United States v. Smith

16 M.J. 694, 1983 CMR LEXIS 899
United States Court of Military Appeals·Decided May 10, 1983·No. ACM 23647·Published·Cited by 8 cases

Opinions

DECISION

SNYDER, Judge:

Tried by general court-martial, the accused stands convicted of violating Articles [698]*69880, 92, and 133, U.C.M.J.1,10 U.S.C. §§ 880, 892, and 933, respectively. His approved sentence is dismissal.

In excellent briefs and aggressive oral arguments, the parties have joined issue on eight errors (the eighth assignment having seven subassignments) for this Court’s consideration. Our disposition of the accused’s second, sixth, and seventh assignments of error renders unnecessary our consideration of the remaining matters. Finding error prejudicial to the substantive rights of the accused, we set aside the findings and sentence.

I

The accused was convicted of attempting to violate and violating Air Force Regulation 30-30, Personnel Standards of Conduct, paragraph 3a, dated 29 December 1978 (AFR 30-30), by using his official position to induce and influence military and civilian subordinates to make unsecured loans of money to him. The accused avers that AFR 30-30 is nonpunitive and, therefore, his conviction must fall. Disagreeing, we hold that AFR 30-30 properly combines advisory functions with self-evident criminal sanctions for violations of its punitive provisions.

The criteria by which general regulations are tested for punitive application are well settled. The regulation in its entirety must demonstrate that rather than providing general guidelines for the conduct of military functions it is basically intended to regulate the conduct of individual members, and that its direct application of sanctions for its violation is self-evident. United States v. Benway, 19 U.S.C.M.A. 345, 41 C.M.R. 345 (1970); United States v. Baker, 18 U.S.C.M.A. 504, 40 C.M.R. 216 (1969); United States v. Hogsett, 8 U.S.C. M.A. 681, 25 C.M.R. 185 (1958). Any integral part of a regulation is given meaning by consideration of the whole and every part, and, in applying this principle, courts “should endeavor wherever practical to reconcile the different provisions so as to make them harmonious and sensible.” United States v. Baker, supra; United States v. Curtin, 9 U.S.C.M.A. 427, 26 C.M.R. 207 (1958).

Given these criteria, we now consider the specific regulation in question. AFR 30-30 is no stranger to the appellate forum. See United States v. Brooks, 20 U.S.C.M.A. 28, 42 C.M.R. 220 (1970), and citations therein. Its purpose is explained in the preamble, as follows (in part):

This regulation explains Air Force personnel standards of conduct that relate to possible conflict between private interests and official duties, regardless of assignment. Close adherence to these principles will ensure compliance with the high ethical standards demanded of all public servants. Violations of the specific prohibitions and requirements of this regulation by military personnel may result in prosecution under the Uniform Code of Military Justice (UCMJ). Violations of this regulation by Air Force civilian employees may result in appropriate disciplinary action without regard to the criminal liability issue. Administrative action, such as reprimand, may be taken with regard to military members and civilian employees who violate any requirements of this regulation even if such violations do not constitute criminal misconduct.

The preamble reflects clearly that the regulation contains both advisory functions and punitive matters.

[699]*699If a regulation, or paragraph therein, does not so indiscriminately combine advice with command that fair notice of its penal nature is lacking, combining advisory matters with matters of command in one regulation does not vitiate any of the mandatory provisions therein. As then Chief Judge LeTarte commented in United States v. Grey, 1 M.J. 874 (A.F.C.M.R.1976), which affirmed the punitiveness of Air Force Regulation 30-2, Social Actions Program:

We are not persuaded to hold differently on the basis of trial defense counsel’s contention that AFR 30-2 was intended by its own terms to prescribe the basic requirements for the Air Force Social Actions Program rather than being designed as a code of conduct. The short answer to that argument is that the regulation properly serves both purposes.
Obviously, ... Hogsett2 was not intended to preclude the military services from promulgating regulations that combine advisory functions with self-evident criminal sanctions for violations of its provisions.

United States v. Grey, supra, at 876 and 877.

AFR 30-30’s introductory language leaves no doubt that certain provisions therein are prohibitory in nature, and violations carry self-evident criminal sanctions. As noted in an earlier precedent: “Air Force Regulation 30-30 may have deficiencies, but it does not suffer from faults of insufficient notice and inadequate command.” United States v. Brooks, supra, at 222. We now consider whether paragraph 3a is one of the regulation’s prohibitory provisions.

The specific provision which the accused is charged with violating reads as follows:

3. Ethical Standards of Conduct:
a. Air Force personnel must not take part in any personal, business, or professional activity ... that places them in a position of conflict between their private interests and the public interests of the United States that relate to their responsibilities as Air Force personnel, and to the duties or responsibilities of their Air Force jobs. For the purpose of this prohibition ... Air Force personnel: (emphasis added)
(2) Are not allowed to use their Air Force positions to induce, coerce, or to influence a person (including subordinates) in anyway to provide any benefits, financial or otherwise, to themselves or others.

Applying the statutory construction criteria above to paragraph 3a(2), it is readily evident that the paragraph is intended to regulate the conduct of individual members. Its applicability is beyond doubt, for paragraph 2 states specifically, “Air Force Personnel must be familiar and comply with this regulation.” (emphasis added) See United States v. Brooks, supra, where the Court gave special emphasis to the quoted language. The word “must,” given its ordinary meaning, is clearly mandatory in nature.

Nevertheless, relying on United States v. Henderson, 36 C.M.R. 854 (A.F.B.R.1965), the accused contends that AFR 30-30 is nonpunitive because paragraph 3 is titled “Ethical Standards of Conduct.” In Henderson, our predecessor found paragraph 3a of an earlier version of AFR 30-30 too vague and uncertain to be enforced as a penal regulation. The words of the paragraph, including “ethical standards of conduct,” were found to be hortatory rather than mandatory. A review of the present AFR 30-30 reveals substantive distinctions which indicate the drafters’ intent that it be punitive.

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