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

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App. 21, R.C.M. 1104(a) APPENDIX 21 section allows greater flexibility to achieve prompt authentication and action in such cases. The second paragraph of the discussion is based on United States v. Credit, supra; United States v. Cruz- Rijos, 1 M.J. 429 (C.M.A. 1976). See also United States v. Lott, 9 M.J. 70 (C.M.A. 1980); Unites States v. Green, 7 M.J. 687 ( N . C . M . R . 1 9 7 9 ) ; U n i t e d S t a t e s v . L o w e r y , 1 M . J . 1 1 6 5 (N.C.M.R. 1977). The third paragraph of the discussion is based on United States v. Lott, supra; United States v.Credit, supra. 2002 Amendment: Subsection (a)(2)(A) was amended to imp l e m e n t t h e a m e n d m e n t t o 1 0 U . S . C . S e c . 8 1 9 ( A r t i c l e 1 9 , UCMJ) contained in section 577 of the National Defense Authorization Act for Fiscal Year 2000, P. L. No. 106-65, 113 Stat. 512 (1999) increasing the jurisdictional maximum punishment at special courts-martial. R.C.M. 1104(a)(2)(A) was amended to ensure that the military judge authenticates all verbatim records of trial at special courts-martial. (b) Service. Subsection (1)(A) is based on Article 54(d) and the first sentence of paragraph 82 g(1) of MCM, 1969 (Rev.) See also H.R. Rep. No. 2498, 81st Cong., 1st Sess. 1048 (1949). Subsection (1)(B) is based on the third through fifth sentences of the first paragraph of paragraph 82 g(1) of MCM, 1969 (Rev.). Subsection (1)(C) is based on H.R. Rep. No. 549, 98th Cong., 1st Sess. 15 (1983); United States v. Cruz-Rijos, supra. Service of the record of trial is now effectively a prerequisite to further disposition of the case. See Article 60(b) and (c)(2). As a result, inability to serve the accused could bring the proceeding to a halt. Such a result cannot have been intended by Congress. Article 60(b) and (c)(2) are intended to ensure that the accused and defense counsel have an adequate opportunity to present matters to the convening authority, and that they will have access to the record in order to do so. Cong. Rec. § 5612 (daily ed. April 28, 1983) (statement of Sen. Jepsen). As a practical matter, defense counsel, rather than the accused, will perform this function in most cases. See Article 38(c). Consequently, service of the record on defense counsel, as provided in this subsection, fulfills this purpose without unduly delaying further disposition. See United States v. Cruz-Rijos, supra. Note that if the accused had no counsel, or if the accused’s counsel could not be served, the convening authority could take action without serving the accused only if the accused was absent without authority. See R.C.M. 1105(d)(4) and Analysis. Subsection (1)(D) is based on the third and fourth paragraphs of paragraph 82 g(1) of MCM, 1969 (Rev.). (c) Loss of record. This subsection is based on paragraph 82 h of MCM, 1969 (Rev.). Note that if more than one copy of the record is authenticated then each may serve as the record of trial, even if the original is lost. (d) Correction of record after authentication; certificate of correction. Subsection (1) and the discussion are based on paragraph 86 c of MCM, 1969 (Rev.). See also the first paragraph of paragraph 95 of MCM, 1969 (Rev.). Subsection (2) is new and is based on United States v. Anderson, 12 M.J. 195 (C.M.A. 1982). See also ABA Standards, Special Functions of the Trial Judge § 6–1.6 (1978). The discussion is based on United States v. Anderson, supra. Subsection (3) is based on the second paragraph of paragraph 82 g(1) and paragraph 86 c of MCM, 1969 (Rev.). (e) Forwarding. This subsection is based on Article 60. The code no longer requires the convening authority to review the record. However, a record of trial must be prepared before the convening A21-84 authority takes action. See Article 60(b)(2) and (3), and (d). Therefore, it is appropriate to forward the record, along with other required matters, to the convening authority. This subsection is consistent with the first two sentences of paragraph 84 a of MCM, 1969 (Rev.). 2002 Amendment: Subsection (e) was amended to implement the amendment to 10 U.S.C. Sec. 819 (Article 19, UCMJ) contained in section 577 of the National Defense Authorization Act for Fiscal Year 2000, P. L. No. 106-65, 113 Stat. 512 (1999) i n c r e a s i n g t h e j u r i s d i c t i o n a l m a x i m u m p u n i s h m e n t a t s p e c i a l courts-martial. This amendment reflects the change to R.C.M. 1106 for special court- martial with an adjudged sentence that includes confinement for one year. Rule 1105 Matters submitted by the accused (a) In general. This subsection is based on Articles 38(c) and 60(b). See also paragraphs 48 k(2) and 77 a of MCM, 1969 (Rev.). (b) Matters which may be submitted. This subsection is based on Articles 38(c) and 60(b). The post-trial procedure as revised by the Military Justice Act of 1983, Pub.L. No. 98-209, 97 Stat. 1393 (1983) places a heavier responsibility on the defense to take steps to ensure that matters it wants considered are presented to the convening authority. Therefore this subsection provides guidance as to the types of matters which may be submitted. See Article 38(c). See also paragraph 48 k(3) and 77 a of MCM, 1969 (Rev.). Note that the matters the accused submits must be forwarded to the convening authority. See United States v. Siders, 15 M.J. 272 (C.M.A. 1983). As to the last paragraph in the discussion, see also Mil. R. Evid. 606(b) and Analysis; United States Bishop, 11 M.J. 7 (C.M.A. 1981); United States v. West , 23 U.S.C.M.A. 77, 48 C.M.R. 458 (1974); United States v. Bourchier, 5 U.S.C.M.A. 15, 17 C.M.R. 15 (1954). 1995 Amendment: The Discussion accompanying subsection (b)(4) was amended to reflect the new requirement, under R.C.M. 1106(d)(3)(B), that the staff judge advocate or legal advisor inform the convening authority of a recommendation for clemency by the sentencing authority, made in conjunction with the announced sentence. (c) Time periods. This subsection is based on Article 60(b). Subsection (4) clarifies the effect of post-trial sessions. A re-announcement of the same sentence would not start the time period anew. Subsection (5) is based on H.R. Rep. No. 549, 98th Cong., 1st Sess. 15 (1983). 1986 Amendment: Subsection (c) was revised to reflect amendments to Article 60, UCMJ, in the “Military Justice Amendments of 1986,” tit. VIII, § 806, National Defense Authorization Act for Fiscal Year 1987, Pub.L. No. 99–661, 100 Stat, 3905, (1986). These amendments simplify post-trial submissions by setting a simple baseline for calculating the time for submissions. 1994 Amendment: Subsection (c)(1) was amended to clarify that the accused has 10 days to respond to an addendum to a recommendation of the staff judge advocate or legal officer when t h e a d d e n d u m c o n t a i n s n e w m a t t e r . S e e U n i t e d S t a t e s v . Thompson, 25 M.J. 662 (A.F.C.M.R. 1987). An additional amendment permits the staff judge advocate to grant an extension of the 10-day period. (d) Waiver. Subsection (1) is based on Article 60(c)(2). Subsection (2) is based on Article 60(c)(2). This subsection clarifies that

the defense may submit matters in increments by reserving in writing its right to submit additional matters within the time period. In certain cases this may be advantageous to the defense as well as the Government, by permitting early consideration of such matters. Otherwise, if the defense contemplated presenting additional matters, it would have to withhold all matters until the end of the period. Subsection (3) is based on Article 60(b)(4). S u b s e c t i o n ( 4 ) e n s u r e s t h a t t h e a c c u s e d c a n n o t , b y a n u n - authorized absence, prevent further disposition of the case. Cf. United States v. Schreck, 10 M.J. 226 (C.M.A. 1983). Note that if the accused has counsel, counsel must be served a copy of the record (see R.C.M. 1104(b)(1)(C)) and that the defense will have at least 7 days from such service to submit matters. Note also that the unauthorized absence of the accused has no effect on the 30, 20, or 7 day period from announcement of the sentence within which the accused may submit matters (except insofar as it may weigh against any request to extend such a period). The discussion notes that the accused is not required to raise matters, such as allegations of legal error, in order to preserve them for consideration on appellate review. Rule 1106 Recommendation of the staff judge advocate or legal officer (a) In general. This subsection is based on Article 60(d), as amended, see Military Justice Act of 1983, Pub.L. No. 98-209, § 5(a)(1), 97 Stat. 1393 (1983). The first paragraph of paragraph 85 a of MCM, 1969 (Rev.) was similar. 2002 Amendment: Subsection (a) was amended to implement the amendment to 10 U.S.C. Sec. 819 (Article 19, UCMJ) contained in section 577 of the National Defense Authorization Act for Fiscal Year 2000, P. L. No. 106-65, 113 Stat. 512 (1999) i n c r e a s i n g t h e j u r i s d i c t i o n a l m a x i m u m p u n i s h m e n t a t s p e c i a l courts-martial. This amendment requires all special courts-martial cases subject to appellate review to comply with this rule. (b) Disqualification. This subsection is based on Article 6(c) and on the second paragraph of paragraph 85 a of MCM, 1969 (Rev.). Legal officers have been included in its application based on A r t i c l e 6 0 ( d ) . T h e d i s c u s s i o n n o t e s a d d i t i o n a l c i r c u m s t a n c e s which have been held to disqualify a staff judge advocate. The first example is based on United States v. Thompson, 3 M.J. 966 (N.C.M.R. 1977), rev’d on other grounds, 6 M.J. 106 (C.M.A. 1978), petition dismissed, 7 M.J. 477 (C.M.A. 1979). The second example is based on United States v. Choice, 23 U.S.C.M.A. 329, 49 C.M.R. 663 (1975). See also United States v. Cansdale, 7 M.J. 143 (C.M.A. 1979); United States v. Conn, 6 M.J. 351 (C.M.A. 1979); United States v. Reed, 2 M.J. 64 (C.M.A. 1976). The third example is based on United States v. Conn and United States v. Choice, both supra. Cf. Articles 1(9); 6(c); 22(b); 23(b). The fourth example is based on United States v. Collins, 6 M.J. 256 ( C . M . A . 1 9 7 9 ) ; U n i t e d S t a t e s v . E n g l e , 1 M . J . 3 8 7 ( C . M . A . 1976). See also United States v. Newman, 14 M.J. 474 (C.M.A. 1983) as to the disqualification of a staff judge advocate or convening authority when immunity has been granted to a witness in the case. 1986 Amendment: The phrase “or any reviewing officer” was changed to “to any reviewing officer” to correct an error in MCM, 1984. (c) When the convening authority does not have a staff judge advocate or legal officer or that person is disqualified. Subsec- ANALYSIS App. 21, R.C.M. 1106(f) tion (1) is based on the third paragraph of paragraph 85 a of MCM, 1969 (Rev.). Legal officers have been included in its application based on Article 60(d). Subsection (2) is new. It recognizes the advantages of having the recommendation prepared by a staff judge advocate. This flexibility should also permit more prompt disposition in some cases as well. ( d ) F o r m a n d c o n t e n t o f r e c o m m e n d a t i o n . T h i s s u b s e c t i o n i s based on Article 60(d) and on S.Rep. No. 53, 98th Cong., 1st Sess. 20 (1983). As to the subsection (1), see also Article 60(c). Subsections (3), (4), and (5) conform to the specific guidance in S.Rep. No. 53, supra. Subsection (6) is based on S.Rep. No. 53, 98th Cong., 1st Sess. 21 (1983). The recommendation should be a concise statement of required and other matters. Summarization of the evidence and review for legal error is not required. Therefore paragraph 85 b of MCM, 1969 (Rev.) is deleted. Paragraph 85 c of MCM, 1969 (Rev.) is also deleted. That paragraph stated that the convening authority should explain any decision not to follow the staff judge advocate’s recommendation. See also United States v. Harris, 10 M.J. 276 (C.M.A. 1981); United States v. Dixson, 9 M.J. 72 (C.M.A. 1980); United States v. Keller, 1 M.J. 159 (C.M.A. 1976). The convening authority is no longer required to examine the record for legal or factual sufficiency. The convening authority’s action is solely a matter of command prerogative. Article 60(c). Therefore the convening authority is not obligated to explain a decision not to follow the recommendation of the staff judge advocate or legal officer. 1995 Amendment: Subsection (d)(3)(B) is new. It requires that the staff judge advocate’s or legal advisor’s recommendation inform the convening authority of any clemency recommendation made by the sentencing authority in conjunction with the announced sentence, absent a written request by the defense to the contrary. Prior to this amendment, an accused was responsible for informing the convening authority of any such recommendation. The amendment recognizes that any clemency recommendation is so closely related to the sentence that staff judge advocates and legal advisors should be responsible for informing convening authorities of it. The accused remains responsible for informing the convening authority of other recommendations for clemency, including those made by the military judge in a trial with member sentencing and those made by individual members. See United States v. Clear, 34 M.J. 129 (C.M.A. 1992); R.C.M. 1105(b)(4). Subsections (d)(3)(B) - (d)(3)(E) are redesignated as (d)(3)(C) - (d)(3)(F), respectively., (e) No findings of guilty. This subsection is based on Article 60 and 63. When no findings of guilty are reached, no action by the convening authority is required. Consequently, no recommendation by the staff judge advocate or legal officer is necessary. The last paragraph of paragraph 85 b of MCM, 1969 (Rev.), which was based on Article 61 (before it was amended), was similar. 1990 Amendment: Subsection (e) was amended in conjunction with the implementation of findings of not guilty only by reason of lack of mental responsibility provided for in Article 50 a, UCMJ (Military Justice Amendments of 1986, tit. VIII, § 802, National Defense Authorization Act for Fiscal Year 1987, Pub. L. 99-661, 100 Stat. 3905 (1986)). (f) Service of recommendation on defense counsel; defense response. This subsection is based on Article 60(d). See also United States v. Goode, 1 M.J. 3 (C.M.A. 1975). Subsection (1) is based A21-85

the defense may submit matters in increments by reserving in<br />

writing its right to submit additional matters within the time<br />

period. In certain cases this may be advantageous to the defense<br />

as well as the Government, by permitting early consideration of<br />

such matters. Otherwise, if the defense contemplated presenting<br />

additional matters, it would have to withhold all matters until the<br />

end of the period. Subsection (3) is based on Article 60(b)(4).<br />

S u b s e c t i o n ( 4 ) e n s u r e s t h a t t h e a c c u s e d c a n n o t , b y a n u n -<br />

authorized absence, prevent further disposition of the case. Cf.<br />

United States v. Schreck, 10 M.J. 226 (C.M.A. 1983). Note that if<br />

the accused has counsel, counsel must be served a copy of the<br />

record (see R.C.M. 1104(b)(1)(C)) and that the defense will have<br />

at least 7 days from such service to submit matters. Note also that<br />

the unauthorized absence of the accused has no effect on the 30,<br />

20, or 7 day period from announcement of the sentence within<br />

which the accused may submit matters (except insofar as it may<br />

weigh against any request to extend such a period). The discussion<br />

notes that the accused is not required to raise matters, such<br />

as allegations of legal error, in order to preserve them for consideration<br />

on appellate review.<br />

Rule 1106 Recommendation of the staff judge<br />

advocate or legal officer<br />

(a) In general. This subsection is based on Article 60(d), as<br />

amended, see Military Justice Act of 1983, Pub.L. No. 98-209, §<br />

5(a)(1), 97 Stat. 1393 (1983). The first paragraph of paragraph 85<br />

a of MCM, 1969 (Rev.) was similar.<br />

2002 Amendment: Subsection (a) was amended to implement<br />

the amendment to 10 U.S.C. Sec. 819 (Article 19, UCMJ) contained<br />

in section 577 of the National Defense Authorization Act<br />

for Fiscal Year 2000, P. L. No. 106-65, 113 Stat. 512 (1999)<br />

i n c r e a s i n g t h e j u r i s d i c t i o n a l m a x i m u m p u n i s h m e n t a t s p e c i a l<br />

courts-martial. This amendment requires all special courts-martial<br />

cases subject to appellate review to comply with this rule.<br />

(b) Disqualification. This subsection is based on Article 6(c) and<br />

on the second paragraph of paragraph 85 a of MCM, 1969 (Rev.).<br />

Legal officers have been included in its application based on<br />

A r t i c l e 6 0 ( d ) . T h e d i s c u s s i o n n o t e s a d d i t i o n a l c i r c u m s t a n c e s<br />

which have been held to disqualify a staff judge advocate. The<br />

first example is based on United States v. Thompson, 3 M.J. 966<br />

(N.C.M.R. 1977), rev’d on other grounds, 6 M.J. 106 (C.M.A.<br />

1978), petition dismissed, 7 M.J. 477 (C.M.A. 1979). The second<br />

example is based on United States v. Choice, 23 U.S.C.M.A. 329,<br />

49 C.M.R. 663 (1975). See also United States v. Cansdale, 7 M.J.<br />

143 (C.M.A. 1979); United States v. Conn, 6 M.J. 351 (C.M.A.<br />

1979); United States v. Reed, 2 M.J. 64 (C.M.A. 1976). The third<br />

example is based on United States v. Conn and United States v.<br />

Choice, both supra. Cf. Articles 1(9); 6(c); 22(b); 23(b). The<br />

fourth example is based on United States v. Collins, 6 M.J. 256<br />

( C . M . A . 1 9 7 9 ) ; U n i t e d S t a t e s v . E n g l e , 1 M . J . 3 8 7 ( C . M . A .<br />

1976). See also United States v. Newman, 14 M.J. 474 (C.M.A.<br />

1983) as to the disqualification of a staff judge advocate or<br />

convening authority when immunity has been granted to a witness<br />

in the case.<br />

1986 Amendment: The phrase “or any reviewing officer” was<br />

changed to “to any reviewing officer” to correct an error in<br />

MCM, 1984.<br />

(c) When the convening authority does not have a staff judge<br />

advocate or legal officer or that person is disqualified. Subsec-<br />

ANALYSIS<br />

App. 21, R.C.M. 1106(f)<br />

tion (1) is based on the third paragraph of paragraph 85 a of<br />

MCM, 1969 (Rev.). Legal officers have been included in its<br />

application based on Article 60(d). Subsection (2) is new. It<br />

recognizes the advantages of having the recommendation prepared<br />

by a staff judge advocate. This flexibility should also permit<br />

more prompt disposition in some cases as well.<br />

( d ) F o r m a n d c o n t e n t o f r e c o m m e n d a t i o n . T h i s s u b s e c t i o n i s<br />

based on Article 60(d) and on S.Rep. No. 53, 98th Cong., 1st<br />

Sess. 20 (1983). As to the subsection (1), see also Article 60(c).<br />

Subsections (3), (4), and (5) conform to the specific guidance in<br />

S.Rep. No. 53, supra. Subsection (6) is based on S.Rep. No. 53,<br />

98th Cong., 1st Sess. 21 (1983). The recommendation should be a<br />

concise statement of required and other matters. Summarization<br />

of the evidence and review for legal error is not required. Therefore<br />

paragraph 85 b of MCM, 1969 (Rev.) is deleted.<br />

Paragraph 85 c of MCM, 1969 (Rev.) is also deleted. That<br />

paragraph stated that the convening authority should explain any<br />

decision not to follow the staff judge advocate’s recommendation.<br />

See also United States v. Harris, 10 M.J. 276 (C.M.A. 1981);<br />

United States v. Dixson, 9 M.J. 72 (C.M.A. 1980); United States<br />

v. Keller, 1 M.J. 159 (C.M.A. 1976). The convening authority is<br />

no longer required to examine the record for legal or factual<br />

sufficiency. The convening authority’s action is solely a matter of<br />

command prerogative. Article 60(c). Therefore the convening authority<br />

is not obligated to explain a decision not to follow the<br />

recommendation of the staff judge advocate or legal officer.<br />

1995 Amendment: Subsection (d)(3)(B) is new. It requires that<br />

the staff judge advocate’s or legal advisor’s recommendation inform<br />

the convening authority of any clemency recommendation<br />

made by the sentencing authority in conjunction with the announced<br />

sentence, absent a written request by the defense to the<br />

contrary. Prior to this amendment, an accused was responsible for<br />

informing the convening authority of any such recommendation.<br />

The amendment recognizes that any clemency recommendation is<br />

so closely related to the sentence that staff judge advocates and<br />

legal advisors should be responsible for informing convening authorities<br />

of it. The accused remains responsible for informing the<br />

convening authority of other recommendations for clemency, including<br />

those made by the military judge in a trial with member<br />

sentencing and those made by individual members. See United<br />

States v. Clear, 34 M.J. 129 (C.M.A. 1992); R.C.M. 1105(b)(4).<br />

Subsections (d)(3)(B) - (d)(3)(E) are redesignated as (d)(3)(C) -<br />

(d)(3)(F), respectively.,<br />

(e) No findings of guilty. This subsection is based on Article 60<br />

and 63. When no findings of guilty are reached, no action by the<br />

convening authority is required. Consequently, no recommendation<br />

by the staff judge advocate or legal officer is necessary. The<br />

last paragraph of paragraph 85 b of MCM, 1969 (Rev.), which<br />

was based on Article 61 (before it was amended), was similar.<br />

1990 Amendment: Subsection (e) was amended in conjunction<br />

with the implementation of findings of not guilty only by reason<br />

of lack of mental responsibility provided for in Article 50 a,<br />

UCMJ (Military Justice Amendments of 1986, tit. VIII, § 802,<br />

National Defense Authorization Act for Fiscal Year 1987, Pub. L.<br />

99-661, 100 Stat. 3905 (1986)).<br />

(f) Service of recommendation on defense counsel; defense response.<br />

This subsection is based on Article 60(d). See also United<br />

States v. Goode, 1 M.J. 3 (C.M.A. 1975). Subsection (1) is based<br />

A21-85

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