2008 edition - Fort Sam Houston - U.S. Army
2008 edition - Fort Sam Houston - U.S. Army 2008 edition - Fort Sam Houston - U.S. Army
App. 21, R.C.M. 810(d) APPENDIX 21 result); United States v. Eschmann, supra at 67, 28 C.M.R. at 291 (Latimer, J., concurring in the result). By placing an admonition against such instructions in the discussion, rather than a prohibition in the rule, users are alerted to current decisional requirements while the issue is left open to future judicial development. 1995 Amendment: Subsection (d) was amended in light of the change to Article 63 effected by the National Defense Authorization Act for Fiscal Year 1993, Pub. L. No. 102–484, 106 Stat. 2315, 2506 (1992). The amendment reflects that subsection (d) sentencing limitations only affect the sentence that may be approved by the convening or higher authority following the rehearing, new trial, or other trial. Subsection (d) does not limit the maximum sentence that may be adjudged at the rehearing, new trial, or other trial. Subsection (2) is based on the last sentence of Article 63, as amended, Military Justice Act of 1983, Pub. L. No. 98–209, § 5(d)(2)(C), 97 Stat. 1393 (1983). (e) Definition. This definition is taken from paragraph 81 d(2) of MCM, 1969 (Rev.). See also paragraph 92 b of MCM, 1969 (Rev.). Rule 811 Stipulations (a) In general. This subsection restates the first sentence of paragraph 54 f(1) of MCM, 1969 (Rev.). (b) Authority to reject. This subsection affirms the authority of the military judge to decline to accept a stipulation, as an exercise of discretion and in the interest of justice. This authority was implicit in paragraph 54 f(1) of MCM, 1969 (Rev.) which suggested that stipulations should not be accepted in certain circumstances. These examples are now included in the discussion. See also United States v. Cambridge, 3 U.S.C.M.A. 377, 12 C.M.R. 133 (1953); United States v. Field, 27 C.M.R. 863 (N.B.R. 1958). (c) Requirements. This subsection makes clear that a stipulation can be received only with the consent of the parties. This consent must be manifested in some manner before the military judge may receive the stipulation, although the rule does not specify any particular form for the manifestation, as this rests within the discretion of the trial judge. United States v. Cambridge, supra. Although it is normally preferable to obtain it, the express consent of the accused on the record is not always necessary for admission of a stipulation. In the absence of circumstances indicating lack of consent by the accused (see e.g., United States v. Williams, 30 C.M.R. 650 (N.B.R. 1960)), the defense counsel’s concurrence in the stipulation will bind the accused. United States v. Cambridge, supra. If there is any doubt, the accused should be personally questioned. See United States v. Barbeau, 9 M.J. 569 (A.F.C.M.R. 1980). The last three paragraphs of the discussion deal with stipulation “which practically amount to a confession.” Paragraph 54 f(1) of MCM, 1969 (Rev.), states that such a confession “should not be received in evidence.” Despite this admonition, such stipulations were occasionally received in order to allow the defense to avoid waiving certain issues by pleading guilty while saving the parties the time and expense of a full trial when the accused’s guilt, as a practical if not legal matter, was conceded. See, e.g., United States v. Rempe, 49 C.M.R. 367 (A.F.C.M.R. 1974). The Court of Military Appeals has approved this procedure, but only if an i n q u i r y o f t h e s o r t d e s c r i b e d i n t h e d i s c u s s i o n i s c o n d u c t e d . A21-50 United States v. Bertelson, 3 M.J. 314 (C.M.A. 1977). The definition of a stipulation which practically amounts to a confession in the discussion is based on Bertelson, along withUnited States v. Schaffer, 12 M.J. 425, 427–428 nn. 4.6 (C.M.A. 1982);; United States v. Reagan, 7 M.J. 490 (C.M.A. 1979); United States v. Aiello, 7 M.J. 99 (C.M.A. 1979); and United States v. Long, 3 M.J. 400 (C.M.A. 1977). These cases indicate that a stipulation practically amounts to a confession when it amounts to a “de facto” plea of guilty, rather than simply one which makes out a prima facie case. The example in the discussion is taken from United States v. Long, supra. (d) Withdrawal. This subsection is taken, substantially verbatim, from paragraph 54 f(1) of MCM, 1969 (Rev.), and restates current law. See also United States v. Daniels, 11 U.S.C.M.A. 52, 28 C.M.R. 276 (1959). (e) Effect of stipulations. This subsection modifies previous Manual rules in two respects. First, it states that a stipulation of fact is binding on the court-martial. This is consistent with federal practice, see e.g., Jackson v. United States, 330 F.2d 679 (8th Cir.), cert. denied. 379 U.S. 855 (1964), as well as the prevailing view in the vast majority of states. See 4 J. Wigmore, Wigmore on Evidence § 2590 (3d ed. 1940); 73 Am. Jur. 2d. Stipulations, § 8 (1974); 83 C.J.S. Stipulations, §§ 12–13 (1953). See also H. Hackfield & Co. v. United States, 197 U.S. 442 (1905). Paragraph 154 b of MCM, 1951, contained the following provision: “The court is not bound by a stipulation even if received. For instance its own inquiry may convince the court that the stipulated fact is not true.” The provision was drawn verbatim from paragraph 140 b of MCM (Army), 1949, and of MCM(AF), 1949, and can be traced to paragraph 126 b of MCM, 1928. The Court of Military Appeals questioned the validity of this provision in United States v. Gerlach, 16 U.S.C.M.A. 383, 37 C.M.R. 3 (1966), but did not have to resolve whether the court-martial was bound by a stipulation of fact, since it held that the parties were. The above quoted language was omitted from MCM, 1969 (Rev.). The analysis to the Manual does not explain why. See Analysis of Contents, Manual for Courts-Martial, 1969, Revised Edition, DA PAM 27–2 at 27–49 (1970). Despite this omission, some courts-martial have apparently continued to apply the earlier rule. See Military Criminal Law, Evidence DA PAM 27–22, AFP 111–8 at paragraph 6–2 (1975). There is no reason not to follow federal practice on this matter. If the court-martial’s “own inquiry” indicates that the stipulated facts may not be true, the parties should be afforded the opportunity to withdraw from the stipulation and to present evidence on the matter in question. The second change is in the treatment of stipulations of a document’s contents. MCM, 1969 (Rev.), applied the same “observations” it made concerning stipulations of facts to stipulations of documents’ contents thus implying that, by stipulating to a documents’ contents, the parties agreed that the contents are true. This may have been due to the treatment of admissions concerning documents’ contents as a matter of civil procedure in Federal courts, see Fed. R. Civ. P. 36 (1948) (since replaced by Fed. R. Civ. P. 36 (1970)); see also Wigmore, supra, § 2596, and the fact that stipulations of a documents’ contents, like stipulations of fact, are handed to the members of the court. Yet, it is clear that the parties may stipulate that a document contains certain text or other information, or that a given document is genuine, without necessarily agreeing that the text or other information in the
document is true. In this sense, a stipulation as to a document’s contents is like a stipulation of expected testimony, and the rule so treats it. Otherwise, this subsection essentially restates paragraph 54 f(1) and (2) of MCM, 1969 (Rev.). See also United States v. Bennett, 18 U.S.C.M.A. 96, 39 C.M.R. 96 (1969) and United States v. Gerlach, supra for further discussion of the effects of stipulations. If the parties fail to object to inadmissible matters in a stipulation, this will normally constitute a waiver of such objection. Mil. R. Evid. 103. Cf. United States v. Schell, 18 U.S.C.M.A. 410, 40 C.M.R. 122 (1969). See also Wigmore, supra at § 2592. (f) Procedure. This subsection is based on the second paragraph in paragraph 54 f(2) of MCM, 1969 (Rev.). Rule 812 Joint and common trials This rule is taken from paragraph 53 c of MCM, 1969 (Rev.). The rule itself substantially repeats the first sentence in paragraph 53 c. The discussion refers to other rules dealing with joint or common trials, and includes the examples discussed in paragraph 53 c of MCM, 1969 (Rev.). It also incorporates a statement on stipulations which appeared at paragraph 54 f(3) of MCM, 1969 (Rev.), and a statement concerning severances from paragraph 61 h of MCM, 1969 (Rev.). The rule does not change current law. Rule 813 Announcing personnel of the courtmartial and accused This rule is based on paragraph 61 c of MCM, 1969 (Rev.) and is placed in Chapter 8 since the requirement for announcing the presence or absence of parties usually recurs several times during the trial. The rule has been rephrased to acknowledge the responsibility of the military judge to ensure that the matters covered are reflected in the record. Paragraph 61 c of MCM, 1969 (Rev.) required the trial counsel to make these announcements. This rule leaves to the discretion of the military judge who will make the announcements. The importance of requiring such announcements to be made on the record is emphasized in United States v. Nichelson, 18 U.S.C.M.A. 69, 39 C.M.R. 69 (1968). CHAPTER IX. TRIAL PROCEDURE THROUGH FINDINGS Rule 901 Opening session Introduction. R.C.M. 901 through 903 set out in chronological order the procedures to be followed before arraignment. The order need not be followed rigidly. (a) Call to order. This subsection is based on the first sentence in paragraph 61 b of MCM, 1969 (Rev.). The purpose of the subsection is to establish a definite point to indicate when a courtmartial is in session. The first paragraph in the discussion is taken from paragraph 61 a of MCM, 1969 (Rev.), but the present provision has been expanded to include comparing the record of the referral on the charge sheet with the convening orders to ensure that they are consistent. The other matters in paragraphs 61 a and b of MCM, 1969 (Rev.), are omitted here as unnecessary. The second paragraph in the discussion is based on paragraph 58 c of MCM, 1969 (Rev.) and serves as a reminder of the ANALYSIS App. 21, R.C.M. 902 A r t i c l e 3 5 r e q u i r e m e n t s . S e e U n i t e d S t a t e s v . P e r g a n d e , 4 9 C.M.R. 28 (A.C.M.R. 1974). The failure to object is normally a waiver of the statutory right. United States v. Lumbus, 48 C.M.R. 613 (A.C.M.R. 1974). Because of the importance of the right, however, the military judge should secure an affirmative waiver. See United States v. Perna, 1 U.S.C.M.A. 438, 4 C.M.R. 30 (1952); United States v. Pergande, supra. (b) Announcement of parties. This subsection is based on paragraph 61 c of MCM, 1969 (Rev.). Requiring an announcement is intended to guard against inadvertently proceeding in the absence of necessary personnel and to ensure that the record reflects the presence of required personnel. Failure to make the announcement is not error if it otherwise appears that no essential personnel were absent. (c) Swearing reporter and interpreter. This subsection and its discussion are taken directly from paragraph 61 d of MCM, 1969 (Rev.). (d) Counsel. This subsection, except for subsection (4)(A) and (D), is based on paragraphs 61 e and f of MCM, 1969 (Rev.). The qualifications of counsel and matters which disqualify counsel are treated at R.C.M. 502(d) and are not repeated here. The subsection makes clear that at trial the military judge is responsible for determining whether counsel is disqualified, Soriano v. Hosken, 9 M.J. 221 (C.M.A. 1980), and for seeing that appropriate action is taken. Of course, if a detailed counsel is disqualified the responsibility will fall upon the convening authority to rectify the problem. The discussion points out that defects in the qualification of counsel are not jurisdictional. Wright v. United States, 2 M.J. 9 (C.M.A. 1976). Subsection (4)(A) has been added to conform to the requirements of United States v. Donohew, 18 U.S.C.M.A. 149, 39 C.M.R. 149 (1969). Cf. Fed. R. Crim. P. 5(c). Subsection (4)(D) is based on Fed. R. Crim. P. 44(c) and United States v. Breese, 11 M.J. 17 (C.M.A. 1981). See also United States v. Davis, 3 M.J. 430 (C.M.A. 1977); United States v. Blakey, 1 M.J. 247 (C.M.A. 1976); United States v. Evans, 1 M.J. 206 (C.M.A. 1975). (e) Presence of members. This subsection is new. Its purpose is to eliminate unnecessary attendance by members. Accord Article 39(a). Rule 902 Disqualification of military judge Introduction. This rule is based on 28 U.S.C. § 455, which is itself based on Canon III of the ABA Code of Judicial Conduct, and on paragraph 62 of MCM, 1969 (Rev.). T h e p r o c e d u r e s p r e s c r i b e d b y 2 8 U . S . C . § 1 4 4 w e r e n o t adopted. That statute provides that whenever a party “files a timely and sufficient affidavit that the judge before whom the matter is pending has a personal bias or prejudice either against him or in favor of any adverse party, such judge shall proceed no further therein.” This section does not establish a different test from 28 U.S.C. § 455 for disqualification for prejudice or bias. Instead, 28 U.S.C. § 144 provides a procedure mechanism by which the disqualification determination may be made. United States v. Sibla, 624 F.2d 864 (9th Cir. 1980); see also Parrish v. Board of Commissioners of Alabama State Bar, 524 F.2d 98 (5th Cir. 1975) (en banc), cert. denied, 425 U.S. 944 (1976). This procedure is not practicable for courts-martial because of the different structure of the military judiciary and the limited number of military judges. A21-51
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document is true. In this sense, a stipulation as to a document’s<br />
contents is like a stipulation of expected testimony, and the rule<br />
so treats it.<br />
Otherwise, this subsection essentially restates paragraph 54 f(1)<br />
and (2) of MCM, 1969 (Rev.). See also United States v. Bennett,<br />
18 U.S.C.M.A. 96, 39 C.M.R. 96 (1969) and United States v.<br />
Gerlach, supra for further discussion of the effects of stipulations.<br />
If the parties fail to object to inadmissible matters in a stipulation,<br />
this will normally constitute a waiver of such objection. Mil. R.<br />
Evid. 103. Cf. United States v. Schell, 18 U.S.C.M.A. 410, 40<br />
C.M.R. 122 (1969). See also Wigmore, supra at § 2592.<br />
(f) Procedure. This subsection is based on the second paragraph<br />
in paragraph 54 f(2) of MCM, 1969 (Rev.).<br />
Rule 812 Joint and common trials<br />
This rule is taken from paragraph 53 c of MCM, 1969<br />
(Rev.). The rule itself substantially repeats the first sentence in<br />
paragraph 53 c. The discussion refers to other rules dealing with<br />
joint or common trials, and includes the examples discussed in<br />
paragraph 53 c of MCM, 1969 (Rev.). It also incorporates a<br />
statement on stipulations which appeared at paragraph 54 f(3) of<br />
MCM, 1969 (Rev.), and a statement concerning severances from<br />
paragraph 61 h of MCM, 1969 (Rev.). The rule does not change<br />
current law.<br />
Rule 813 Announcing personnel of the courtmartial<br />
and accused<br />
This rule is based on paragraph 61 c of MCM, 1969 (Rev.)<br />
and is placed in Chapter 8 since the requirement for announcing<br />
the presence or absence of parties usually recurs several times<br />
during the trial. The rule has been rephrased to acknowledge the<br />
responsibility of the military judge to ensure that the matters<br />
covered are reflected in the record. Paragraph 61 c of MCM,<br />
1969 (Rev.) required the trial counsel to make these announcements.<br />
This rule leaves to the discretion of the military judge who<br />
will make the announcements. The importance of requiring such<br />
announcements to be made on the record is emphasized in United<br />
States v. Nichelson, 18 U.S.C.M.A. 69, 39 C.M.R. 69 (1968).<br />
CHAPTER IX. TRIAL PROCEDURE THROUGH<br />
FINDINGS<br />
Rule 901 Opening session<br />
Introduction. R.C.M. 901 through 903 set out in chronological<br />
order the procedures to be followed before arraignment. The<br />
order need not be followed rigidly.<br />
(a) Call to order. This subsection is based on the first sentence in<br />
paragraph 61 b of MCM, 1969 (Rev.). The purpose of the subsection<br />
is to establish a definite point to indicate when a courtmartial<br />
is in session. The first paragraph in the discussion is taken<br />
from paragraph 61 a of MCM, 1969 (Rev.), but the present<br />
provision has been expanded to include comparing the record of<br />
the referral on the charge sheet with the convening orders to<br />
ensure that they are consistent. The other matters in paragraphs<br />
61 a and b of MCM, 1969 (Rev.), are omitted here as unnecessary.<br />
The second paragraph in the discussion is based on paragraph<br />
58 c of MCM, 1969 (Rev.) and serves as a reminder of the<br />
ANALYSIS<br />
App. 21, R.C.M. 902<br />
A r t i c l e 3 5 r e q u i r e m e n t s . S e e U n i t e d S t a t e s v . P e r g a n d e , 4 9<br />
C.M.R. 28 (A.C.M.R. 1974). The failure to object is normally a<br />
waiver of the statutory right. United States v. Lumbus, 48 C.M.R.<br />
613 (A.C.M.R. 1974). Because of the importance of the right,<br />
however, the military judge should secure an affirmative waiver.<br />
See United States v. Perna, 1 U.S.C.M.A. 438, 4 C.M.R. 30<br />
(1952); United States v. Pergande, supra.<br />
(b) Announcement of parties. This subsection is based on paragraph<br />
61 c of MCM, 1969 (Rev.). Requiring an announcement is<br />
intended to guard against inadvertently proceeding in the absence<br />
of necessary personnel and to ensure that the record reflects the<br />
presence of required personnel. Failure to make the announcement<br />
is not error if it otherwise appears that no essential personnel<br />
were absent.<br />
(c) Swearing reporter and interpreter. This subsection and its<br />
discussion are taken directly from paragraph 61 d of MCM, 1969<br />
(Rev.).<br />
(d) Counsel. This subsection, except for subsection (4)(A) and<br />
(D), is based on paragraphs 61 e and f of MCM, 1969 (Rev.). The<br />
qualifications of counsel and matters which disqualify counsel are<br />
treated at R.C.M. 502(d) and are not repeated here. The subsection<br />
makes clear that at trial the military judge is responsible for<br />
determining whether counsel is disqualified, Soriano v. Hosken, 9<br />
M.J. 221 (C.M.A. 1980), and for seeing that appropriate action is<br />
taken. Of course, if a detailed counsel is disqualified the responsibility<br />
will fall upon the convening authority to rectify the problem.<br />
The discussion points out that defects in the qualification of<br />
counsel are not jurisdictional. Wright v. United States, 2 M.J. 9<br />
(C.M.A. 1976). Subsection (4)(A) has been added to conform to<br />
the requirements of United States v. Donohew, 18 U.S.C.M.A.<br />
149, 39 C.M.R. 149 (1969). Cf. Fed. R. Crim. P. 5(c). Subsection<br />
(4)(D) is based on Fed. R. Crim. P. 44(c) and United States v.<br />
Breese, 11 M.J. 17 (C.M.A. 1981). See also United States v.<br />
Davis, 3 M.J. 430 (C.M.A. 1977); United States v. Blakey, 1 M.J.<br />
247 (C.M.A. 1976); United States v. Evans, 1 M.J. 206 (C.M.A.<br />
1975).<br />
(e) Presence of members. This subsection is new. Its purpose is<br />
to eliminate unnecessary attendance by members. Accord Article<br />
39(a).<br />
Rule 902 Disqualification of military judge<br />
Introduction. This rule is based on 28 U.S.C. § 455, which is<br />
itself based on Canon III of the ABA Code of Judicial Conduct,<br />
and on paragraph 62 of MCM, 1969 (Rev.).<br />
T h e p r o c e d u r e s p r e s c r i b e d b y 2 8 U . S . C . § 1 4 4 w e r e n o t<br />
adopted. That statute provides that whenever a party “files a<br />
timely and sufficient affidavit that the judge before whom the<br />
matter is pending has a personal bias or prejudice either against<br />
him or in favor of any adverse party, such judge shall proceed no<br />
further therein.” This section does not establish a different test<br />
from 28 U.S.C. § 455 for disqualification for prejudice or bias.<br />
Instead, 28 U.S.C. § 144 provides a procedure mechanism by<br />
which the disqualification determination may be made. United<br />
States v. Sibla, 624 F.2d 864 (9th Cir. 1980); see also Parrish v.<br />
Board of Commissioners of Alabama State Bar, 524 F.2d 98 (5th<br />
Cir. 1975) (en banc), cert. denied, 425 U.S. 944 (1976).<br />
This procedure is not practicable for courts-martial because of<br />
the different structure of the military judiciary and the limited<br />
number of military judges.<br />
A21-51