2008 edition - Fort Sam Houston - U.S. Army

2008 edition - Fort Sam Houston - U.S. Army 2008 edition - Fort Sam Houston - U.S. Army

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App. 21, R.C.M. 1004(d) APPENDIX 21 nation is required. See Article 52(a)(1). The rule provides for sentencing proceedings to take place, so that reviewing authorities will have the benefit of any additional relevant information. The Supreme Court has held a mandatory death penalty to be unconstitutional for murder. Woodson v. North Carolina, supra; Roberts (Stanislaus) v. Louisiana, supra. It has not held that a mandatory death penalty is unconstitutional for any offense. See Roberts (Harry) v. Louisiana, supra at 637 n. 5. In holding a mandatory death sentence for murder to be unconstitutional, the plurality in Woodson emphasized that the prevailing view before Furman v. Georgia, supra, was decidedly against mandatory death for murder. Contrarily, death has consistently been the sole penalty for spying in wartime since 1806. See W. Winthrop, Military Law and Precedents 765–66 (2d ed. 1920 reprint). Before 1920 the statue making spying in time of war triable by court-martial and punishable by death was not part of the Articles of War. Id. See A.W. 82 (Act of 4 June 1920, Ch. 227, 41 Stat. 804). (e) Other penalties. The second sentence of this subsection is based on the second sentence of the third paragraph of paragraph 126 a of MCM, 1969 (Rev.), which was in turn based on JAGA 1946/10582; SPJGA 1945/9511; United States v. Brewster, CM 238138, 24 B.R. 173 (1943). As to the third sentence of this subsection,see also United States v. Bigger, 2 U.S.C.M.A. 297, 8 C.M.R. 97 (1953); W. Winthrop, supra at 428, 434. 2002 Amendment: This change resulted from the enactment of Article 56a, UCMJ, in section 581 of the National Defense Authorization Act for Fiscal Year 1998, Pub. L. No. 105-85, 111 Stat. 1629, 1759 (1997). Rule 1005 Instructions on sentence Introduction. Except as noted below, this rule and the discussion are taken from paragraph 76 b(1) of MCM, 1969 (Rev.). (a) In general. Regarding the discussion see generally United States v. Mamaluy, 10 U.S.C.M.A. 102, 106-07, 27 C.M.R. 176, 180-81 (1959). See also United States v. Lania, 9 M.J. 100 ( C . M . A . 1 9 8 0 ) ( u s e o f g e n e r a l d e t e r r e n c e ) ; U n i t e d S t a t e s v . Smalls, 6 M.J. 346 (C.M.A. 1979); United States v. Slaton, 6 M.J. 254 (C.M.A. 1979) (mental impairment as matter in mitigation); United States v. Keith, 22 U.S.C.M.A. 59, 46 C.M.R. 59 (1972) (recommendation for clemency); United States v. Condon, 42 C . M . R . 4 2 1 ( A . C . M . R . 1 9 7 0 ) ( e f f e c t o f a c c u s e d ’ s a b s e n c e ) ; United States v. Larochelle, 41 C.M.R. 915 A.F.C.M.R. 1969) (Vietnam service). (b) When given. See Fed. R. Crim. P. 30 and paragraph 74 e of MCM, 1969 (Rev.). (c) Requests for instructions. See Fed. R. Crim. P. 30 andUnited States v. Neal, 17 U.S.C.M.A. 363, 38 C.M.R. 161 (1968). The discussion is based on Fed. R. Crim. P. 30 and paragraph 73 d of MCM, 1969 (Rev.). (d) How given. See Analysis, R.C.M. 921(d). (e) Required instructions. The reference in the fourth sentence of the discussion of subsection (1) to rehearing or new or other trial is based on paragraph 81 d(1) of MCM, 1969 (Rev.). The second sentence of the first paragraph and the second paragraph of the discussion to (1) are based on United States v. Henderson, 11 M.J. 395 (C.M.A. 1981). The last clause of subsection (3) is based on United States v. Givens, 11 M.J. 694, 696 (N.M.C.M.R. A21-78 1981). The discussion under subsection (4) is based on the third s e n t e n c e o f p a r a g r a p h 7 6 b ( 1 ) o f M C M , 1 9 6 9 ( R e v . ) a n d onUnited States v. Davidson, 14 M.J. 81 (C.M.A. 1982). 1998 Amendment: The requirement to instruct members on the effect a sentence including a punitive discharge and confinement, or confinement exceeding six months, may have on adjudged forfeitures was made necessary by the creation of Article 58b, UCMJ, in section 1122, National Defense Authorization Act for F i s c a l Y e a r 1 9 9 6 , P u b . L . N o . 1 0 4 - 1 0 6 , 1 1 0 S t a t . 1 8 6 , 4 6 3 (1996). (f) Waived. This subsection is based on Fed. R. Crim. P. 30. Rule 1006 Deliberations and voting on sentence Introduction. Except as noted below, this rule and the discussion are based on Articles 51 and 52 and on paragraphs 76 b(2) and (3) of MCM, 1969 (Rev.). (a) In general. The first sentence is based on the first sentence of paragraph 76 b(1) of MCM, 1969 (Rev.). (b) Deliberations. See Analysis, R.C.M. 921(b) concerning the second, third, and fourth sentences of this subsection. See also United States v. Lampani, 14 M.J. 22 (C.M.A. 1982). (c) Proposal of sentences. The second clause of the second sentence of this subsection is new and recognizes the unitary sentence concept. See United States v. Gutierrez, 11 M.J. 122, 123 (C.M.A.1981). See generally Jackson v. Taylor, 353 U.S. 569 (1957). 2002 Amendment: This change to the discussion resulted from the enactment of Article 56a, UCMJ, in section 581 of the National Defense Authorization Act for Fiscal Year 1998, Pub. L. No. 105-85, 111 Stat. 1629, 1759 (1997). (d) Voting. As to subsection (3)(A) see United States v. Hendon, 6 M.J. 171, 172–73 (C.M.A. 1979); United States v. Cates, 39 C.M.R. 474 (A.B.R. 1968). 2002 Amendment: Subsection (d)(4)(B) was amended as a result of the enactment of Article 56a, UCMJ, in section 581 of the National Defense Authorization Act for Fiscal Year 1998, Pub. L. No. 105-85, 111 Stat. 1629, 1759 (1997). As to subsection (d)(5), the second sentence of the third paragraph of paragraph 76 b(2) of MCM, 1969 (Rev.) has been limited to Article 118 offenses because, unlike Article 106, findings on an Article 118 offense do not automatically determine the s e n t e n c e a n d d o n o t r e q u i r e a u n a n i m o u s v o t e . S e e A r t i c l e s 52(a)(1) and (2). Thus a separate vote on sentence for an Article 105 offense is unnecessary. A s t o s u b s e c t i o n ( d ) ( 6 ) s e e U n i t e d S t a t e s v . J o n e s , 1 4 U.S.C.M.A. 177, 33 C.M.R. 389 (1963). The reference to no punishment was added to recognize this added alternative. (e) Action after sentence is reached. See United States v. Justice, 3 M.J. 451, 453 (C.M.A. 1977). The second paragraph of the discussion is based on the second sentence of paragraph 76 c. Rule 1007 Announcement of sentence Introduction. Except as noted below, this rule and the discussion are based on paragraph 76 c of MCM, 1969 (Rev.). (a) In general. The discussion is based on United States v. Henderson , 11 M.J. 395 (C.M.A. 1981); United States v. Crawford, 12 U.S.C.M.A. 203, 30 C.M.R. 203 (1961). The requirement that the sentence announcement include a ref-

erence to the percentage of agreement or an affirmation that voting was by secret written ballot has been deleted. Article 53 does not require such an announcement, and when instructions incorporating such matters are given, the court-martial “is presumed to have complied with the instructions given them by the judge.” United States v. Ricketts, 1 M.J.. 78, 82 (C.M.A. 1975). See United States v. Jenkins, 12 M.J. 222 (C.M.A. 1982). Cf. United States v. Hendon, 6 M.J. 171, 173–74 (C.M.A. 1979). (c) Polling prohibited. See Analysis, Rule 923(e). Rule 1008 Impeachment of sentence This rule is based on Mil. R. Evid. 606(b) and United States v. West, 23 U.S.C.M.A. 77, 48 C.M.R. 548 (1974). See United States v. Bishop, 11 M.J. 7 (C.M.A. 1981). Rule 1009 Reconsideration of sentence Introduction. Except as noted below, this rule and discussion are based on Articles 52(c) and 62 and paragraphs 76 c and d of MCM, 1969 (Rev.). (c) Initiation of reconsideration. Subsection (2)(A) was added to remedy the situation addressed in United States v. Taylor, 9 M.J. 848 (N.C.M.R. 1980). It is intended that the military judge have the authority to reduce a sentence imposed by that judge based on changed circumstances, as long as the case remained under that j u d g e ’ s j u r i s d i c t i o n . S i n c e t h i s a c t i o n “ u n d e r c u t s t h e r e v i e w powers” (Id. at 850) only to the extent that it reduces the upper limits available to reviewing authorities, there is no reason to prevent the military judge from considering additional matters before finalizing the sentence with authentication. Furthermore, granting the military judge power to reconsider an announced sentence recognizes that when sitting without members, the judge performs the same functions as the members. See Article 16. The procedures in subsection (2)(B) are necessary corollaries of those set out in the fifth and sixth sentences of paragraph 76 c, MCM, 1969 (Rev.) adapted to the rules for reconsideration. This clarifies that a formal vote to reconsider is necessary when reconsideration is initiated by the military judge. MCM, 1969 (Rev.) was unclear in this regard. See United States v. King, 13 M.J. 838 (A.C.M.R.), pet. denied, 14 M.J. 232 (1982). Subsection (3) is based on Article 62(b) and United States v. Jones, 3 M.J. 348 (C.M.A. 1977). (d) Procedure with members. Subsection (1) is based on the general requirement for instructions on voting procedure. See United States v. Johnson, 18 U.S.C.M.A. 436, 40 C.M.R. 148 (1969). It applies whether reconsideration is initiated by the military judge or a member, since R.C.M. 1006(d)(3)(A) does not permit further voting after a sentence is adopted and there is no authority for the military judge to suspend that provision. 1995 Amendment: This rule was changed to prevent a sentencing authority from reconsidering a sentence announced in open session. Subsection (b) was amended to allow reconsideration if the sentence was less than the mandatory maximum prescribed for the offense or the sentence exceeds the maximum permissible punishment for the offense or the jurisdictional limitation of the court-martial. Subsection (c) is new and provides for the military judge to clarify an announced sentence that is ambiguous. Subsection (d) provides for the convening authority to exercise dis- ANALYSIS App. 21, R.C.M. 1101(B) c r e t i o n a r y a u t h o r i t y t o r e t u r n a n a m b i g u o u s s e n t e n c e f o r clarification, or take action consistent with R.C.M. 1107. 2002 Amendment: Subsection (e)(3)(B)(ii) was amended as a result of the enactment of Article 56a, UCMJ, in section 581 of the National Defense Authorization Act for Fiscal Year 1998, Pub. L. No. 105-85, 111 Stat. 1629, 1759 (1997). Rule 1010 Advice concerning post-trial and appellate rights This rule is based on S.Rep. No. 53, 98th Cong., 1st Sess. 18 (1983). See also Articles 60, 61, 64, 66, 67, and 69. It is similar t o F e d . R . C r i m . P . 3 2 ( a ) ( 2 ) , b u t i s b r o a d e r i n t h a t i t a p p l i e s whether or not the accused pleaded guilty. This is because the accused’s post-trial and appellate rights are the same, regardless of the pleas, and because the powers of the convening authority and the Court of Criminal Appeals to reduce the sentence are important even if the accused has pleaded guilty. 1986 Amendment: This rule was changed to delete subsection- (b) which required an inquiry by the military judge. The Senate Report addresses only advice; inquiry to determine the accused’s understanding is deemed unnecessary in view of the defense counsel’s responsibility in this area. 1991 Amendment: This rule was changed to place the responsibility for informing the accused of post-trial and appellate rights on the defense counsel rather than the military judge. Counsel is better suited to give this advisement in an atmosphere in which the accused is more likely to comprehend the complexities of the rights. Rule 1011 Adjournment This rule is based on paragraph 77 b of MCM, 1969 (Rev.). CHAPTER XI. POST-TRIAL PROCEDURE Rule 1101 Report of result of trial; post-trial restraint; deferment of confinement (A) Report of the result of trial. This subsection is based on the first two sentences of paragraph 44 e of MCM, 1969 (Rev.). (B) Post-trial confinement. Subsection (1) is based on Article 57(b) and on the last sentence of paragraph 44 e of MCM, 1969 (Rev.). Subsection (1) makes clear that confinement is authorized when death is adjudged, even if confinement is not also adjudged. See United States v. Matthews, 13 M.J. 501 (A.C.M.R.), rev’d on other grounds, 16 M.J. 354 (C.M.A. 1983). See also R.C.M. 1004(e) and Analysis. Subsection (2) is based on Article 57 and on paragraph 21 d of MCM, 1969 (Rev.). The person who orders the accused into confinement need not be the convening authority. See Reed v. Ohman, 19 U.S.C.M.A. 110, 41 C.M.R. 110 (1969); Levy v. Resor, 17 U.S.C.M.A. 135, 37 C.M.R. 399 (1967). The convening authority may withhold such authority from subordinates. Article 57(b) provides that a sentence to confinement begins to run as soon as the sentence is adjudged. The mechanism for an accused to seek release from confinement pending appellate review is to request deferment of confinement under Article 57(d). See S.Rep. No. 1601, 90th Cong., 2d Sess. 13-14 (1968); Pearson v. Cox, 10 M.J. 317 (C.M.A. 1981). See subsection (c) of this rule. The purpose of subsection (2) is to provide a prompt, conven- A21-79

erence to the percentage of agreement or an affirmation that<br />

voting was by secret written ballot has been deleted. Article 53<br />

does not require such an announcement, and when instructions<br />

incorporating such matters are given, the court-martial “is presumed<br />

to have complied with the instructions given them by the<br />

judge.” United States v. Ricketts, 1 M.J.. 78, 82 (C.M.A. 1975).<br />

See United States v. Jenkins, 12 M.J. 222 (C.M.A. 1982). Cf.<br />

United States v. Hendon, 6 M.J. 171, 173–74 (C.M.A. 1979).<br />

(c) Polling prohibited. See Analysis, Rule 923(e).<br />

Rule 1008 Impeachment of sentence<br />

This rule is based on Mil. R. Evid. 606(b) and United States<br />

v. West, 23 U.S.C.M.A. 77, 48 C.M.R. 548 (1974). See United<br />

States v. Bishop, 11 M.J. 7 (C.M.A. 1981).<br />

Rule 1009 Reconsideration of sentence<br />

Introduction. Except as noted below, this rule and discussion<br />

are based on Articles 52(c) and 62 and paragraphs 76 c and d of<br />

MCM, 1969 (Rev.).<br />

(c) Initiation of reconsideration. Subsection (2)(A) was added to<br />

remedy the situation addressed in United States v. Taylor, 9 M.J.<br />

848 (N.C.M.R. 1980). It is intended that the military judge have<br />

the authority to reduce a sentence imposed by that judge based on<br />

changed circumstances, as long as the case remained under that<br />

j u d g e ’ s j u r i s d i c t i o n . S i n c e t h i s a c t i o n “ u n d e r c u t s t h e r e v i e w<br />

powers” (Id. at 850) only to the extent that it reduces the upper<br />

limits available to reviewing authorities, there is no reason to<br />

prevent the military judge from considering additional matters<br />

before finalizing the sentence with authentication. Furthermore,<br />

granting the military judge power to reconsider an announced<br />

sentence recognizes that when sitting without members, the judge<br />

performs the same functions as the members. See Article 16.<br />

The procedures in subsection (2)(B) are necessary corollaries<br />

of those set out in the fifth and sixth sentences of paragraph 76 c,<br />

MCM, 1969 (Rev.) adapted to the rules for reconsideration. This<br />

clarifies that a formal vote to reconsider is necessary when reconsideration<br />

is initiated by the military judge. MCM, 1969 (Rev.)<br />

was unclear in this regard. See United States v. King, 13 M.J. 838<br />

(A.C.M.R.), pet. denied, 14 M.J. 232 (1982).<br />

Subsection (3) is based on Article 62(b) and United States v.<br />

Jones, 3 M.J. 348 (C.M.A. 1977).<br />

(d) Procedure with members. Subsection (1) is based on the general<br />

requirement for instructions on voting procedure. See United<br />

States v. Johnson, 18 U.S.C.M.A. 436, 40 C.M.R. 148 (1969). It<br />

applies whether reconsideration is initiated by the military judge<br />

or a member, since R.C.M. 1006(d)(3)(A) does not permit further<br />

voting after a sentence is adopted and there is no authority for the<br />

military judge to suspend that provision.<br />

1995 Amendment: This rule was changed to prevent a sentencing<br />

authority from reconsidering a sentence announced in open<br />

session. Subsection (b) was amended to allow reconsideration if<br />

the sentence was less than the mandatory maximum prescribed<br />

for the offense or the sentence exceeds the maximum permissible<br />

punishment for the offense or the jurisdictional limitation of the<br />

court-martial. Subsection (c) is new and provides for the military<br />

judge to clarify an announced sentence that is ambiguous. Subsection<br />

(d) provides for the convening authority to exercise dis-<br />

ANALYSIS<br />

App. 21, R.C.M. 1101(B)<br />

c r e t i o n a r y a u t h o r i t y t o r e t u r n a n a m b i g u o u s s e n t e n c e f o r<br />

clarification, or take action consistent with R.C.M. 1107.<br />

2002 Amendment: Subsection (e)(3)(B)(ii) was amended as a<br />

result of the enactment of Article 56a, UCMJ, in section 581 of<br />

the National Defense Authorization Act for Fiscal Year 1998,<br />

Pub. L. No. 105-85, 111 Stat. 1629, 1759 (1997).<br />

Rule 1010 Advice concerning post-trial and<br />

appellate rights<br />

This rule is based on S.Rep. No. 53, 98th Cong., 1st Sess. 18<br />

(1983). See also Articles 60, 61, 64, 66, 67, and 69. It is similar<br />

t o F e d . R . C r i m . P . 3 2 ( a ) ( 2 ) , b u t i s b r o a d e r i n t h a t i t a p p l i e s<br />

whether or not the accused pleaded guilty. This is because the<br />

accused’s post-trial and appellate rights are the same, regardless<br />

of the pleas, and because the powers of the convening authority<br />

and the Court of Criminal Appeals to reduce the sentence are<br />

important even if the accused has pleaded guilty.<br />

1986 Amendment: This rule was changed to delete subsection-<br />

(b) which required an inquiry by the military judge. The Senate<br />

Report addresses only advice; inquiry to determine the accused’s<br />

understanding is deemed unnecessary in view of the defense<br />

counsel’s responsibility in this area.<br />

1991 Amendment: This rule was changed to place the responsibility<br />

for informing the accused of post-trial and appellate rights<br />

on the defense counsel rather than the military judge. Counsel is<br />

better suited to give this advisement in an atmosphere in which<br />

the accused is more likely to comprehend the complexities of the<br />

rights.<br />

Rule 1011 Adjournment<br />

This rule is based on paragraph 77 b of MCM, 1969 (Rev.).<br />

CHAPTER XI. POST-TRIAL PROCEDURE<br />

Rule 1101 Report of result of trial; post-trial<br />

restraint; deferment of confinement<br />

(A) Report of the result of trial. This subsection is based on the<br />

first two sentences of paragraph 44 e of MCM, 1969 (Rev.).<br />

(B) Post-trial confinement. Subsection (1) is based on Article<br />

57(b) and on the last sentence of paragraph 44 e of MCM, 1969<br />

(Rev.). Subsection (1) makes clear that confinement is authorized<br />

when death is adjudged, even if confinement is not also adjudged.<br />

See United States v. Matthews, 13 M.J. 501 (A.C.M.R.), rev’d on<br />

other grounds, 16 M.J. 354 (C.M.A. 1983). See also R.C.M.<br />

1004(e) and Analysis.<br />

Subsection (2) is based on Article 57 and on paragraph 21 d of<br />

MCM, 1969 (Rev.). The person who orders the accused into<br />

confinement need not be the convening authority. See Reed v.<br />

Ohman, 19 U.S.C.M.A. 110, 41 C.M.R. 110 (1969); Levy v.<br />

Resor, 17 U.S.C.M.A. 135, 37 C.M.R. 399 (1967). The convening<br />

authority may withhold such authority from subordinates.<br />

Article 57(b) provides that a sentence to confinement begins to<br />

run as soon as the sentence is adjudged. The mechanism for an<br />

accused to seek release from confinement pending appellate review<br />

is to request deferment of confinement under Article 57(d).<br />

See S.Rep. No. 1601, 90th Cong., 2d Sess. 13-14 (1968); Pearson<br />

v. Cox, 10 M.J. 317 (C.M.A. 1981). See subsection (c) of this<br />

rule.<br />

The purpose of subsection (2) is to provide a prompt, conven-<br />

A21-79

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