United States v. Davis

52 M.J. 201, 1999 CAAF LEXIS 1274
Court of Appeals for the Armed Forces·Decided September 30, 1999·No. 98-0497/NA·Published·Cited by 11 cases

Opinions

Chief Judge COX

delivered the opinion of • the Court.

Appellant, a Navy Lieutenant Commander with over 15 years of service at the time of trial,1 was convicted at a general court-martial of raping a child; rape (after the child reached age 16); forcible sodomy (2 specifications); taking indecent liberties on a child (2 specifications); and committing indecent acts (2 specifications), all committed against his adopted daughter. He was sentenced by members to confinement for life and partial forfeitures. The convening authority approved the sentence, but suspended the forfeitures. On December 30, 1997, the Court of Criminal Appeals affirmed the findings and sentence. 47 MJ 707.

We agreed to consider two issues:

I

WHETHER THE MILITARY JUDGE ERRED BY INSTRUCTING THE MEMBERS, OVER APPELLANT’S OBJECTION, THAT THEY SHOULD EVALUATE THE DEGREE OF FORCE, THREAT OR INTIMIDATION NECESSARY FOR FINDINGS OF GUILT OF RAPE OR FORCIBLE SODOMY DURING THE CHARGED PERIODS OF TIME IN LIGHT OF THE VICTIM’S “TENDER YEARS.”

II

WHETHER APPELLANT WAS DENIED HIS SIXTH AMENDMENT RIGHT TO THE EFFECTIVE ASSISTANCE OF COUNSEL DURING SENTENCING.

FACTS

The victim in this case was appellant’s stepdaughter, J.D. The charges arose following appellant’s arrest at a time J.D. had already left home to attend college. Appellant tried to visit J.D. at her university. She did not want to see him and called the university security police. The police responded, and after finding a loaded weapon in appellant’s vehicle, arrested him. They also found a number of nude Polaroid photographs of his daughter, some of which captured appellant engaging in various sexual acts with her. These photographs were the basis for the charges of committing indecent acts, and taking indecent liberties with a minor, offenses to which appellant pleaded guilty.

Issue I

Appellant asserts that the confusing nature of the degree-of-force instructions with respect to the offenses of rape and forcible sodomy permitted the members to dispense with finding acthal force. Such an instruction, combined with the “tender years” instruction, is, according to appellant, wholly unjustified based on the evidence in this ease. Appellant’s victim, his adopted daughter, was not of tender years, underdeveloped, or unintelligent; and appellant argues that the victim’s testimony is of violence and threat rather than parental discipline or au[203]*203thority. Appellant concludes that this error cannot be found harmless.

At trial, appellant moved that any reference to the victim’s “tender years, mental capacity, knowledge, or mental development” be removed from the proposed findings instructions. Nonetheless, the military judge denied the motion, concluding that the proposed instruction “for both the rape offenses and the sodomy offenses — the forcible sodomy offenses does properly include the paragraphs that the defense has pointed out, to provide a full framework to the factfinders in this case, ... based upon the evidence that has been presented to this court.” The judge gave the instructions as he had initially proposed them in Appellate Exhibit LVII. The text of the challenged instructions, as given to the members, is set forth in the opinion of the Court of Criminal Appeals. See 47 MJ at 710.

The victim in this case testified to a period of sexual abuse which began when she was approximately 9 years old. While this “uncharged misconduct” of sexual abuse occurred prior to the time encompassed by the charges before the court-martial, it was offered for a limited purpose to show appellant’s “plan, design, or scheme.” Further, it put the victim's testimony into context that she “felt cornered, ... trapped, [and] had to do what [appellant] said.” With the evidence in this posture, it cannot be said that the military judge erred in rendering constructive foree/parental control and tender-years instructions as they related to the force elements of both rape and forcible sodomy.

We have also reviewed the content of the instructions rendered. Constructive force, acceding to parental will, and tender years were presented as alternatives to actual force, not as an invitation to dispense with the necessity of finding the force element of both rape and forcible sodomy. Thus, we agree with this conclusion of the Court of Criminal Appeals:

Significantly, the military judge’s instructions did not mandate a finding of parental compulsion, but merely permitted the members to understand the implications of such conduct, were they to find it occurred, on the elements of force and consent. See United States v. Palmer, 33 MJ 7, 9 (CMA 1991). We find no error in the military judge’s instructions.

47 MJ at 711.

Issue II

Appellant alleges his counsel were ineffective with respect to certain advice given in conjunction with sentencing. At the time of trial, appellant had been “passed over twice” for promotion and would have otherwise been eligible to apply for retirement as of December 1,1994.

The lower court was presented with two conflicting affidavits concerning the effectiveness of counsel’s advice to appellant during sentencing. According to appellant, his counsel told him that if the members did not adjudge a dismissal, he would be allowed to retire. “I was informed by LCDR [T] that I would be allowed to retire if the members did not dismiss me. I had no idea that there was even a possibility that I might not be allowed to retire.” Appellant’s affidavit at 2. Accordingly, in his unsworn statement presented during the sentencing phase of the court-martial, appellant asked the court members not to sentence him to dismissal, so that he could retire and, therefore, be able to support his family. In exchange, he asked the members to sentence him to a more lengthy period of confinement than they otherwise would have. The members apparently complied with the request. However, according to the Government, “appellant was subsequently administratively processed at a Board of Inquiry, received an other than honorable discharge, and was denied any retirement benefits.” Answer to Final Brief at 14.

By contrast, defense counsel asserted, through their joint affidavit, that they had advised appellant that “a verdict in his ease which did not include a dismissal would not ensure his retirement, but instead would be only the first step in attempting to salvage his family’s future.” Affidavit of defense counsel at 2.

[204]*204In United States v. Ginn, 47 MJ 236 (1997), this Court required the Courts of Criminal Appeals to order a factfinding hearing when faced with conflicting affidavits. However, “if the [appellant’s] affidavit is factually adequate on its face but the appellate filings and the record as a whole ‘compellingly demonstrate’ the improbability of those facts, the Court may discount those factual assertions and decide the legal issue.” Id. at 248.

The standard of review of a claim of ineffective assistance of counsel is that set out by the Supreme Court in Strickland v. Washington, 466 U.S. 668, 687, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984).. United States v. Scott, 24 MJ 186 (CMA 1987); see also United States v. Ingham, 42 MJ 218 (1995); United States v. McCastle, 40 MJ 763 (AFCMR 1994), affd, 43 MJ 438 (1996).

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United States v. Davis, 52 M.J. 201, 1999 CAAF LEXIS 1274 (Ark. 1999).

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