United States v. Claxton

Procedural entryThis page is a short order in United States v. Claxton. Read the opinion of the Court — 76 M.J. 356
Court of Appeals for the Armed Forces·Decided July 6, 2017·No. 17-0148/AF·Published

Opinion

This opinion is subject to revision before publication

UNITED STATES COURT OF APPEALS FOR THE ARMED FORCES

UNITED STATES

Appellee

v.

Stephan H. CLAXTON, Cadet United States Air Force, Appellant No. 17-0148

Crim. App. No. 38188 (rem)

Argued May 9, 2017—Decided July 6, 2017 Military Judges: J. Wesley Moore (trial) and Natalie D. Richardson (DuBay hearing)

For Appellant: Major Jarett Merk (argued); Colonel Jeffrey G. Palomino. For Appellee: Major Mary Ellen Payne (argued); Colonel Katherine E. Oler (on brief); Gerald R. Bruce, Esq. Judge STUCKY delivered the opinion of the Court, in which Judges RYAN, OHLSON, and SPARKS, joined. Chief Judge ERDMANN filed a separate dissenting opinion.

Judge STUCKY delivered the opinion of the Court.

We granted review to determine whether the Government ’s failure to disclose to the defense that a Government witness was an informant, in violation of Brady v. Maryland , 373 U.S. 83 (1963), was harmless beyond a reasonable doubt. 1 We hold that it was and therefore affirm the judgment of the United States Air Force Court of Criminal Appeals (CCA).

I. Background

On March 16, 2012, Appellant, a cadet attending the United States Air Force Academy (USAFA), was charged

1 We originally granted review of an additional issue concerning whether Appellant’s conviction must be set aside in light of our decision in United States v. Hills, 75 M.J. 350 (C.A.A.F. 2016). The order granting review of that issue was vacated on March 20, 2017.

Opinion of the Court

with sexual offenses against two women: one incident was in March and the other in November 2011. At Appellant’s trial, Cadet Eric Thomas testified for the prosecution as to both incidents.

Cadet Thomas entered the USAFA in August 2009. Within the year, he was placed on academic probation, where he remained until his disenrollment. Although Cadet Thomas evidently had contact with agents of the Air Force Office of Special Investigations (AFOSI) as early as 2010, he became a registered confidential informant (CI) by December 2011 and remained so until after trial.

Before trial, Appellant’s defense counsel submitted a discovery request to the prosecution, dated February 3, 2012, demanding “[t]he names, addresses and phone numbers of all confidential witnesses, including, but not limited to, undercover AFOSI’s or Security Forces’ informants and/or agents.” The prosecution responded, alleging, “Nothing known at this time. Will be provided if/when available.”

A general court-martial composed of officers convicted Appellant, contrary to his pleas, of attempted abusive sexual contact and assault of a female cadet (MI), wrongful sexual contact with a former cadet (SW), and assaulting two male cadets. 2 Articles 80, 120, 128, Uniform Code of Military Justice (UCMJ), 10 U.S.C. §§ 880, 920, 928 (2012). In June 2012, the court sentenced Appellant to a dismissal, confinement for six months, and forfeiture of all pay and allowances. The convening authority approved the adjudged sentence.

On December 1, 2013, the Colorado Springs Gazette published an article in which then-former Cadet Thomas identified himself as having been a CI for the AFOSI. Sixteen days later, the CCA affirmed the approved findings and sentence. United States v. Claxton, No. ACM 38188, 2013 CCA LEXIS 1045, at *14, 2013 WL 6913102, at *4 (A.F. Ct. Crim. App. Dec. 17, 2013) (unpublished).

On February 14, 2014, based on what he termed “newly discovered evidence” that Cadet Thomas was a CI, Appellant petitioned the Judge Advocate General of the Air Force

2 Appellant was acquitted of wrongful sexual contact with KA.

Opinion of the Court

(JAG) for a new trial under Article 73, UCMJ, 10 U.S.C. § 873 (2012). According to Appellant’s trial defense counsel, they were never notified that Cadet Thomas was a CI.

Appellant filed a petition for review at this Court on February 18, 2014. On March 5, 2014, Appellant asked the JAG, in accord with Article 73, UCMJ, 3 to forward his request for new trial to this Court. Noting that Appellant’s request for a new trial was filed with the JAG before he filed his petition for review at this Court, government appellate counsel opposed the JAG’s referring the petition for new trial to this Court, asserting that the case was not pending before us at the time of filing. Appellate government counsel failed to advise the JAG that, because Appellant’s time for filing an appeal at this Court had not expired, the case was still pending before the CCA, and should be referred there. United States v. Owen, 6 C.M.A. 466, 470, 20 C.M.R. 182, 186 (1955). The JAG denied the petition on May 21, 2014, determining “that the proposed evidence does not constitute newly discovered evidence justifying a new trial.” 4 On September 15, 2014, this Court granted review of the Brady issue, set aside the decision of the CCA, and returned the case to the JAG for remand to an appropriate convening authority to order a hearing pursuant to United States v. DuBay, 17 C.M.A. 147, 37 C.M.R. 411 (1967). United States v. Claxton, 73 M.J. 478 (C.A.A.F. 2014) (summary disposition ). On March 17, 2015, after the DuBay hearing was completed , but before the DuBay judge issued her findings, appellate government counsel notified her and the defense that another witness also “was likely a confidential informant.”

The DuBay judge found that the Commandant of Cadets 5 and other senior USAFA leaders, including the staff judge

3 Article 73, UCMJ, provides: “[i]f the accused’s case is pending before a Court of Criminal Appeals or before the Court of Appeals for the Armed Forces, the Judge Advocate General shall refer the petition to the appropriate court for action.”

4 As both the JAG and his deputy had retired, and no replacements had yet been appointed, the petition was denied by Major General Robert G. Kenny, USAFR, “Performing the Duties of The Judge Advocate General.”

5 General Richard Clark.

Opinion of the Court

advocate 6 and the chief of justice, 7 knew that Cadet Thomas was a CI for the AFOSI. Furthermore, “an AFOSI agent told former Cadet Thomas not to reveal this status during his pretrial interviews with trial defense counsel.” United States v. Claxton, No. ACM 38188 (rem), 2016 CCA LEXIS 649, at *9, 2016 WL 6575036, at *3 (A.F. Ct. Crim. App. Oct. 31, 2016) (unpublished). The DuBay judge also found no evidence Appellant ever asked the prosecution to disclose whether any witnesses were confidential informants. This finding was clearly erroneous. Apparently she was not familiar with the previous filings supplementing the record at this Court, which had included the pretrial defense discovery request. 8 The DuBay judge noted that the prosecution had given the defense evidence that could be used to impeach Cadet Thomas: a copy of his cadet personnel records, which included the fact that he was on conduct probation; and his squadron commander’s recommendation that he be disenrolled. 9 While the DuBay judge never resolved whether the prosecution violated the disclosure obligations of Brady, she ruled that the failure to provide the material to the defense was harmless beyond a reasonable doubt. She acknowledged in her findings that the Government had notified her that another witness at Appellant’s trial was an AFOSI CI, but as the convening authority had not expanded the scope of the hearing, concluded she could neither review nor consider it.

The CCA concluded that the prosecution violated Brady as “the CI information was potentially fertile grounds for

6 Colonel Paul M. Barzler. 7 Captain Nicklaus Reed. 8 It appears that the DuBay judge was only provided a PDF of the trial transcript, not the entire record, and she was never provided a copy of the defense discovery request. Nevertheless, Appellant ’s civilian attorney made clear in his opening statement during the DuBay hearing that the defense discovery request had specifically demanded disclosure of the identity of any witness who was a confidential informant.

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