United States v. Hayes

70 M.J. 454, 2012 CAAF LEXIS 159, 2012 WL 470127
Court of Appeals for the Armed Forces·Decided February 13, 2012·No. 11-5003/NA·Published·Cited by 40 cases

Opinions

Chief Judge BAKER delivered the opinion of the Court.

A military judge sitting as a general court-martial at the U.S. Naval Academy, Annapolis, Maryland convicted Appellee, pursuant to his pleas, of eleven specifications of selling military property without authority and ten specifications of larceny of military property, in violation of Articles 108 and 121, Uniform Code of Military Justice (UCMJ), 10 U.S.C. §§ 908, 921 (2006). Appellee was sentenced to confinement for thirty-six months, forfeiture of all pay and allowances, dismissal, and a $28,000 fine. The convening authority approved the adjudged sentence but suspended all confinement in excess of twelve months.

On review, the United States Navy-Marine Corps Court of Criminal Appeals (NMCCA) set aside the findings of guilty and the sentence and remanded for rehearing. United States v. Hayes, No. NMCCA 201000366 (N.-M.Ct.Crim.App. Jan. 27, 2011).

The Government subsequently certified three issues to this Court:

I.
WHETHER THE NAVY-MARINE CORPS COURT OF CRIMINAL APPEALS ERRED WHEN IT HELD THAT [APPELLEEJ’S UNSWORN STATEMENT DURING PRESEN-TENCING RAISED THE “POSSIBLE DEFENSE” OF DURESS.
II.
WHETHER THE NAVY-MARINE CORPS COURT OF CRIMINAL APPEALS ERRED, AS A MATTER OF LAW, WHEN IT FOUND THAT THE ACCUSED’S UNSWORN STATEMENT RAISED THE POSSIBILITY OF A DEFENSE WHEN THE FACTS ON THE RECORD DID NOT ESTABLISH A PRIMA FACIE CASE FOR DURESS.
III.
WHETHER THE NAVY-MARINE CORPS COURT OF CRIMINAL APPEALS ERRED WHEN IT SET ASIDE THE FINDINGS AND SENTENCE DUE TO THE MILITARY JUDGE’S [456] FAILURE TO INVESTIGATE [APPEL-LEE]’S PLEA FOR THE POSSIBILITY OF A DURESS DEFENSE BECAUSE SUICIDE CANNOT, AS A MATTER OF LAW, BE THE THREAT NECESSARY TO ESTABLISH THE DEFENSE OF DURESS.

For the reasons set forth below, we conclude that the NMCCA erred when it held that Appellee’s unsworn statement raised a possible defense of duress. Among other things, in the course of his plea inquiry Ap-pellee repeatedly disavowed that there were circumstances that forced him to take the items and that he could have avoided the misconduct. Moreover, the thefts occurred over five months, nullifying the sense of immediacy the duress defense contemplates and indicating that Appellee had opportunity to avoid committing the acts without causing harm.

We also conclude that the NMCCA did not err when it held that in a guilty plea context, as a matter of law, a possible defense of duress could be raised requiring further inquiry by the military judge without the accused first presenting a prima facie case of duress. We do not foreclose the possibility that, in an appropriate ease, the threat of suicide could provide the basis for a duress defense as a matter of law.1

I. BACKGROUND

A. Facts

Appellee was a twenty-six-year-old midshipman first class at the U.S. Naval Academy when he stole laboratory equipment from the Naval Academy and sold it on eBay. The acts took place on ten separate occasions between October 2008 and February 2009. The equipment was located in an engineering lab in Rickover Hall onboard the U.S. Naval Academy. In his stipulation of fact and during the plea colloquy with the military judge, Appellee explained how he typically sold the equipment: he would list the equipment on eBay, wait until the highest bidder won the auction, steal the equipment from the lab, mail it to the bidder, and finally receive electronic payment from PayPal. Appellee stated that he earned about $13,000 from the sales.

During his plea colloquy, the military judge asked Appellee with respect to each charge “[wjere there any circumstances which forced you to take this item?” or words to that effect. Likewise, the military judge asked Appellee “could you have avoided ... doing this?” or other words to the same effect. Appellee stated that no one forced him to steal the equipment and that he had no justification or excuse for doing so.

During an unsworn statement during pre-sentencing, Appellee explained the background for what he had done, including the pressure he felt regarding his mother’s financial and personal well-being. During his first year at the Academy, his mother, Mrs. Jackson, “would call and she would ask if there was any way I could help out” since she was “short on money.” By his junior year, Ap-pellee was receiving “daily” phone calls from Mrs. Jackson saying that “she didn’t want to lose her house” and that “it was [Appellee’s] responsibility to help her because [he was] her eldest son.” Appellee talked to a chaplain and a counselor about his situation, and they told him he needed to focus on graduating and that his mother was “an adult, she needs to take care of herself.” His mother’s calls continued and “it got to a point where she would — she would call crying and — and then say that she didn’t want to live any more and that she, you know, was thinking about taking her life.” Appellee stated that he “didn’t know how to handle that,” that his father could not help because he had passed away, and that he was worried his younger brothers and sisters “were going to lose their mom.”

During his unsworn statement, Appellee also described the first time he stole equipment from the lab:

[457] [I]t was purely curiosity, you know ... how much things were worth, and I was like, “Well, my mom needs money, there’s all these extra things laying around.” I know it wasn’t right, but in my state of mind I just — I just couldn’t differentiate the difference between doing the right thing for — for home or doing the right thing that’s going to make the phone calls stop, or doing the right thing for being a Midshipman.

Appellee also described what he did with the money after he sold the equipment:

I used the money, and I’d go home every weekend, and whether — whatever my mom needed I was doing, whether it was just taking her out to dinner or taking all my brothers and sisters out for ice cream, I mean just being there. I’m not — I didn’t know how to deal with somebody who’s threatening to end their life or threatening to, you know, not be there anymore.
And that’s — that’s the pressure that I was feeling at that time, sir ....

At presentencing Appellee submitted a signed letter from his mother stating that at that time she had made frequent phone calls to her son making him feel guilty for not helping out. She stated that, when Appellee was “not doing what I thought was his job, I made him feel guilty and increased the pressure with constant phone calls and telling him my thoughts about ending my life.” She noted that when her son “feared for my safety he came home and helped me out financially.”

The military judge did not reopen the providence inquiry following Appellee’s un-sworn statement and did not reject the guilty plea. The military judge also did not ask defense counsel whether he had discussed any potential defenses with his client.

B. NMCCA Decision

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United States v. Hayes, 70 M.J. 454, 2012 CAAF LEXIS 159, 2012 WL 470127 (Ark. 2012).

70 M.J. 454 (United States v. Hayes) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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