United States v. Southwick

53 M.J. 412, 2000 CAAF LEXIS 933, 2000 WL 1228702
CourtCourt of Appeals for the Armed Forces
DecidedAugust 30, 2000
Docket99-0832/A
StatusPublished
Cited by28 cases

This text of 53 M.J. 412 (United States v. Southwick) 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. Southwick, 53 M.J. 412, 2000 CAAF LEXIS 933, 2000 WL 1228702 (Ark. 2000).

Opinions

Judge GIERKE

delivered the opinion of the Court.

A general court-martial convicted appellant, contrary to her pleas, of conduct unbecoming an officer, wrongfully distributing ecstasy, and wrongfully distributing cocaine (2 specifications), in violation of Articles 133 and 112a, Uniform Code of Military Justice, 10 USC §§ 933 and 912a, respectively. The court-martial sentenced her to a dismissal, confinement for one year, and total forfeitures. The convening authority approved the sentence except for all but 14 days of unserved confinement. In an unpublished opinion, the Court of Criminal Appeals affirmed the findings and sentence, but granted relief from the provisions of Article 57(a), UCMJ, 10 USC § 857(a). See United States v. Gorsky 47 MJ 370 (1997).

Our Court granted review of the following issues:

I
WHETHER IT WAS PLAIN ERROR TO ALLOW THE INTRODUCTION OF TESTIMONY THAT THE PROSECUTION’S SOLE WITNESS TO THE ALLEGED OFFENSES UNDERTOOK AN OSI POLYGRAPH.
II
WHETHER IT WAS PLAIN ERROR FOR THE MILITARY JUDGE, AFTER HEARING APPELLANT’S UNSWORN STATEMENT WHEREIN SHE DETAILED THE PRETRIAL PUNISHMENT TO WHICH SHE HAD BEEN SUBJECTED, TO NOT ADDRESS THIS ISSUE AND GRANT ADDITIONAL CONFINEMENT CREDIT.

For the reasons set out below, we affirm.

I. POLYGRAPH EVIDENCE

A Factual Background

Senior Airman (SrA) Randall, an enlisted security policeman working as an informant for the Air Force Office of Special Investigations (OSI), was a key prosecution witness. SrA Randall testified that he made three controlled buys of drugs from appellant. Immediately after the third controlled buy, OSI agents and local police executed a search warrant at appellant’s apartment and seized the marked money used by Randall to make the controlled buy.

During cross-examination by defense counsel, Randall was asked about the investigation of his background before he became an informant. He responded, “Agent Andreini checked with some of my work colleagues. He checked my 398. I even underwent a polygraph test at Randolph Air Force Base.”

Defense counsel called an expert witness to show that OSI had conducted an inadequate background investigation of Randall before relying on him as an informant. During cross-examination 'by trial counsel, the expert witness admitted that he did not review the background investigation of Randall. Trial counsel asked, “[A]nd do you know that they gave Airman Randall a polygraph?” The witness responded, “I just heard it through the testimony, I didn’t review it on paper that he had been administered a polygraph.”

The prosecution then called OSI Special Agent (SA) Otis to defend the OSI’s methods to establish the reliability of their informants. During cross-examination, defense counsel asked SA Otis what kinds of things were done other than examining records. SA Otis responded:

When you’re dealing with someone as a potential informant, you interview them, [414]*414attempt to determine what their motivation is, what their access is, what’s transpired, that brings them to you to begin with. You conduct background checks, run computer checks to determine whether the individual has any sort of a criminal record. Again, go to a personnel jacket, find out if he has a UIF [unfavorable information file], what other information might not be readily apparent. Secondarily to that, we generally use a polygraph examination.
We’re talking in generalities here, are we not? I told you — I referenced a few minutes ago the fact that this gentleman [Randall] was polygraphed, which is generally one of the things that we do to, again, establish the veracity of the person that’s involved.

During argument on findings, trial counsel argued that Randall was not the typical informant trying to cut a deal after getting caught in the drug trade. He argued that Randall’s background had been thoroughly checked, that he was “an elite gate guard” with a high-level security clearance. He mentioned that OSI polygraphed him before accepting him as an informant.

At no time during the trial did defense counsel object to the mention of the polygraph or move to strike any testimony regarding the polygraph or request limiting instructions.

B. Discussion

Mil.R.Evid. 707, Manual for Courts-Martial, United States (1998 ed.), provides: “Notwithstanding any other provision of law, the results of a polygraph examination, the opinion of a polygraph examiner, or any reference to an offer to take, failure to take, or taking of a polygraph examination, shall not be admitted in evidence.” The constitutionality of this blanket prohibition was upheld by the Supreme Court in United States v. Scheffer, 523 U.S. 303, 118 S.Ct. 1261, 140 L.Ed.2d 413 (1998).

Where, as in this case, there was no timely objection to polygraph evidence, we review for plain error. We will take notice of asserted errors even though not raised at trial if the appellant demonstrates that there was an error, that the error was clear or obvious, and that the error materially prejudiced appellant’s substantial rights. United States v. Powell, 49 MJ 460, 465 (1998). Although there was an error in this case that was clear or obvious, appellant has not convinced us that a substantial right was materially prejudiced. The relationship between the polygraph and the evidence on the merits is even more attenuated in this case than it was in United States v. Clark, 53 MJ 280 (2000). In this case, the polygraph evidence was not presented as substantive proof of the offenses. There was no evidence of the subject matter of the polygraph interview and no evidence of any responses to questions. There is no suggestion that the polygraph was used to measure the truthfulness of SrA Randall’s reports to his OSI superiors regarding appellant’s misconduct. The polygraph was not mentioned to bolster any aspect of Randall’s testimony. It was mentioned merely to describe one of the many steps used by the OSI at the outset to determine that Randall was sufficiently trustworthy to be used as an informant. Finally, it was defense counsel who elicited the disclosure regarding the polygraph examination.

II. PRETRIAL PUNISHMENT

A. Factual Background

During an unsworn statement on sentencing, appellant stated:

Since February, I’ve been working at the HAWC on Main Base Kelly which is the Health and Wellness Center. I’ve been working at the front desk as a receptionist. I’m the only military person at the HAWC, the Health and Wellness Center, who. is not allowed to wear their uniform. I have had to wear civilian clothes every single day. I’ve been stripped of my rank. I’ve been called Stefanie by all personnel, including enlisted and all GS employees, including a GS-5, and given work by these people. When I brought my concerns regarding this matter to Lieutenant Colonel [415]*415Kuhfahl, my commander, ... they decided it was acceptable for everyone to call me Stef.

A handwritten copy of the statement was admitted and given to the court members.

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Bluebook (online)
53 M.J. 412, 2000 CAAF LEXIS 933, 2000 WL 1228702, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-southwick-armfor-2000.