United States v. Mark

47 M.J. 99, 1997 CAAF LEXIS 67
CourtCourt of Appeals for the Armed Forces
DecidedSeptember 12, 1997
DocketNo. 96-0746; Crim.App. No. 94-1657
StatusPublished
Cited by17 cases

This text of 47 M.J. 99 (United States v. Mark) is published on Counsel Stack Legal Research, covering Court of Appeals for the Armed Forces primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Mark, 47 M.J. 99, 1997 CAAF LEXIS 67 (Ark. 1997).

Opinions

Opinion of the Court

SULLIVAN, Judge:

On January 6,1994, appellant was tried by a special court-martial composed of a military judge sitting alone at the Naval Legal Service Office, Norfolk, Virginia. Pursuant to his pleas, he was found guilty of assaulting a petty officer in the execution of his office,1 in violation of Article 91, Uniform Code of Military Justice, 10 USC § 891. < Appellant was sentenced to a bad-conduct discharge, confinement for 150 days, forfeiture of $400.00 pay per month for 3 months, and reduction to pay grade E-l. The convening authority approved the adjudged sentence on June 24, 1994. On February 16, 1996, in an unpublished decision, the Court of Criminal Appeals affirmed the findings and sentence.

On September 12,1996, this Court granted review of the following issue:

WHETHER THE NAVY-MARINE CORPS COURT OF CRIMINAL APPEALS ERRED IN PRESUMING THAT A STAFF JUDGE ADVOCATE’S RECOMMENDATION, MISSING FROM THE RECORD, HAD BEEN PREPARED SIMPLY BECAUSE THE CONVENING AUTHORITY WROTE IN HIS [100]*100ACTION THAT THE RECORD HAD BEEN REVIEWED PURSUANT TO ARTICLE 60.

We hold that no presumption of regularity is applicable in this case because absence of the staff judge advocate (SJA)’s recommendation and related papers renders the record and allied papers substantially incomplete. See generally United States v. Bono, 26 MJ 240, 243 n. 3 (CMA 1988); see also United States v. Eichenlaub, 11 MJ 239 (CMA 1981). We set aside the decision of the court below and remand this case for compliance with RCM 1103(b)(3)(G) and 1105-1107, Manual for Courts-Martial,' United States, 1984. See United States v. Stanford, 37 MJ 388, 391 (CMA 1993).

The original record of appellant’s trial was forwarded to the then-Court of Military Review 2 for review under Article 66(b), UCMJ, 10 USC § 866(b). It did not contain the original SJA’s recommendation, proof of service of the recommendation on either appellant or his trial defense counsel, or the trial defense counsel's response to the recommendation. The appellate court below issued an order to the Government on November 30, 1995, to “produce the Staff Judge Advocate’s Recommendation, proof of service of the recommendation and trial defense counsel’s response.” The Government was “unable to retrieve these documents” and conceded that “the post-trial documents” were “irretrievably lost.”

The court below concluded that an SJA’s recommendation had been prepared and was properly considered by the convening authority. That court reasoned:

[T]he convening authority stated in his 24 June 1994 action that “[t]he record of trial has been reviewed pursuant to Article 60(d) of the UCMJ....” Article 60(d), Uniform Code of Military Justice, 10 USC § 860(d), specifies that a convening authority “shall obtain and consider the written recommendation of his staff judge advo-cate____” Thus, in the absence of any proof to the contrary, we conclude that a staff judge advocate recommendation was prepared in this case and that it was properly considered by the convening authority-

Further, the court below stated that they would “not seriously entertain” this assignment of error without an affirmative declaration from appellant “that neither he nor his trial defense counsel received a copy of the recommendation.” Unpub. op. at 2.

Our starting point in resolving the granted issue is the majority opinion of the military appellate court below. It recognized that no SJA’s recommendation or proof of service of the same on defense counsel was attached to the record as required by RCM 1103(b)(3)(G). It also recognized that no response of any type by defense counsel to the SJA’s recommendation was attached to the record as required by RCM 1103(b)(3)(H). Nevertheless, in the absence of evidence to the contrary, it presumed that the convening authority had these materials before him when he acted in this case and affirmed the findings of guilty and the sentence. We reject the lower appellate court’s application of a presumption of regularity in this case. See generally Johnson v. United States, 225 U.S. 405, 411, 32 S.Ct. 748, 750, 56 L.Ed. 1142 (1912).

Article 60(d), UCMJ, 10 USC § 860(d)(1983)3 requires that the convening [101]*101authority obtain and consider the recommendation of the SJA before taking action on a case. See also RCM 1107(b)(3)(A)(ii) (“[C]onvening authority shall consider____ [t]he recommendation of the staff judge ad-vocate____”). This recommendation is legally required to contain certain information. RCM 1106(d)(3). Article 60(d) further requires that the SJA’s recommendation be served on the accused, who may respond to the recommendation. RCM 1106(f). Finally, the President has prescribed that the recommendation and proof of service of the recommendation on the defense counsel “shall be attached to the record.” RCM 1103(b)(3)(G) and (c)(1).

The importance of the SJA’s recommendation with respect to a convening authority’s action is long established. See, e.g., United States v. Leal, 44 MJ 235 (1996); United States v. Norment, 34 MJ 224 (CMA 1992); United States v. Narine, 14 MJ 55 (CMA 1982); United States v. Goode, 1 MJ 3 (CMA 1975). Although its scope has been narrowed, the significance of the SJA’s recommendation and its contents has actually increased. This has occurred because the convening authority no longer is required to personally review the record of trial before taking action. See United States v. Diaz, 40 MJ 335, 340 (CMA 1994)(explaining 1983 amendments to the Code related to the convening authority’s post-trial responsibilities). Finally, we have held that service of the SJA’s recommendation on the accused’s defense counsel is a critical part of the accused’s post-trial representation. See United States v. Moseley, 35 MJ 481, 484-85 (CMA 1992)(holding that failure to serve SJA’s recommendation on defense counsel is tantamount to absence of counsel at that important stage of judicial process).

Despite our demonstrated concern with this process, the Court of Criminal Appeals affirmed appellant’s case without there being an SJA’s recommendation and attendant papers before them. Relying sub silentio on a presumption of regularity, that court inferred from the convening authority’s action in this case that the post-trial recommendation, absent in the record, actually existed. The post-trial action in pertinent part states:

The record of trial has been reviewed •pursuant to Article 60(d) of the UCMJ, and is forwarded to the Navy-Marine Corps Appellate Review Activity (Code 40.2), Office of the Judge Advocate General, Washington Navy Yard, Washington, D.C. 20374-2002 for review under Article 66, UCMJ.

(Emphasis added.)

The court below further inferred from this statement that the SJA’s recommendation was submitted to the convening authority before he acted in this case; that it was served on defense counsel as required by law before the convening authority acted in this case; and that any response by defense counsel was submitted to the convening authority before he acted in this case. We cannot join this parade of presumptions.

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Cite This Page — Counsel Stack

Bluebook (online)
47 M.J. 99, 1997 CAAF LEXIS 67, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-mark-armfor-1997.