United States v. Shafran

Court of Appeals for the Armed Forces·Decided May 12, 2025·No. 24-0134/CG·Published

Opinion

This opinion is subject to revision before publication.

UNITED STATES COURT OF APPEALS FOR THE ARMED FORCES

UNITED STATES

Appellee

v.

Andrew J. SHAFRAN, Boatswain’s Mate Third Class United States Coast Guard, Appellant

No. 24-0134 Crim. App. No. 1480

Argued January 15, 2025—Decided May 12, 2025

Military Judge: Paul R. Casey

For Appellant: Lieutenant Benjamin M. Cook, JAGC, USN (argued); Lieutenant Commander Kristen R. Bradley, USCG, and Philip D. Cave, Esq. (on brief).

For Appellee: Lieutenant Elizabeth Ulan, USCG (argued ); Lieutenant Christopher J. Hamersky, USCG.

Judge MAGGS delivered the opinion of the Court, in which Chief Judge OHLSON, Judge SPARKS, and Judge JOHNSON joined. Judge HARDY filed a separate opinion, concurring in the judgment.

Opinion of the Court

Judge MAGGS delivered the opinion of the Court. We granted review to decide whether a specification, alleging that Appellant “provid[ed] several alcoholic beverages to a person under the age of 21,” fails to state an offense under Article 134, Uniform Code of Military Justice (UCMJ), 10 U.S.C. § 934 (2018), because “it fails to allege words of criminality.” United States v. Shafran, 85 M.J. 144, 145 (C.A.A.F. 2024) (order granting review). Because Appellant did not raise his objection to the specification at trial, our precedent requires us to assess its sufficiency with “maximum liberality.” United States v. Turner, 79 M.J. 401, 403 (C.A.A.F. 2020) (internal quotation marks omitted) (quoting United States v. Bryant, 30 M.J. 72, 73 (C.M.A. 1990)). Applying this lenient standard, we hold that the specification at issue sufficiently states an offense. We therefore affirm the decision of the United States Coast Guard Court of Criminal Appeals (CGCCA), which affirmed the findings and sentence in this case. United States v. Shafran, 84 M.J. 548, 568 (C.G. Ct. Crim. App. 2024) (en banc).

I. Background

After meeting Ms. E.F. at a retail store, Appellant invited her to visit him at his house. She accepted the invitation . At the time, Ms. E.F. was not yet twenty-one years old. The record establishes that Appellant had accessed Ms. E.F.’s profile on a dating app and that this profile correctly indicated that she was twenty years old; Ms. E.F. also testified that she told Appellant her age and that her age was one reason why she would not drink alcohol. During Ms. E.F.’s visit, Appellant provided her with liquor, and she “felt pressure[d]” to drink. Ms. E.F. became intoxicated. Nonconsensual sexual activity between Appellant and Ms. E.F. then occurred.

Appellant was charged with one specification of sexual assault and one specification of abusive sexual contact in violation of Article 120(d), UCMJ, 10 U.S.C. § 920(d) (2018), and one specification of an unenumerated offense

Opinion of the Court

under Article 134, UCMJ. The specification under Article 134, UCMJ, as amended, alleged that Appellant:

provide[d] several alcoholic beverages to Ms. E.F., a person under the age of 21, in the presence of other junior enlisted members of the U.S. Coast Guard and U.S. Air Force, and that said conduct was to the prejudice of good order and discipline in the armed forces and was of a nature to bring discredit to the armed forces.

Two aspects of the unenumerated Article 134, UCMJ, specification are noteworthy. First, the specification does not expressly allege that Appellant acted with any particular mens rea. 1 The military judge, however, ruled that the Government was required to prove that Appellant acted with recklessness based on this Court’s decision in United States v. Tucker, 78 M.J. 183, 184, 186 (C.A.A.F. 2018). Second , the specification does not expressly allege that Appellant acted “wrongfully” or “unlawfully” in providing Ms. E.F. with alcohol or that his actions violated a particular law or regulation. Appellant, however, did not challenge the sufficiency of the specification at trial on these grounds.

A general court-martial found Appellant guilty of the unenumerated offense under Article 134, UCMJ, and guilty of abusive sexual contact, but found him not guilty of sexual assault. The court-martial sentenced Appellant to a bad-conduct discharge, confinement for 180 days, and a reduction to the lowest enlisted grade.

On appeal to the CGCCA, Appellant argued inter alia that the specification under Article 134, UCMJ, for providing alcohol to a person under the age of twenty-one, was fatally defective. Shafran, 84 M.J. at 553. He asserted for the first time that the specification failed to state an offense because it did not expressly allege that his conduct was either “wrongful” or “unlawful.” Id. at 558. The

1 When the specification was first referred, it expressly stated that Ms. E.F. was a person “whom [Appellant] knew to be” under the age of twenty-one. The military judge, however, allowed the Government to strike these words.

Opinion of the Court

CGCCA, in a detailed opinion, rejected this contention. Summarizing its reasoning, the CGCCA stated that requiring the specification to include one of these two words expressly would “raise[] form over substance and [would be] inconsistent with the nature of Article 134, the concept of notice pleading, the statutory text, the [Manual for Courts- Martial], military case law, and constitutional due process requirements.” Id. After also rejecting Appellant’s arguments with respect to other issues, the CGCCA affirmed the findings and sentence. Id. at 568. Three judges dissented from the conclusion that the specification under Article 134, UCMJ, stated an offense. Id. at 569 (Brubaker, J., with whom McClelland, C.J., and Herman, J., joined, concurring in part and dissenting in part).

II. Standard of Review and Applicable Law The parties disagree about the applicable standard of review when an appellant challenges the sufficiency of a specification for the first time on appeal. Appellant asserts that we must review his objection to the specification de novo, while the Government asserts that we may review the issue only for plain error. Appellant argues that under the version of Rule for Courts-Martial (R.C.M.) 905 in the Manual for Courts-Martial, United States (2019 ed.) (MCM), an accused’s failure to object to a specification for failing to state an offense neither forfeits nor waives the objection. The CGCCA reached this same conclusion. Shafran, 84 M.J. at 556. The Government, however, relies on this Court’s precedent in United States v. Day, 83 M.J. 53, 57-59 (C.A.A.F. 2022), which applied plain error review in a similar situation but did not address R.C.M. 905. We decline to resolve this disagreement because doing so is unnecessary in this case. 2 Both parties agree that precedent requires us to assess the validity of the specification with

2 In addition, we note that any interpretation of R.C.M. 905

(2019 ed.) would have limited precedential value because Congress recently amended the rule. See R.C.M. 905 (2024 ed.), amended by Exec. Order No. 14,103, Annex 2 § 2 (www), 88 Fed. Reg. 50,535, 50,679 (Aug. 2, 2023).

Opinion of the Court

“maximum liberality” because Appellant did not challenge its validity at trial. Turner, 79 M.J. at 403 (citation omitted ) (internal quotation marks omitted). For reasons that we provide below, when we read the specification at issue with “maximum liberality,” we conclude that it states an offense under Article 134, UCMJ.

III. Discussion

The Government maintains that the specification at issue states an offense under both the first and second clauses of Article 134, UCMJ. These two clauses state:

Though not specifically mentioned in this chapter, all disorders and neglects to the prejudice of good order and discipline in the armed forces, [and] all conduct of a nature to bring discredit upon the armed forces . . . shall be taken cognizance of by a general, special, or summary court-martial, according to the nature and degree of the offense, and shall be punished at the discretion of that court.

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