United States v. Smith

50 M.J. 451, 1999 CAAF LEXIS 1030, 1999 WL 449867
Court of Appeals for the Armed Forces·Decided June 29, 1999·No. 98-0775/AR·Published·Cited by 70 cases

Opinions

Judge CRAWFORD

delivered the opinion of the Court.

Pursuant to his pleas, appellant was convicted of committing indecent acts upon his 7-year-old stepdaughter, EL, in violation of Article 134, Uniform Code of Military Justice, 10 USC § 934. Contrary to his pleas, appellant was convicted by a panel of officer and enlisted members of raping and attempting sodomy with H, in violation of Articles 120 and 80, UCMJ, 10 USC §§ 920 and 880, respectively. He was sentenced to a dishonorable discharge, 10 years’ confinement, and reduction to the lowest enlisted grade. The convening authority approved the sentence, and the Court of Criminal Appeals affirmed the findings and sentence in a memorandum opinion on May 13,1998.

We granted review on the following issues, neither of which was raised at the court below:

I. WHETHER THE MILITARY JUDGE COMMITTED PREJUDICIAL ERROR BY NOT GIVING PANEL INSTRUCTIONS ON CERTAIN LESSER-INCLUDED OFFENSES OF RAPE AND SODOMY.
II. WHETHER THE MILITARY JUDGE ABUSED HER DISCRETION WHEN SHE GAVE AN IMPROPER INSTRUCTION REGARDING THE USE OF APPELLANT’S PLEA OF GUILTY TO INDECENT ACTS WHEN ADJUDGING APPELLANT’S GUILT OR INNOCENCE AS TO RAPE AND SODOMY.

For the reasons set out below, we affirm.

A. FACTS

When H first alleged that appellant had been sexually abusing her, he denied it completely. However, when confronted by the Criminal Investigation Command (CID) with overwhelming medical evidence supporting H’s claims, appellant broke down and admitted to one incident of touching H between her legs while he masturbated. He denied that he did anything improper to H beyond that one incident.

After further interrogation, appellant admitted to a second incident in which he penetrated H’s vagina with his little finger. He then denied any improper acts beyond those two. After still more questioning, appellant admitted to a third incident in which he penetrated H’s vagina with his little finger and rubbed her clitoris with his thumb while he masturbated, and then placed “the tip of [453]*453[his] penis against her vagina” and ejaculated onto her vagina. He continued vigorously to deny that he raped his stepdaughter or committed oral or anal sodomy upon her, as she had alleged. Appellant’s sworn statement was admitted into evidence at his court-martial.

Appellant was interviewed again by CID at a psychiatric hospital 2 days later. At this interview, while still maintaining that only those three incidents occurred, he added detail to the acts which they encompassed. For instance, he also admitted to penetrating digitally H’s anus during the second incident.

H testified at the court-martial that appellant put his “private” into both her front and back “privates.” She also testified that she felt her stepfather’s “pee,” meaning his ejaculate, on her “front private.” H demonstrated an awareness and comprehension of the difference between “on” and “in.” In addition, pictures that she had drawn when she disclosed the abuse, including one of appellant’s penis, were published to the members.

Furthermore, the Government presented testimony from the two doctors who examined H the day she made her allegations. They explained photographs from H’s examination showing a completely obliterated hymenal tissue, a vaginal opening roughly twice the size of a normal 7-year-old’s, and a textbook case of “chronic sexual abuse.” Dr. Lockrow, the gynecologist who examined H, stated that the medical evidence was inconsistent with only two instances of digital penetration.

Dr. Sobrin, the pediatrician who examined H, testified as to the narrative H provided him of the abuse. For instance, he indicated that H said she tried to move away when appellant was penetrating her vaginally because it hurt, but that appellant pulled her back. Dr. Sobrin also testified that H said appellant put “his mouth ... in her private area.” Mrs. Yolanda Briones, the counselor to whom H first revealed the abuse, and Mr. Michael Mantz, H’s counselor at the time of the court-martial, also testified as to the abuse which H disclosed to them.

After litigating a defense motion to preclude testimony of H’s statements to Dr. Sobrin, Mrs. Briones, Mr. Mantz, and others, appellant pleaded guilty to the indecent-acts charge, Charge III. During the providence inquiry, the military judge ascertained that appellant needed to make his plea by exceptions and substitutions because, contrary to the language of the specification, he was admitting to penetrating her vagina and anus with his fingers, and to placing his penis upon her vulva.1 At the military judge’s request, defense counsel made the appropriate amendments and his guilty plea was accepted.

Also during the providence inquiry, appellant gave 1 exact and 2 rough dates for the 3 incidents which he admitted — late June, mid-July, and August 18, 1995. However, defense counsel did not make any exceptions or substitutions as to the dates in Charge III, leaving it to allege that the indecent acts occurred “from on or about June 1995 to on or about August 1995.” The trial counsel chose to go forward on the charge with the exceptions and substitutions submitted by defense counsel.

Prior to opening statements, the military judge and counsel put on the record the contents of an RCM 8022 conference at which the issue of instructions on the elements of indecent acts in light of appellant’s guilty plea was discussed. The military judge summarized that portion of the conference as follows:

The issue came up about whether the — the prosecution asked if the panel members would be informed of the elements because we were discussing the difficulty, when you have a guilty plea without a stipulation of fact, in how to get evidence about that before the panel; and I indicated that, in my instructions, I will tell them — give them the elements of the offenses to which the accused has pled not guilty; I will also [454]*454tell the elements of the offense of indecent assault [sic] and that the accused’s plea establishes those elements; then the parties may use those elements as they see fit to establish whatever other elements or lack thereof, with regard to the two offenses to which he has pled not guilty. I do instruct them that this plea is not evidence — it cannot be considered as evidence — his plea of guilty to indecent acts can’t be considered as evidence directly of his guilt of rape or sodomy. But, to the extent that they have elements in common or to the extent that an intent element in indecent acts might be used to establish the motive for the other two offenses, then it may be used.

Defense counsel did not object to this summary; nor did he ask to add anything to it. In fact, he closed out the summary of the RCM 802 conference by saying, “I think that is everything.”

At an Article 39(a)3 session just prior to instructing the members and making closing arguments, the military judge and counsel further discussed what instructions would be given. The military judge indicated that she would give an instruction “on Charge III and how it relates — the accused’s guilty plea and how it relates to Charge I and II.” She also indicated that the lesser-included offense she saw raised by the evidence and in the pleading for the rape charge was carnal knowledge, and for the sodomy charge, attempted sodomy.

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United States v. Smith, 50 M.J. 451, 1999 CAAF LEXIS 1030, 1999 WL 449867 (Ark. 1999).

50 M.J. 451 (United States v. Smith) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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