention (CDC) does not recommend the use of NAATs generally on prepubescent boys because the low prevalence of gonorrhea in that population creates a high probability of false positives. This probability, the expert claimed, made it unlikely that GB’s test result was a true pos- itive. The Government proffered two experts: Drs. Stalons and Hobbs. Dr. Stalons, Diatherix’s executive vice president and clinical director, explained the company is accredited by the American College of Pathologists (CAP) and certified for test- ing bacteria like gonorrhea. He added that portions of the NAAT Diatherix uses are proprietary, which meant that the test had not been reviewed by the FDA.

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