United States v. Davis

46 M.J. 551, 1997 CCA LEXIS 88, 1997 WL 139380
Navy-Marine Corps Court of Criminal Appeals·Decided February 21, 1997·No. NMCM 96 00319·Published·Cited by 3 cases

Opinions

OLIVER, Judge:

This case involves an issue of first impression concerning how far an accused and a convening authority can go in fashioning a pretrial agreement. The question is whether, in exchange for a sentence limitation in a pretrial agreement, an accused can plead not guilty, enter into a confessional stipulation, and waive his right to present evidence on the merits. We hold that, although unusual, this procedure is not inconsistent with due process under the facts of this ease.

A military judge, sitting as a general court-martial, convicted the appellant, contrary to his pleas, of two periods of unauthorized absence, wrongfully possessing drug paraphernalia, wrongfully using marijuana and cocaine, and making and uttering checks without sufficient funds, in violation of Articles 86, 92, 112a, and 123, Uniform Code of Military Justice, 10 U.S.C. §§ 886, 892, 912a, and 923 (1994)[hereinafter UCMJ]. The military judge sentenced the appellant to confinement for 1 year, total forfeitures, reduction to paygrade E-l, and a bad-conduct discharge. The pretrial agreement had no effect on the sentence and the convening authority approved the sentence as adjudged. In his single assignment of error1 the appellant now contends that the provision of his pretrial agreement, which barred him from calling witnesses or presenting other evidence on the merits violates “the right to due process” provision of Rule for Courts-Martial 705(c)(1)(B), Manual for Courts-Martial, United States (1995 ed.) [hereinafter R.C.M.]. We disagree.

Pretrial agreements have long been an important part of much of contemporary criminal litigation. They are intended to prevent informal “understandings” and protect the rights of the accused and the interests of the Government. See Santobello v. New York, 404 U.S. 257, 261, 92 S.Ct. 495, 498, 30 L.Ed.2d 427 (1971). Military jurisprudence concerning pretrial agreements has evolved over the years. In United States v. Cummings, 17 C.M.A. 376, 38 C.M.R. 174, 1968 WL 5361 (1968), the Court of Military Appeals held that the inclusion of a provision in a pretrial agreement that waived the “accused’s right to contest the issues of speedy trial and due process are contrary to public policy and void.” Id. 38 C.M.R. at 177. The court stated that “such a waiver has no place in any pretrial agreement.” Id. The court then emphasized:

[Pjretrial agreements are properly limited to the exchange of a plea of guilty for approval of a stated maximum sentence. Attempting to make them into contractual type documents which forbid the trial of collateral issues and eliminate matters which can and should be considered below, as well as on appeal, substitutes the agreement for the trial and, indeed, renders the latter an empty ritual.

Id. at 178. See United States v. Allen, 8 C.M.A. 504, 507, 25 C.M.R. 8, 11, 1957 WL 4636 (1957)(“[The pretrial] agreement cannot transform the trial into an empty ritual.”). In United States v. Schmeltz, 1 M.J. 8, 11 (C.M.A.1975), the Court of Military Appeals noted that in several cases they had stated that “pretrial agreements should concern themselves only with bargaining on the charges and the sentence.” Finally, in United States v. Mills, 12 M.J. 1, 4 (C.M.A.1981), the court refused to “approve an agreement between an accused and the convening authority which would tend to inhibit the exercise of appellate rights.”

In later years the courts have provided the litigants with much wider latitude to negotiate agreements. In United States v. Schaf-fer, 12 M.J. 425, 427 (C.M.A.1982), the court observed that, “despite our pronouncements, increasingly sophisticated plea bargains have [553]*553been devised.”2 In United States v. Gibson, 29 M.J. 379 (C.M.A.1990), the court held that the provision of a pretrial agreement by which the accused agreed to waive evidentia-ry objections to pretrial statements made by his children did not violate public policy or render the resulting verdict fundamentally unfair. Id. at 382. See United States v. McKenzie, 39 M.J. 946, 949 (N.M.C.M.R. 1994) (holding that a provision requiring the accused to waive any objection to introduction of certain evidence did not violate public policy). And finally, in United States v. Gan-semer, 38 M.J. 340 (C.M.A.1993), the issue was whether a provision to waive an administrative discharge board is a proper condition of a pretrial agreement. Finding that the accused had fi’eely entered into the agreement and that there was no evidence of overreaching by the Government, the court held that the accused’s waiver of his right to administrative discharge proceedings was valid. Id. at 342. However, the courts have not provided litigants with a carte blanche to negotiate whatever they choose. The courts will not tolerate prosecutorial overreaching or agreements which are substantially unfair. See, e.g., Spriggs v. United States, 40 M.J. 158,163 (C.M.A.1994).

The appellate courts have also reviewed whether a court can properly consider a stipulation of fact which admits all or many of the elements of the offense of which the accused is charged. In the leading ease, United States v. Bertelson, 3 M.J. 314 (C.M.A.1977), the court “reject[ed] the contention that such a confessional stipulation cannot be admitted under any circumstances.” Id. at 315 (footnote omitted). The court observed that “a military judge ... may admit a stipulation which amounts practically to a confession provided that the accused has first knowingly, intelligently and voluntarily consented to its admission ... [and the military judge has also ascertained] from the accused on the record that a factual basis exists for the stipulation.” Id. at 315, 317 (citations omitted). In United States v. Sweet, 42 M.J. 183, 185-86 (1995), the Court of Appeals for the Armed Forces affirmed the decision of this court that a confessional stipulation, voluntarily submitted and admitted by the accused as true, could be used to replace much of the detailed factual review during the Care /R.C.M. 910 inquiry. See United States v. Care, 18 C.M.A. 535, 541, 40 C.M.R. 247, 253, 1969 WL 6059 (1969), and R.C.M. 910, which require the military judge to explain to the accused every element of the offense charged and to elicit facts which support the pleas.

In codifying this developing case law, R.C.M. 705 provides procedural guidance concerning pretrial agreements. R.C.M. 705(b) specifically provides that the accused’s consideration for entering into a pretrial agreement may include a promise to plead guilty “or to enter a confessional stipulation to one or more charges and specifica-tions____”

R.C.M.

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United States v. Davis, 46 M.J. 551, 1997 CCA LEXIS 88, 1997 WL 139380 (N.M. 1997).

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