Opinion · Court of Appeals for the Armed Forces
United States v. Moreno
63 M.J. 129
- Type
- Opinion
- Court
- Court of Appeals for the Armed Forces
- Jurisdiction
- Federal
- Date
- 2006-05-11
- Topic
- general
concluding that 1,688 days from conclusion of trial to the CCA’s first and only decision was unreasonable | holding that in the post-trial context, each time period is reviewed individually “because the reasons for the delay may be different at each stage and different parties are responsible for the timely completion of each segment” | explaining that “less draconian” measures would, at least for the time being, be sufficient to “deter ... delays” | explaining that “less draconian” measures would, at least for the time being, be sufficient to “deter . . . delays” | noting that we apply “a more flexible review” of the CCA’s review period, “recognizing that it involves the exercise of [their] judicial decision-making authority” | noting that we apply “a more flexible review” of the CCA’s review period, “recognizing that it involves the exercise of [their] judicial decision-making authority” | establishing that a delay greater than 18-month in a service court's review of a case is presumptively unreasonable | establishing that a delay greater than 18-months in a service court’s review of a case is presumptively unreasonable | establishing that a delay greater than 18 months in the review of a case by a Court of Criminal Appeals is presumptively unreasonable | recognizing a presumption of unreasonable delay after 120 days of post-trial delay in processing a case | noting that this Court conducts a case-by-case analysis to determine if a given delay is facially unreasonable | recognizing a presumption of unreasonable delay after 120 days of post-trial delay in processing a case | noting that “mere speculation” is insufficient to prevail when considering whether delay impaired an appellant’s grounds for appeal or a defense in the event of reversal and retrial | finding that although the appellant did not assert his right to timely review, this factor would not weigh heavily against him due to the Government’s post-trial review responsibilities | recognizing “a presumption of unreasonable delay . . . . where the action of the convening authority is not taken within 120 days of the completion of trial | recognizing “a presumption of unreasonable delay . . . . where the action of the convening authority is not taken within 120 days of the completion of trial” | holding a period of six months for a CCA to issue its decision after the appel- lant’s case was joined was “not an unreasonable time for review by the [CCA]” | finding that a 490- day delay during the same time period was presumptively unreasonable | holding “[t]he Government bears responsibility” of ex- plaining the reasons for delay | setting forth a fixed period of 120 days between the completion of the trial and convening authority action | stating that an appellant must succeed in a substantive claim | stating that an appellant must succeed in a substantive claim | setting forth a fixed period of 120 days between the completion of the trial and convening authority action | recognizing a presumption of unreasonable delay in cases where action is not taken within 120 days of the completion of trial and where the record of trial is not docketed at this court within thirty days of action | recognizing a presumption of unreasonable delay in cases where action is not taken within 120 days of the completion of trial and where the record of trial is not docketed at this court within 30 days of action | recognizing a presumption of unreasonable delay in cases where action is not taken within 120 days of the completion of trial and where the record of trial is not docketed at this court within 30 days of action | recognizing a presumption of unreasonable delay in cases where action is not taken within 120 days of the completion of trial and where the record of trial is not docketed at this court within 30 days of action | creating a presumption of unreasonable delay where the convening authority does not act within 120 days of the completion of trial | establishing a presumption of
Citator
- Cited by
- 284 opinions
UNITED STATES, Appellee
v.
Javier A. MORENO Jr., Corporal
U.S. Marine Corps, Appellant
No. 04-0698
Crim. App. No. 200100715
United States Court of Appeals for the Armed Forces
Argued September 21, 2005
Decided May 11, 2006
ERDMANN, J., delivered the opinion of the court, in which
GIERKE, C.J., and EFFRON and BAKER, JJ., joined. CRAWFORD, J.,
filed a separate opinion concurring in part and dissenting in
part.
Counsel
For Appellant: Lieutenant Brian L. Mizer, JAGC, USNR (argued).
For Appellee: Major Kevin C. Harris, USMC (argued); Lieutenant
Colonel William Lietzau, USMC, Commander Charles N. Purnell,
JAGC, USN, and Lieutenant Donald L. Palmer, JAGC, USNR (on
brief).
Military Judge: E. B. Stone
This opinion is subject to revision before final publication.
United States v. Moreno Jr., No. 04-0698/MC
Judge ERDMANN delivered the opinion of the court.
Corporal Javier A. Moreno Jr. was tried by general court-
martial for the offense of rape in violation of Article 120,
Uniform Code of Military Justice (UCMJ), 10 U.S.C. § 920
(2000). Moreno entered a plea of not guilty but was convicted by members who subsequently sentenced him to a dishonorable discharge, confinement for six years, forfeiture of all pay and allowances, and reduction to the lowest enlisted grade. The convening authority approved the sentence and the United States Navy- Marine Corps Court of Criminal Appeals affirmed the findings and sentence in an unpublished decision. United States v. Moreno, No. NMCCA 200100715,2004 CCA LEXIS 118
(N-M. Ct. Crim. App. May
13, 2004). We granted review of three issues.1
1
On March 18, 2005, we granted review of the following issues:
I.
WHETHER LIEUTENANT COLONEL [F] WAS AN INVESTIGATING
OFFICER WITHIN THE MEANING OF R.C.M. 912(f)(1)(F) AND
SHOULD NOT HAVE SERVED AS PRESIDENT OF APPELLANT’S
COURT-MARTIAL.
II.
WHETHER LIEUTENANT COLONEL [F]’S SERVICE AS PRESIDENT
OF APPELLANT’S COURT-MARTIAL RAISED SUBSTANTIAL DOUBT
TO THE LEGALITY, FAIRNESS, AND IMPARTIALITY OF
APPELLANT’S COURT-MARTIAL.
III.
WHETHER APPELLANT’S DUE PROCESS RIGHT TO TIMELY REVIEW
OF HIS APPEAL HAS BEEN DENIED.
We heard argument in this case on September 21, 2005, aboard the
USS RONALD REAGAN (CVN 76) afloat in the Pacific Ocean as part
of the Court’s “Project Outreach.” See United States v.
2
United States v. Moreno Jr., No. 04-0698/MC
An accused is entitled to a trial by members who are
qualified, properly selected, and impartial. See Article 25,
UCMJ, 10 U.S.C. § 825
(2000). Moreno claims that Lieutenant
Colonel (LtCol) F, the president of his court-martial, should
have been removed because he had conducted an investigation of
the case, had extensive knowledge of this case and that of
Moreno’s co-accused, and was married to a rape counselor who had
previously worked at the family advocacy office where the
alleged victim was counseled. We conclude that the presence of
LtCol F on the panel created substantial doubt about the
fairness and impartiality of this court-martial and that the
military judge erred in denying the challenge for cause against
LtCol F.2
Due process entitles convicted servicemembers to a timely
review and appeal of court-martial convictions. Toohey v.
United States, 60 M.J. 100, 101
(C.A.A.F. 2004). Moreno asserts that he was denied due process because there was unreasonable Mahoney,58 M.J. 346
, 347 n.1 (C.A.A.F. 2003). This practice
was developed as part of a public awareness program to
demonstrate the operation of a Federal Court of Appeals and the
military justice system.
2
Because of our holding that the military judge erred in denying
the challenge for cause against LtCol F, we need not address the
first granted issue concerning whether LtCol F acted as an
investigating officer within the meaning of Rule for Courts-
Martial (R.C.M.) 912(f)(1)(F), Manual for Courts-Martial, United
States (2005 ed.) (MCM). Similarly, because we find that LtCol
F possessed too much pretrial information about the case, we
need not address the effect of his wife’s role as a rape
counselor.
3
United States v. Moreno Jr., No. 04-0698/MC
delay in the 1,688 days between the end of his trial and the
date upon which the United States Navy-Marine Corps Court of
Criminal Appeals rendered its decision in his case. We conclude
that Moreno was denied his due process right to speedy appellate
review and we find that under the circumstances of this case
relief is warranted.
BACKGROUND
Moreno worked in the comptroller’s disbursing office.
Among the members detailed to Moreno’s court-martial was LtCol
F, the deputy comptroller. Lieutenant Colonel F was advised of
the incident that gave rise to the rape charge by Moreno’s
officer-in-charge. Lieutenant Colonel F decided to look into
the incident further so that he could brief the comptroller. In
the course of his inquiry into the incident, LtCol F became
aware of information that had been entered into various
logbooks. He spoke to some of the duty officers who had
knowledge of the incident and he read various articles that were
published in Stars and Stripes. Lieutenant Colonel F described
his efforts to gather this information as “simply fact finding.
You know, I wanted to be able to get all the –- find out what
was being reported in the logbook and just so I had a complete
picture before I talked to my boss on what he would be hearing
Monday morning.”
4
United States v. Moreno Jr., No. 04-0698/MC
In addition to his personal inquiries into the incident,
LtCol F became aware of Moreno’s co-accused’s case based on what
he read in Stars and Stripes. Lieutenant Colonel F’s pretrial
knowledge of the incident and the subsequent criminal cases
included: (1) that the incident involved drinking at the club;
(2) that the victim may have been drugged; (3) that there had
been sexual contact; (4) that both Moreno and his co-accused
were placed in pretrial confinement; (5) that the co-accused
could be a witness at Moreno’s trial; and (6) that there were
delays in Moreno’s trial relating to obtaining the co-accused’s
presence at Moreno’s trial.
Defense counsel challenged eight members appointed by the
convening authority on a variety of grounds. The defense
asserted that LtCol F could not be impartial because he
“followed this case closely” and had “read everything involving
this case.” The Government responded that the defense counsel
had failed to state a reason for a challenge under Rule for
Courts-Martial (R.C.M.) 912, Manual for Courts-Martial, United
States (2005 ed.) (MCM).3 The military judge, while granting
seven of the eight challenges for cause, denied the challenge
against LtCol F without comment. The defense counsel then
3
R.C.M. 912(f)(1)(N) in the 2005 edition of the MCM is identical
to that in the 1998 edition of the MCM that was in effect at the
time of Moreno’s trial.
5
United States v. Moreno Jr., No. 04-0698/MC
exercised a peremptory challenge against another member.
Ultimately, LtCol F served as president of the court-martial.
Moreno was sentenced on September 29, 1999. Two hundred
eight days later, the 746-page record of trial was authenticated
by the military judge. On January 31, 2001, 490 days after
completion of the trial, the convening authority took action.
Seventy-six days later, the case was docketed at the Navy-Marine
Corps Court of Criminal Appeals.
The Navy-Marine Corps Court of Criminal Appeals granted
eighteen motions for enlargement of time to Moreno’s appellate
defense attorney before the defense brief was filed on March 20,
2003 (702 days from docketing). The Government filed an answer
brief on October 29, 2003 (223 days from submission of Moreno’s
brief). The Court of Criminal Appeals issued its unpublished
decision on May 13, 2004 (197 days from the completion of
briefing). Four years, seven months and fourteen days (1,688
days) elapsed between the completion of trial and the completion
of Moreno’s appeal of right under Article 66, UCMJ, 10 U.S.C. § 866
(2000).
DISCUSSION
Implied Bias
Moreno asserts that LtCol F’s presence on his court-martial
panel undermined public confidence in military justice and that,
under the liberal grant mandate, the military judge should have
6
United States v. Moreno Jr., No. 04-0698/MC
granted the challenge for cause. The Government argues that
some knowledge of the facts does not serve to disqualify a
potential court member and that the totality of the
circumstances reveals that Moreno did not meet his burden of
showing a substantial doubt as to the legality, fairness or
impartiality of the trial.
Rule for Courts-Martial 912 includes challenges based upon
the distinct concepts of actual bias and implied bias. United
States v. Napoleon, 46 M.J. 279, 283
(C.A.A.F. 1997); United States v. Minyard,46 M.J. 229, 231
(C.A.A.F. 1997). In this
case we are concerned with the possibility of implied bias under
R.C.M. 912(f)(1)(N), which provides a basis for challenge when
it appears an individual “[s]hould not sit as a member in the
interest of having the court-martial free from substantial doubt
as to legality, fairness, and impartiality.”
The test for implied bias is objective. Viewing the
circumstances through the eyes of the public and focusing on the
perception or appearance of fairness in the military justice
system, we ask whether, despite a disclaimer of bias, most
people in the same position as the court member would be
prejudiced. United States v. Napolitano, 53 M.J. 162, 167
(C.A.A.F. 2000); United States v. Warden,51 M.J. 78, 81
(C.A.A.F. 1999). We look to determine whether there is “too
high a risk that the public will perceive” that the accused
7
United States v. Moreno Jr., No. 04-0698/MC
received less than a court composed of fair, impartial, equal
members. United States v. Weisen, 56 M.J. 172, 176
(C.A.A.F. 2001). We review rulings on challenges for implied bias under a standard that is less deferential than abuse of discretion, but more deferential than de novo review. United States v. Armstrong,54 M.J. 51, 54
(C.A.A.F. 2000); Napolean, 46 M.J. at
283.
In reviewing a ruling on a challenge for cause, we remain
mindful of the liberal grant mandate. “[M]ilitary judges must
follow the liberal-grant mandate in ruling on challenges for
cause” asserted by an accused. United States v. White, 36 M.J. 284, 287
(C.M.A. 1993); see also United States v. James,61 M.J. 132, 139
(C.A.A.F. 2005); United States v. Downing,56 M.J. 419, 422
(C.A.A.F. 2002). The liberal grant mandate recognizes the unique nature of military courts-martial panels, particularly that those bodies are detailed by convening authorities and that the accused has only one peremptory challenge. See James,61 M.J. at 139
; Downing,56 M.J. at 422
; United States v. Rome,47 M.J. 467, 469
(C.A.A.F. 1998); United States v. Hamilton,41 M.J. 22, 25
(C.M.A. 1994). Thus, we will overturn a military
judge’s ruling on an accused’s challenge for cause where he
clearly abuses his discretion in applying the liberal grant
mandate.
8
United States v. Moreno Jr., No. 04-0698/MC
Implied bias should be invoked sparingly. United States v.
Strand, 59 M.J. 455, 458
(C.A.A.F. 2004) (citing Warden,51 M.J. at 81-82
); Rome,47 M.J. at 469
. Nevertheless, we are not reluctant to apply the doctrine to ensure the appearance of fairness in courts-martial. Thus, in Minyard,46 M.J. at 231
- 32, we reversed a conviction where the wife of an investigating agent who worked on the case was allowed to sit on the panel. In Weisen, 56 M.J. at 175-77, we reversed a conviction where the president of the court-martial and his military subordinates comprised two-thirds of the panel. Similarly, in United States v. Miles,58 M.J. 192, 195
(C.A.A.F. 2003), we reversed a
conviction for use of cocaine where the military judge denied a
challenge to a member whose nephew died from complications
associated with his mother’s prenatal use of cocaine.4
From the outset, LtCol F took an active interest in this
case. He took it upon himself to seek out information so that
he could get a “complete picture” to brief his boss, the
comptroller. His preparations for the briefing included
conducting personal interviews of duty officers and reading
entries in various log books. Once he had gathered the
information to brief the comptroller, his interest in Moreno’s
case did not wane. He read about the charges against Moreno in
4
See also United States v. Daulton, 45 M.J. 212, 216-18
(C.A.A.F. 1996); United States v. Smart,21 M.J. 15, 18-21
(C.M.A. 1985).
9
United States v. Moreno Jr., No. 04-0698/MC
newspapers and also read about the court-martial of Moreno’s co-
accused, who was acquitted of wrongdoing for the same incident.5
We believe that an objective observer would perceive that
LtCol F possessed an excessive level of pretrial knowledge about
the incident to sit as an impartial panel member. His personal
inquiry went beyond a routine passing of information to a
superior. His inquiries were so thorough that he subjectively
believed he knew all there was to know -- that he had the
“complete picture.”
Under these circumstances -- where LtCol F had investigated
the incident, weighed facts, made recommendations based on his
conclusions and continued to follow both this case and the case
of Moreno’s co-accused in the press -– an objective observer
could reasonably question whether LtCol F could come to any
different conclusions based solely on evidence presented in
court. An observer could also reasonably question whether LtCol
F would contradict his initial conclusions and recommendations
to the comptroller if warranted by the evidence.
An objective observer could harbor a reasonable concern
that as president of the court-martial, LtCol F would exert
influence over other court-martial members arising from his in-
5
Moreno’s co-actor was acquitted of rape on August 19, 1999.
The following day, an article appeared in Stars and Stripes
captioned “Okinawa Marine innocent of rape.” On August 27,
1999, Stars and Stripes reported that Moreno’s trial would
proceed despite the co-actor’s acquittal.
10
United States v. Moreno Jr., No. 04-0698/MC
depth personal knowledge of the facts rather than from the
evidence presented in court. We also believe that the objective
observer would not accord much weight to LtCol F’s assertion
that he could be impartial in view of the depth of his prior
involvement. “[W]e do not accept as conclusive a challenged
member’s perfunctory disclaimer of personal interest or his
assertion of impartiality.” United States v. Smart, 21 M.J. 15, 19
(C.M.A. 1985).
Thus, we hold that there is a substantial doubt that this
trial was by a panel of members who were fair and impartial and
the military judge therefore erred by denying the challenge for
cause against LtCol F.
Speedy Post-Trial and Appellate Review
Moreno contends that the 1,688 days that elapsed between
the completion of his court-martial and the decision of the
Court of Criminal Appeals was unreasonable and denied him due
process. Moreno argues that he had legitimate claims of error
in his case and that the delay has denied him the opportunity
for meaningful relief. The Government counters that the time
involved in Moreno’s post-trial processing and appeal was not
unreasonable. Alternatively, the Government asserts that even
if the delay is unreasonable, Moreno’s due process rights have
not been violated.
11
United States v. Moreno Jr., No. 04-0698/MC
The Supreme Court has recognized “the procedures used in
deciding appeals must comport with the demands of the Due
Process and Equal Protection Clauses of the Constitution.”
Evitts v. Lucey, 469 U.S. 387, 393
(1985); see also Diaz v. Judge Advocate General of the Navy,59 M.J. 34, 38
(C.A.A.F. 2003). “[A]n appeal that is inordinately delayed is as much a ‘meaningless ritual,’ Douglas [v. California,372 U.S. 353, 358
(1963)], as an appeal that is adjudicated without the benefit of effective counsel or a transcript of the trial court proceedings.” Harris v. Champion (Harris II),15 F.3d 1538, 1558
(10th Cir. 1994).
This court has recognized that convicted servicemembers
have a due process right to timely review and appeal of courts-
martial convictions. Toohey, 60 M.J. at 101
; Diaz,59 M.J. at 37-38
. We review de novo claims that an appellant has been denied the due process right to a speedy post-trial review and appeal. See United States v. Rodriguez,60 M.J. 239, 246
(C.A.A.F. 2004) (conclusions of law are reviewed under the de novo standard); United States v. Cooper,58 M.J. 54, 58
(C.A.A.F. 2003) (speedy trial issues, as conclusions of law, are
reviewed de novo).
In conducting this review we have adopted the four factors
set forth in Barker v. Wingo, 407 U.S. 514, 530
(1972): (1) the
length of the delay; (2) the reasons for the delay; (3) the
12
United States v. Moreno Jr., No. 04-0698/MC
appellant’s assertion of the right to timely review and appeal;
and (4) prejudice. United States v. Jones, 61 M.J. 80, 83
(C.A.A.F. 2005); Toohey,60 M.J. at 102
. While Barker addressed
speedy trial issues in a pretrial, Sixth Amendment context, its
four-factor analysis has been broadly adopted for reviewing
post-trial delay due process claims.6
Once this due process analysis is triggered by a facially
unreasonable delay, the four factors are balanced, with no
single factor being required to find that post-trial delay
constitutes a due process violation. Barker, 407 U.S. at 533
(“We regard none of the four factors identified above as either a necessary or sufficient condition to the finding of a deprivation of [due process].”); Simmons v. Reynolds,898 F.2d 865, 868
(2d Cir. 1990) (“[N]o one factor is dispositive and all 6 Latimore v. Spencer,994 F. Supp. 60, 67
(D. Mass. 1998) (“[T]he First Circuit examines such cases on a case by case basis applying factors similar to those employed in Barker.”); Simmons v. Reynolds,898 F.2d 865, 868
(2d Cir. 1990); Burkett v. Cunningham,826 F.2d 1208, 1222
(3d Cir. 1987); United States v. Johnson,732 F.2d 379, 381-82
(4th Cir.), cert. denied,469 U.S. 1033
(1984); Rheuark v. Shaw,628 F.2d 297, 303
(5th Cir. 1980), cert. denied,450 U.S. 931
(1981); United States v. Smith,94 F.3d 204, 207
(6th Cir. 1996); United States v. Kimmons,917 F.2d 1011, 1015
(7th Cir. 1990); United States v. Hawkins,78 F.3d 348, 350-51
(8th Cir.), cert. denied,519 U.S. 844
(1996); United States v. Tucker,8 F.3d 673, 676
(9th Cir. 1993)(en banc), cert. denied,510 U.S. 1182
(1994); Harris v. Champion (Harris I),938 F.2d 1062, 1068
(10th Cir. 1991); Harris v. Champion (Harris II),15 F.3d 1538, 1559
(10th Cir. 1994); Harris v. Champion (Harris III),48 F.3d 1127
(10th Cir.
1995).
13
United States v. Moreno Jr., No. 04-0698/MC
are to be considered together with the relevant
circumstances.”).
We analyze each factor and make a determination as to
whether that factor favors the Government or the appellant. See
Rheuark v. Shaw, 628 F.2d 297, 303
(5th Cir. 1980) (calling for an ad hoc evaluation of the four Barker factors). We then balance our analysis of the factors to determine whether there has been a due process violation. Barker,407 U.S. at 533
(“[C]ourts must still engage in a difficult and sensitive balancing process.”). No single factor is required for finding a due process violation and the absence of a given factor will not prevent such a finding.Id.
With this structure as our
guide, we turn to an analysis of the four factors as they arise
in Moreno’s case.
1. Length of the delay
Initially, unless the delay is facially unreasonable, the
full due process analysis will not be triggered. Toohey, 60 M.J. at 102
. We conduct a case-by-case analysis to determine if a given delay is facially unreasonable.7Id. at 103
.8 In this 7 Rheuark,628 F.2d at 303
(“[N]ot every delay in the appeal of a case, even an inordinate one, violates due process.”). 8 In the speedy trial context, “extreme cases of delay would produce a strong presumption of prejudice to the ability of a party to defend itself at trial . . . .” United States v. Smith,94 F.3d 204, 211
(6th Cir. 1996) (citing Doggett v. United States,505 U.S. 647, 655-58
(1992)). Circuit courts
have split on whether the Doggett presumption of prejudice is
14
United States v. Moreno Jr., No. 04-0698/MC
case we conclude that the overall period of post-trial review
and appeal, 1,688 days, is facially unreasonable and thus we
will proceed to the remaining Barker factors.
2. Reasons for the delay
Under this factor we look at the Government’s
responsibility for any delay, as well as any legitimate reasons
for the delay, including those attributable to an appellant. In
assessing the reasons for any particular delay, we examine each
stage of the post-trial period because the reasons for the delay
may be different at each stage and different parties are
responsible for the timely completion of each segment.9
The 490 days between the end of trial and the convening
authority’s action is excessive for the post-trial processing of
this case. The processing in this segment is completely within
the control of the Government and no exceptional circumstances
have been offered to explain this delay. See United States v.
Bigelow, 57 M.J. 64, 68-69
(C.A.A.F. 2002). It is striking that this period is over five times longer than that deemed reasonable by this court when we established the ninety-day rule in Dunlap v. Convening Authority,23 C.M.A. 135
,48 C.M.R. 751
applicable to a due process appellate delay analysis. Compare Harris II,15 F.3d at 1564
, and Smith,94 F.3d at 211-12
(presumption applicable), with United States v. Mohawk,20 F.3d 1480, 1487-88
(9th Cir. 1994) (presumption not applicable).
15
United States v. Moreno Jr., No. 04-0698/MC
(1974).10 The seventy-six days between action and docketing the
case before the Court of Criminal Appeals is also unexplained.
Delays involving this essentially clerical task have been
categorized as “the least defensible of all” post-trial delays.
United States v. Dunbar, 31 M.J. 70, 73
(C.M.A. 1990).
The longest delay in this case -– 925 days -- involves the
period from which the case was docketed at the Court of Criminal
Appeals until briefing was complete. The Government claims that
Moreno is directly responsible for the almost two years it took
to file his brief at the Court of Criminal Appeals. The record
reflects that appellate defense counsel sought and was granted
eighteen enlargements of time within which to file a brief.
Enlargement numbers four through eighteen each contained the
same reason for the request: “other case load commitments.”
While the Government argued that this period of delay was
in Moreno’s interest, there was no evidence demonstrating that
the enlargements were directly attributable to Moreno or that
the need for additional time arose from other factors such as
the complexity of Moreno’s case. The Government further argued
9
Convening authorities, reviewing authorities, and the Courts of
Criminal Appeals can provide significant relief for unreasonable
delays at their respective stages of the process.
10
In Dunlap v. Convening Authority, 23 C.M.A. 135, 138
,48 C.M.R. 751
, 754 (1974), this court presumed a denial of speedy
disposition where the convening authority failed to take action
within ninety days of trial. The presumption placed “a heavy
burden on the Government to show diligence, and in the absence
16
United States v. Moreno Jr., No. 04-0698/MC
that we should presume the delays were for Moreno’s benefit, but
did not provide any legal authority to support such a
presumption. There is no evidence in this case that the
numerous requests for delay filed by appellate defense counsel
benefited Moreno or that Moreno was consulted about and agreed
to these delays. “Other case load commitments” logically
reflects that Moreno’s case was not getting counsel’s
professional attention, a fact that is the very antithesis of
any benefit to Moreno. We therefore decline to hold Moreno
accountable for this period of delay. As we said in Diaz, 59 M.J. at 38
:
Appellate counsel caseloads are a result of
management and administrative priorities and
as such are subject to the administrative
control of the Government. To allow
caseloads to become a factor in determining
whether appellate delay is excessive would
allow administrative factors to trump the
Article 66 and due process rights of
appellants. To the contrary, the Government
has a statutory responsibility to establish
a system of appellate review under Article
66 that preserves rather than diminishes the
rights of convicted servicemembers. In
connection with that responsibility, the
Government has a statutory duty under
Article 70 to provide Petitioner with
appellate defense counsel who is able to
represent him in both a competent and timely
manner before the Court of Criminal Appeals.
of such a showing the charges should be dismissed.” Id.
(internal quotation marks omitted).
17
United States v. Moreno Jr., No. 04-0698/MC
Internal footnote omitted. See also Barker, 407 U.S. at 531
(noting that ultimate responsibility of delay caused by
negligence or overcrowded courts rests with the Government).11
While appellate defense counsel’s caseload is the
underlying cause of much of this period of delay, responsibility
for this portion of the delay and the burden placed upon
appellate defense counsel initially rests with the Government.
The Government must provide adequate staffing within the
Appellate Defense Division to fulfill its responsibility under
the UCMJ to provide competent and timely representation. See
Article 70, UCMJ, 10 U.S.C. § 870
(2000). Ultimately the timely management and disposition of cases docketed at the Courts of Criminal Appeals is a responsibility of the Courts of Criminal Appeals. Therefore, we decline to hold Moreno responsible for the lack of “institutional vigilance” which should have been exercised in this case. See Diaz,59 M.J. at 39-40
.
The final period of delay is the 197 days from submission
of the final briefs to the Court of Criminal Appeals’ decision.
We will apply a more flexible review of this period, recognizing
that it involves the exercise of the Court of Criminal Appeals’
11
See Harris II, 15 F.3d at 1562-63
(“lack of funding and, possibly, the mismanagement of resources by the Public Defender” were not an “acceptable excuse for delay.”); Coe v. Thurman,922 F.2d 528, 531
(9th Cir. 1990) (failures of court-appointed counsel and delays by the court are attributable to the state); Simmons v. Beyer,44 F.3d 1160, 1170
(3d Cir. 1995).
18
United States v. Moreno Jr., No. 04-0698/MC
judicial decision-making authority.12 We find that a period of
slightly over six months is not an unreasonable time for review
by the Court of Criminal Appeals. Thus, under Barker’s second
factor -– reasons for the delay -– the unreasonable delays in
this case are either unexplained or the responsibility of the
Government. There is no reason given for the unreasonable
delays in getting this case from trial to the convening
authority for action and in docketing the case before the Court
of Criminal Appeals after action. The Government bears
responsibility for unreasonable delay during appeal occasioned
by the workload of appellate defense counsel. We conclude that
this second Barker factor weighs heavily in favor of Moreno.
3. Assertion of the right to a timely review and appeal
This factor calls upon us to examine an aspect of Moreno’s
role in this delay. Moreno did not object to any delay or
assert his right to timely review and appeal prior to his
arrival at this court. The Supreme Court in Barker, 407 U.S. at 12
“Courts, of course, are not excluded from the obligation to give defendants a speedy trial. But the function of appellate courts necessarily casts the delay attendant upon their deliberations in a somewhat different light . . . .” United States v. Biston,463 F.2d 887, 890
(D.C. Cir. 1972). We are mindful in the military justice system of the distinct functions of a first level appeal of right court as opposed to a discretionary second level appellate court. The Courts of Criminal Appeals have “unique authority that is the product of the evolution of military justice in the United States.” United States v. Boone,49 M.J. 187, 191
(C.A.A.F. 1998). Congress provided these appellate tribunals with “an authority rarely if ever seen in other appellate courts.”Id. at 192
.
19
United States v. Moreno Jr., No. 04-0698/MC
531-32, noted that where the defendant has asserted his speedy
trial right, it is “entitled to strong evidentiary weight in
determining whether the defendant is being deprived of the
right.” The Court rejected, however, “the rule that a defendant
who fails to demand a speedy trial forever waives his rights.”
Id. at 528.
We do not believe this factor weighs heavily against Moreno
under the circumstances of this case. The obligation to ensure
a timely review and action by the convening authority rests upon
the Government and Moreno is not required to complain in order
to receive timely convening authority action. United States v.
Bodkins, 60 M.J. 322, 323-24
(C.A.A.F. 2004). Similarly, Moreno bears no responsibility for transmitting the record of trial to the Court of Criminal Appeals after action. Nor is it unreasonable to assume, as Moreno argues, that a convicted person wants anything other than a prompt resolution of his appeal. See Harris II,15 F.3d at 1563
.
We also recognize the paradox of requiring Moreno to
complain about appellate delay either to his appellate counsel
who sought multiple enlargements of time because of other case
commitments or to the appellate court that granted the
enlargements on a routine basis.13 While this factor weighs
13
See Harris II, 15 F.3d at 1563
(“Furthermore, petitioners were
hampered by the fact that they had to speak through their
counsel in the state court appellate process and, in most
20
United States v. Moreno Jr., No. 04-0698/MC
against Moreno, the weight against him is slight given that the
primary responsibility for speedy processing rests with the
Government and those to whom he could complain were the ones
responsible for the delay.
4. Prejudice
In Barker, 407 U.S. at 532
, the Supreme Court recognized a
framework to analyze the “prejudice” factor in a speedy trial
context. We agree with the Fifth Circuit’s modification of that
framework for analyzing prejudice in a due process post-trial
delay analysis:
In the case of appellate delay, prejudice
should be assessed in light of the interests
of those convicted of crimes to an appeal of
their convictions unencumbered by excessive
delay. We identify three similar interests
for prompt appeals: (1) prevention of
oppressive incarceration pending appeal; (2)
minimization of anxiety and concern of those
convicted awaiting the outcome of their
appeals; and (3) limitation of the
possibility that a convicted person’s
grounds for appeal, and his or her defenses
in case of reversal and retrial, might be
impaired.
Rheuark, 628 F.2d at 303
n.8; see also United States v. Hawkins,78 F.3d 348, 351
(8th Cir. 1996); Coe v. Thurman,922 F.2d 528, 532
(9th Cir. 1990); Harris II,15 F.3d at 1547
.
instances, it was that very counsel who was responsible for the
delay. Under these circumstances, we cannot fairly expect
petitioners to have raised the issue of delay in state court.”).
21
United States v. Moreno Jr., No. 04-0698/MC
a. Oppressive Incarceration Pending Appeal
This sub-factor is directly related to the success or
failure of an appellant’s substantive appeal. If the
substantive grounds for the appeal are not meritorious, an
appellant is in no worse position due to the delay, even though
it may have been excessive. Cody v. Henderson, 936 F.2d 715, 720
(2d Cir. 1991). Under these circumstances, an appellant would have served the same period of incarceration regardless of the delay. United States v. Antoine,906 F.2d 1379, 1382
(9th Cir. 1990). However, if an appellant’s substantive appeal is meritorious and the appellant has been incarcerated during the appeal period, the incarceration may have been oppressive. Coe,922 F.2d at 532
.
Moreno served his full term of confinement before his
appeal of right was resolved by the Court of Criminal Appeals.
Before this court he has prevailed on a substantive appellate
issue, his conviction will be set aside and he is entitled to a
retrial. As the Fifth Circuit has noted:
Moreover, if an appeal is not frivolous, a
person convicted of a crime may be receiving
punishment the effects of which can never be
completely reversed or living under the
opprobrium of guilt when he or she has not
been properly proven guilty and may indeed
be innocent under the law.
Rheuark, 628 F.2d at 304
.14
14
“A system of appeal as of right is established precisely to
assure that only those who are validly convicted have their
22
United States v. Moreno Jr., No. 04-0698/MC
Moreno was sentenced to six years of incarceration.
Although the record does not provide us with a precise release
date, we can be reasonably certain that Moreno was released from
confinement prior to the Court of Criminal Appeals’ decision.
Based on the 150 days of pretrial confinement credit and the
duration of the adjudged confinement, we estimate that Moreno’s
minimum release date was about April, 2003. Thus, he had served
at least four years in confinement, under a conviction that has
now been set aside, prior to his appeal of right being decided.
We therefore find that he has suffered some degree of prejudice
as the result of oppressive incarceration.15
b. Anxiety and Concern
This sub-factor involves constitutionally cognizable
anxiety that arises from excessive delay. Federal courts have
adopted different approaches to this “prejudice” sub-factor.
The Second Circuit has affirmed district court decisions which
found anxiety-based prejudice that arose solely from the length
of the delay. Yourdon v. Kelly, 969 F.2d 1042
(2d Cir. freedom drastically curtailed.” Evitts v. Lucey,469 U.S. 387, 399-400
(1985). 15 We note that this factor (oppressive incarceration) would weigh heavily against the Government if the incarceration relates to a finding that a Court of Criminal Appeals reverses for factual insufficiency. See Diaz v. Judge Advocate General of the Navy,59 M.J. 34, 39
(C.A.A.F. 2003) (“Unlike the
civilian criminal justice system, the Courts of Criminal Appeals
have unique fact finding authority, and that aspect of a
23
United States v. Moreno Jr., No. 04-0698/MC
1992)(table decision), aff’g 769 F. Supp. 112, 115
(W.D.N.Y. 1991); Snyder v. Kelly,972 F.2d 1328
(2d Cir. 1992)(table decision), aff’g769 F. Supp. 108, 111
(W.D.N.Y. 1991).16
The Ninth Circuit requires a showing of “particular
anxiety”, which must be distinguished from the normal anxiety
experienced by any prisoner awaiting an appellate decision.
Antoine, 906 F.2d at 1383
; see also Coe,922 F.2d at 532
. The Third Circuit requires an appellant “to detail anxiety related to the processing of his case post-conviction.” Burkett v. Fulcomer,951 F.2d 1431, 1447
(3d Cir. 1991). The Tenth Circuit requires a “particularized and substantial showing of anxiety and concern, absent a delay so excessive as to trigger the Doggett presumption of prejudice.” Harris II,15 F.3d at 1565
.
While some circuits require that an appellant have a
meritorious appeal to prevail on this sub-factor, see id.,
others have recognized anxiety arising from excessive delays regardless of whether the appellant prevails on a substantive servicemember’s case is not concluded until that review is completed.”). 16 Those district courts and the Second Circuit have found that the more appropriate remedy for anxiety-based prejudice arising from excessive appellate delay is an action for damages under42 U.S.C. § 1983
(2000). Cody v. Henderson,936 F.2d 715, 720
(2d Cir. 2000). We recognize that military service members are unable to pursue relief under42 U.S.C. § 1983
as a result of the extended Feres v. United States,340 U.S. 135
(1950), doctrine. Chappell v. Wallace,462 U.S. 296, 304
(1983).
24
United States v. Moreno Jr., No. 04-0698/MC
issue.17 We believe that the appropriate test for the military
justice system is to require an appellant to show particularized
anxiety or concern that is distinguishable from the normal
anxiety experienced by prisoners awaiting an appellate decision.
This particularized anxiety or concern is thus related to the
timeliness of the appeal, requires an appellant to demonstrate a
nexus to the processing of his appellate review, and ultimately
assists this court to “fashion relief in such a way as to
compensate [an appellant] for the particular harm.” Burkett,
951 F.2d at 1447
. We do not believe that the anxiety that an
appellant may experience is dependent upon whether his
substantive appeal is ultimately successful. An appellant may
suffer constitutionally cognizable anxiety regardless of the
outcome of his appeal.
Moreno argues that he suffered prejudice because he was
required to register as a sex offender upon his release from
incarceration without the opportunity of having his appeal of
right heard and decided. See 42 U.S.C. § 14071
(a)(1)(A), (b)(6)(A) (2000). Moreno essentially argues that had his appeal been processed in a timely manner, it would have been resolved 17 Snyder v. Kelly,769 F. Supp. 108, 111
(W.D.N.Y. 1991) (where
conviction affirmed, court noted, “While he has not presented
any evidence of prejudice to the appeal itself, it would not
strike this Court as unusual that a five-year delay would
profoundly worry an individual hopefully awaiting an ultimate
appellate reversal”).
25
United States v. Moreno Jr., No. 04-0698/MC
before his release from incarceration. Had Moreno’s conviction
been affirmed prior to his release, registration as a sex
offender would have been a proper consequence of his conviction.
However, Moreno argues that he has been “living under the
opprobrium of guilt when he . . . has not been properly proven
guilty and may indeed be innocent under the law.” Rheuark, 628 F.2d at 304
. The excessive delay in this case and our
disposition of the implied bias issue lend credence to Moreno’s
claim that he was prejudiced by the requirement to register as a
sex offender. We find that this circumstance constitutes
constitutional anxiety that is distinguishable from the normal
anxiety experienced by prisoners awaiting appeal and that as a
result Moreno has suffered some degree of prejudice.
c. Impairment of Ability to Present a Defense at a Rehearing
This final sub-factor is directly related to whether an
appellant has been successful on a substantive issue of the
appeal and whether a rehearing has been authorized. If an
appellant does not have a meritorious appeal, there obviously
will be no prejudice arising from a rehearing. If, however, a
conviction has been set aside and a rehearing authorized, the
appellate delay encountered by the appellant may have a negative
impact on his ability to prepare and present his defense at the
rehearing. Due to the passage of time, witnesses may be
26
United States v. Moreno Jr., No. 04-0698/MC
unavailable, memories may have faded and records of trial may
have been misplaced or lost.
In order to prevail on this factor an appellant must be
able to specifically identify how he would be prejudiced at
rehearing due to the delay.18 Mere speculation is not enough.
United States v. Mohawk, 20 F.3d 1480, 1487
(9th Cir. 1994). Moreno claims that prejudice exists under this factor because of the potential harm he would suffer in the event he is successful on appeal and a rehearing is authorized. He does not, however, identify any specific harm that he would encounter at a rehearing and he has therefore failed to establish prejudice under this sub-factor.19 18 A requirement that an appellant demonstrate prejudice is not a unique requirement. See United States v. Chatman,46 M.J. 321, 323-24
(C.A.A.F. 1997) (the court required an appellant “demonstrate prejudice [from new matter in a staff judge advocate’s addendum] by stating what, if anything, would have been submitted to ‘deny, counter, or explain’ the new matter.”); United States v. Moulton,47 M.J. 227, 229
(C.A.A.F. 1997) (a defendant who claims ineffective assistance of counsel must show that a counsel’s deficient performance was “‘so serious as to deprive the defendant of a fair trial, a trial whose result is reliable.’” (quoting Strickland v. Washington,466 U.S. 668, 687
(1984))).
19
We are mindful of the difficulty that an appellant and his
appellate defense counsel may have at this juncture of the
process in identifying problems that would hinder an appellant’s
ability to present a defense at rehearing. If an appellant does
experience problems in preparing for trial due to the delay, a
Sixth Amendment speedy trial motion could appropriately be
brought at the trial level. “[W]e are inclined to believe that
a consideration of the Sixth Amendment speedy trial right in its
most pristine sense would be triggered by any retrial of such a
person. The consideration would, of course, be an ad hoc
27
United States v. Moreno Jr., No. 04-0698/MC
Conclusion -– Barker Factors
Because of the unreasonably lengthy delay, the lack of any
constitutionally justifiable reasons for the delay, and the
prejudice suffered by Moreno as a result of oppressive
incarceration and anxiety, our balancing of the four Barker
factors leads us to conclude that Moreno was denied his due
process right to speedy review and appeal. Because we have
found legal error and substantial prejudice to a material right,
as well as a deprivation of due process, we need to consider
appropriate relief. See Jones, 61 M.J. at 86
.
Before we turn to that consideration, we address post-trial
processing standards in the military justice system. Our
concern for post-trial timeliness has been heightened by the
number of appellate delay cases that have come before this court
and cases that are pending elsewhere in the military justice
system. In recognition of the due process issues involved in
timely post-trial review and appeal and in response to the cases
giving rise to our concerns, we will establish post-trial
processing standards to be applied to cases yet to enter the
post-trial and appellate processes.
Post-Trial Processing Standards
In 1974 this court adopted a “presumption of a denial of
speedy disposition of the case” if a convening authority failed
determination based on the four factors of Barker.” Rheuark,
28
United States v. Moreno Jr., No. 04-0698/MC
to take action within ninety days of trial. Dunlap, 23 C.M.A. at 138
, 48 C.M.R. at 754. Five years later this court abandoned
that rule and expressed confidence that military justice had
overcome the numerous circumstances giving rise to that rule:
Dunlap came in response to a problem which
frequently manifested itself where the
convening authority delayed his final
action. See generally United States v.
Jefferson, 22 U.S.C.M.A. 554
,48 C.M.R. 39
(1973); United States v. Gray,22 U.S.C.M.A. 443
,47 C.M.R. 484
(1973); United States v.
Timmons, 22 U.S.C.M.A. 226
,46 C.M.R. 226
(1973); United States v. Wheeler,21 U.S.C.M.A. 468
,45 C.M.R. 242
(1972); United
States v. Whitmire, 21 U.S.C.M.A. 268
,45 C.M.R. 42
(1972); United States v. Davis,20 U.S.C.M.A. 541
,43 C.M.R. 381
(1971); United
States v. Prater, 20 U.S.C.M.A. 339
,43 C.M.R. 179
(1971). However, convicted
service persons now enjoy protections which
had not been developed when Dunlap was
decided. For example, in United States v.
Palenius, 2 M.J. 86
(C.M.A. 1977), we
announced duties on the part of the trial
defense attorney which are designed to
insure a continuous, uninterrupted
representation of the convicted accused
service person. Performance of those
functions may well remove the causes which
concerned the Dunlap Court. And in United
States v. Brownd, 6 M.J. 338
(C.M.A. 1979)
we announced standards by which applications
for deferment of sentence are to be judged
in appropriate cases. Thus the serviceman
awaiting final action by the convening
authority may avail himself of remedies
during the pendency of review which were not
clear when Dunlap was decided.
United States v. Banks, 7 M.J. 92, 93
(C.M.A. 1979). See also United States v. Kossman,38 M.J. 258, 261
(C.M.A. 1993)628 F.2d at 303
n.8.
29
United States v. Moreno Jr., No. 04-0698/MC
(eliminating the ninety-day rule for bringing a servicemember to
trial when that member is in pretrial confinement).
Unfortunately, our confidence that procedural protections
would suffice to ensure the speedy post-trial and appellate
rights of servicemembers has been eroded. It is of some concern
that the Government brief asserts that the 1,688 day delay in
this case was reasonable.20 We reject that contention and note
that Moreno’s case is not an isolated case that involves
excessive post-trial delay issues.21
This increase in processing time stands in contrast to the
lower number of cases tried in the military justice system in
recent years. Our separate system of military justice often
provides different or diminished constitutional rights in light
of the need for prompt disposition of disciplinary matters. It
follows then, as this court has noted, that the unique nature of
review under Article 66(c), UCMJ, “calls for, if anything, even
greater diligence and timeliness than is found in the civilian
system.” Diaz, 59 M.J. at 39
. 20 “[T]he facts show the post-trial processing of Appellant’s case has been reasonable, if not expeditious.” 21 See United States v. Oestmann,61 M.J. 103
(C.A.A.F. 2005); United States v. Jones,61 M.J. 80
(C.A.A.F. 2005); Rodriguez- Rivera v. United States and The Judge Advocate General of the Navy,61 M.J. 19
(C.A.A.F. 2005); United States v. Toohey,60 M.J. 100
(C.A.A.F. 2003); Diaz,59 M.J. 34
; United States v. Tardif,57 M.J. 219
(C.A.A.F. 2002).
30
United States v. Moreno Jr., No. 04-0698/MC
We believe that adopting the Doggett presumption of
prejudice is unnecessary at this point. We can deter these
delays and address the systemic delays we see arising in post-
trial and appellate processing through less draconian measures.
See Simmons, 898 F.2d at 869
. Although we do not foreclose the
possibility that presumptions of prejudice may yet prove
necessary, we do not believe it is necessary to adopt such a
presumption at this juncture.
Nonetheless, some action is necessary to deter excessive
delay in the appellate process and remedy those instances in
which there is unreasonable delay and due process violations.22
For courts-martial completed thirty days after the date of this
opinion, we will apply a presumption of unreasonable delay that
will serve to trigger the Barker four-factor analysis where the
action of the convening authority is not taken within 120 days
of the completion of trial. We will apply a similar presumption
of unreasonable delay for courts-martial completed thirty days
after the date of this opinion where the record of trial is not
22
We are mindful of the importance of providing a deterrent to
improper Government action, including actions that delay post-
trial and appellate processing. One such very significant
deterrent, the exclusionary rule, was developed to protect not
only the constitutional rights of individuals accused of crime,
but also the integrity of and respect for the criminal justice
system. See Mapp v. Ohio, 367 U.S. 643, 655
(1961). The exclusionary rule emphasizes that constitutional rights have meaning and a deprivation of those rights has ramifications. See Marc M. Arkin, Speedy Criminal Appeal: A Right Without A Remedy,74 Minn. L. Rev. 437
, 459-60 (1990).
31
United States v. Moreno Jr., No. 04-0698/MC
docketed by the service Court of Criminal Appeals within thirty
days of the convening authority’s action.
For those cases arriving at the service Courts of Criminal
Appeals thirty days after the date of this decision, we will
apply a presumption of unreasonable delay where appellate review
is not completed and a decision is not rendered within eighteen
months of docketing the case before the Court of Criminal
Appeals. These presumptions of unreasonable delay will be
viewed as satisfying the first Barker factor and they will apply
whether or not the appellant was sentenced to or serving
confinement. It is important to note that the presumptions
serve to trigger the four-part Barker analysis -– not resolve
it. The Government can rebut the presumption by showing the
delay was not unreasonable. By using these presumptions we
trigger an appellate analysis and allocate the burden; we do not
legislate or undermine the President’s rulemaking authority
under Article 36, UCMJ, 10 U.S.C. § 836
(2000).
Some cases will present specific circumstances warranting
additional time, thus making those periods reasonable upon
assessment of the Barker factors. But these must be
justifiable, case-specific delays supported by the circumstances
of that case and not delays based upon administrative matters,
manpower constraints or the press of other cases. We expect
convening authorities, reviewing authorities and the Courts of
32
United States v. Moreno Jr., No. 04-0698/MC
Criminal Appeals to document reasons for delay and to exercise
the institutional vigilance that was absent in Moreno’s case.
Once the four-factor analysis is completed and those
factors balanced, reviewing authorities that find a denial of
speedy post-trial or appeal “should ‘tailor an appropriate
remedy, if any is warranted, to the circumstances of the case.’”
Jones, 61 M.J. at 86
(quoting United States v. Tardif,57 M.J. 219, 225
(C.A.A.F. 2002)). The nature of that relief will
depend on the circumstances of the case, the relief requested,
and may include, but is not limited to: (a) day-for-day
reduction in confinement or confinement credit; (b) reduction of
forfeitures; (c) set aside of portions of an approved sentence
including punitive discharges; (d) set aside of the entire
sentence, leaving a sentence of no punishment; (e) a limitation
upon the sentence that may be approved by a convening authority
following a rehearing; and (f) dismissal of the charges and
specifications with or without prejudice. Clearly this range of
meaningful options to remedy the denial of speedy post-trial
processing provides reviewing authorities and courts with the
flexibility necessary to appropriately address these situations
on a case-by-case basis.23
23
Post-trial delay cases that arise in Article III courts do so
in the context of a writ of habeas corpus with relief generally
limited to dismissal of the charges. As we generally review the
issue of post-trial delay on direct appeal, we have a number of
remedies not available to Article III courts.
33
United States v. Moreno Jr., No. 04-0698/MC
Those cases tried or received at a Court of Criminal
Appeals prior to the date of this opinion and therefore not
encompassed by the foregoing presumptions of unreasonable delay
will continue to be reviewed on a case-by-case basis under the
Barker due process analysis. Delays have been tolerated at all
levels in the military justice system so much so that in many
instances they are now considered the norm. The effect of this
opinion is to provide notice that unreasonable delays that
adversely impact an appellant’s due process rights will no
longer be tolerated.
Relief in Moreno’s Case
In Moreno’s case, a rehearing is the appropriate remedy for
the military judge’s erroneous denial of the challenge for cause
against LtCol F. In considering the range of options to address
the denial of Moreno’s due process right to speedy review and
appeal, we considered directing a day-for-day credit for each
day of unreasonable and unexplained delay. Such a credit would
have no meaningful effect, however, as Moreno served the full
term of adjudged confinement after his initial trial.
We have also considered dismissing the charge and
specification with prejudice. Dismissal would be a
consideration if the delay either impaired Moreno’s ability to
defend against the charge at a rehearing or resulted in some
other evidentiary prejudice. See Tardif, 57 M.J. at 224
(citing
34
United States v. Moreno Jr., No. 04-0698/MC
United States v. Timmons, 22 C.M.A. 226, 227
,46 C.M.R. 226
, 227 (1973); United States v. Gray,22 C.M.A. 443, 445
,47 C.M.R. 484
, 486 (1973)). We find no such evidence before us. Finally,
because we must set aside the sentence in order to permit a
rehearing, there is no direct sentence relief that we can afford
to Moreno. Compare Jones, 61 M.J. at 86 (this court formulated
a remedy for prejudicial denial of speedy appellate review where
neither the adjudged sentence nor the convening authority’s
action were to be set aside).
We are not, however, without power to effect appropriate
relief in this case. Should there be a rehearing resulting in a
conviction and new sentencing, we believe that limiting the
sentence that may be approved by the convening authority will
adequately afford Moreno relief for the deprivation of his
speedy appellate review due process rights.
DECISION
The decision of the United States Navy-Marine Corps Court
of Criminal Appeals is reversed. The findings and sentence are
set aside and a rehearing may be ordered. In the event that a
rehearing is held resulting in a conviction and sentence, the
convening authority may approve no portion of the sentence
exceeding a punitive discharge.
35
United States v. Moreno, No. 04-0698/MC
CRAWFORD, Judge (concurring in part and dissenting in
part):
I respectfully dissent because the majority: (1) usurps
the role of Congress and the President, as delegated by Congress
to the executive branch by Article 36, Uniform Code of Military
Justice (UCMJ), 10 U.S.C. § 836
(2000), by establishing prospective rules setting forth timelines for the post-trial processing of cases in the military justice system; and (2) misapplies the speedy trial balancing factors of Barker v. Wingo,407 U.S. 514, 529-33
(1972).
I agree with the majority that the military judge should
have granted the challenge for cause, and thus concur in the
result.
I. Separation of Powers
A. History
The wisdom of our Founding Fathers is reflected in the
process and procedures they established in the Constitution. To
prevent centralization of power, the Founding Fathers
established three branches of government, each with its own
rules, powers, and responsibility, and serving as a check on
each other rather than one exercising the role of two branches
of government. As James Madison said, “There can be no liberty
. . . if the power of judging be not separated from the
legislative and executive powers.” The Federalist No. 47, at
United States v. Moreno, No. 04-0698/MC
302 (James Madison) (Clinton Rossiter ed., 1961). Accordingly,
Madison cited the “oracle” Montesquieu for the admonition of our
Founding Fathers that the “preservation of liberty requires that
the three great departments of power should be separate and
distinct.” Id.
No. 47, at 301 (James Madison). In separating the powers of the departments of the federal government, the Founding Fathers established a system of checks and balances “by so contriving the interior structure of the government as that its several constituent parts may, by their mutual relations, be the means of keeping each other in their proper places.Id.
No.
51, at 320 (James Madison).
B. Congressional Delegation
Under Article 36, UCMJ, Congress has delegated to the
President the power to prescribe rules for post-trial
procedures. By establishing prospective rules setting forth
timelines for post-trial processing, the majority assumes the
role delegated to the President by Congress in Article 36, UCMJ,
in contravention of the constitutional separation of powers
doctrine.
In Barker v. Wingo, the Supreme Court rejected judicial
rulemaking to specify a time period for when a defendant will be
offered a trial. 407 U.S. at 523
. The Court concluded that
setting out a time period to identify when the speedy trial
right has been infringed would require the Court “to engage in
2
United States v. Moreno, No. 04-0698/MC
legislative or rulemaking activity, rather than in the
adjudicative process to which [the Court] should confine [its]
efforts.” Barker, 407 U.S. at 523
. The Court reasoned its “approach must be less precise” and that it should not establish procedural rules because there is “no constitutional basis for holding that the speedy trial right can be quantified into a specified number of days or months.”Id.
In creating specific
timelines that, if violated, equate to unreasonable delay, the
majority is essentially modifying the Rules for Courts-Martial
(R.C.M.) and attempting to assume the role of the President in
violation of separation of powers principles.
II. Post-Trial Delay
A. General
While the Supreme Court has not addressed the issue of
whether the Constitution guarantees a right to a speedy appeal,
the lower federal courts and this Court have. “The speedy trial
guarantee of the Sixth Amendment applies only to proceedings in
the trial court. Our sister circuits have held, however, that a
similar guarantee applies to criminal appeals via the Due
Process Clause.” United States v. Smith, 94 F.3d 204, 206
(6th
Cir. 1996) (citations omitted). The right to a speedy trial is
guaranteed an accused by the Sixth Amendment. The Due Process
Clause provides that “No person shall . . . be deprived of life,
liberty, or property, without due process of law . . . .” U.S.
3
United States v. Moreno, No. 04-0698/MC
Const. amend. V. An appellant’s right to a speedy appellate
review evolves from an appellant’s due process rights under the
Fifth Amendment. Harris v. Champion, 15 F.3d 1538, 1558
(10th Cir. 1994). When examining these constitutional rights, we must look at the text, the history, the tradition behind the constitutional amendments, prior precedent, and practical consequences. See County of Sacramento v. Lewis,523 U.S. 833, 857
(1998) (must consider “history and tradition”); United States v. Mara,410 U.S. 19, 37
(1973) (must examine the
teachings of history and tradition).
The federal courts have recognized that generally “there is
no due process right to an appeal at all, but that an appeal
must nonetheless comport with due process ‘if a State has
created appellate courts as an integral part’ of its criminal
justice system.” Smith, 94 F.3d at 206
-07 (quoting Harris,15 F.3d at 1558
) (internal quotation marks omitted). The courts considering this issue have conducted a case-by-case basis analysis, applying a modified version of the four factors of Barker to determine whether the delay in an appeal violated an appellant’s due process rights to a speedy post-trial review. These four factors are: (1) length of the delay; (2) reasons for the delay; (3) the appellant’s assertion of his right to a timely appeal; and (4) prejudice to appellant. Barker,407 U.S. at 529-33
.
4
United States v. Moreno, No. 04-0698/MC
In Barker, the Supreme Court adopted a “balancing test”
approach in evaluating these factors in speedy trial violations
“in which the conduct of both the prosecution and the defendant
are weighed.” Barker, 407 U.S. at 530
. The “balancing test necessarily compels courts to approach speedy trial cases on an ad hoc basis.”Id.
None of these four factors is “a necessary or sufficient condition to finding of a deprivation of the right of speedy trial.”Id. at 533
. Courts must engage in the “difficult and sensitive balancing process” of all of the factors in evaluating whether a post-trial delay violates an appellant’s due process. Seeid. at 533
.
In Toohey v. United States, 60 M.J. 100, 102
(C.A.A.F. 2004), this Court recognized that servicemembers have a due process right to speedy appellate review and used modified Barker factors to evaluate whether appellate delay violates an appellant’s due process rights. See also Diaz v. Judge Advocate General of the Navy,59 M.J. 34, 37-38
(C.A.A.F. 2003)
(servicemembers have a right to have their cases reviewed in a
timely fashion).
Courts have viewed appellate delays differently than trial
delays. “[N]ot every delay in the appeal of a case, even an
inordinate one, violates due process.” Rheuark v. Shaw, 628 F.2d 297, 303
(5th Cir. 1980). Most federal courts have not
created a “benchmark” for triggering a presumption of prejudice.
5
United States v. Moreno, No. 04-0698/MC
But see Harris, 15 F.3d at 1559-60
(Tenth Circuit has held that a two-year appellate delay will create a rebuttable presumption that the constitutional threshold has been crossed). See also Barker,407 U.S. at 523
(Court specifically rejected establishing a specified time period to bring a defendant to trial). The federal courts evaluate the peculiar circumstances of each case to determine whether the length of the delay provokes a constitutional inquiry. “[U]nless there is a period of delay that appears, on its face, to be unreasonable under the circumstances, ‘there is no necessity for inquiry into the other factors that go into the balance.’” Smith,94 F.3d at 209
(quoting Barker,407 U.S. at 530
). “[I]f the constitutional inquiry has been triggered, the length of delay is itself balanced with the other factors” in the Barker analysis.Id.
In extreme circumstances, the length of delay may give rise to a strong “presumption of evidentiary prejudice” to a defendant’s ability to defend himself at trial. See Doggett v. United States,505 U.S. 647, 655-57
(1992).1 But see Smith,94 F.3d. at 212-13
(“We deem Doggett relevant, but we hold that the presumption of prejudice, if any, in this case of three-year appellate delay has been clearly rebutted.”) (emphasis added). 1 Under the Doggett presumption of prejudice analysis, if the delay triggers the Barker analysis, there is a presumption of prejudice and “the only question is how much ‘importance’ to assign to that prejudice.” Smith,94 F.3d at 212
.
6
United States v. Moreno, No. 04-0698/MC
B. Applying the Barker Analysis to This Case
1. Length of the Delay
In this case, there has been delay of nearly 1,700 days
between the completion of Appellant’s court-martial and the
Court of Criminal Appeals’ decision. On its face, this delay is
sufficient to trigger an inquiry using the Barker analysis.
2. Reasons for the Delay
Although there were significant delays at all phases of the
post-trial process in this case, the greatest portion of that
delay involves the period from when the case was docketed at the
Court of Criminal Appeals until the briefing was complete. It
is the majority’s conclusion regarding this period of delay with
which I have the greatest disagreement. The appellate defense
counsel requested and was granted eighteen enlargements of time
in which to file a brief. The reason stated for enlargements
four through eighteen was “other case load commitments.” The
majority refuses to hold Appellant accountable for any portion
of this delay even though neither Appellant nor his defense
counsel requested assistance within the appellate division or
outside the appellate division from outside contractors or other
services’ appellate divisions to process this appeal. Despite
the lack of a request for assistance because of “case load
commitments,” incredibly, the majority concludes “there was no
7
United States v. Moreno, No. 04-0698/MC
evidence demonstrating that the enlargements were directly
attributable to Moreno.”
In my view, unless the appellate defense counsel was
ineffective or was acting unethically or outside the scope of
his authority, the actions he took to obtain additional delays
in the filing of the appellate briefs were performed for and on
behalf of Appellant. Presumably, appellate defense counsel
filed requests for delays with the knowledge of Appellant
because a reasonably effective counsel would have communicated
with his client. The majority ultimately lays the blame for the
delay at the feet of the Court of Criminal Appeals. It holds
that regardless of the appellate defense counsel’s case load
problems, the Courts of Criminal Appeals are responsible for the
“timely management and disposition of cases docketed at the
Courts of Criminal Appeals.”
This case reinforces the wisdom of the federal and state
courts placing the burden on Appellant to show prejudice. There
are a number of questions to be asked of defense counsel -- What
other cases did you have? How did you stagger them? Did you
prioritize the cases? What issues were present? What were the
difficulties in contacting Appellant? Was there a conflict in
Appellant’s wishes and your desires? Did you request assistance
from your supervisor?
8
United States v. Moreno, No. 04-0698/MC
The Government is simply not in a position to answer
questions as to why the defense counsel asked for extended
delays. See United States v. Lewis, 42 M.J. 1
(C.A.A.F. 1995).
Nor can the Government answer questions regarding the impact of
the requested delays on the strategy, theories, or theme of the
defense. Yet, contrary to the prevailing jurisprudence of
federal and state courts, the majority relieves Appellant from
his burden of demonstrating actual prejudice and incredibly
shifts the responsibility for the delay to the Government.
Thus, the majority has created an incentive for the defense to
request enlargements knowing they will not be asked these
questions absent a court order.
Delay must be examined on the basis of the facts in a
specific case and not based on the length of delay alone. In
fact, merely asking for numerous delays has ended up benefiting
Appellant. Based on the majority decision, I predict that
appellate courts will receive many more requests for
enlargements from appellate defense counsels in order to get the
benefit of the presumption of unreasonable delay in a speedy
appellate review scenario. It is incredible that while
recognizing this lengthy period of time is attributable to the
appellate defense counsel’s requests for delay, the majority
declines to hold Appellant accountable for any of it.
9
United States v. Moreno, No. 04-0698/MC
3. Appellant’s Assertion of His Right to a Timely Appeal
Appellant never asserted a post-trial speedy review right
or protested the length of delay in his case. While the demand
rule is not conclusive in the speedy trial or appellate review
context, it is extremely important in evaluating the length and
reason for the delay as well as whether there is any personal
prejudice. Barker, 407 U.S. at 531
. A complaint or protest would have at least indicated to the appellate court that Appellant was dissatisfied with the pace of his appeal. The determination of whether an appellant asserts his right to a speedy post-trial review is “entitled to strong evidentiary weight in determining whether [an appellant] is being deprived of the right.”Id. at 532-33
. The “failure to assert the right will make it difficult for [an appellant] to prove he was denied a speedy trial” review.Id. at 532
.
This factor becomes more significant when there are a
number of options open to counsel and an appellant to complain
about the delay. These options could ensure expediting the
appeal to avoid any possible violation of post-trial delay. In
this case, there is no indication that Appellant made efforts to
prod appellate defense counsel or anyone else to expedite his
appeal. Yet the majority shifts the responsibility for the
entire period of delay onto the Government in spite of the
10
United States v. Moreno, No. 04-0698/MC
requests for delay by Appellant through his appellate defense
counsel.
What is the Government to do? Oppose defense requests for
delay because the delay will be attributed to it? Should the
Courts of Criminal Appeals deny defense requests for delays for
fear the delays will be attributed to it or the Government?
What is next? Will we begin to see appellate defense counsel
raise the issue that an appellant was denied an opportunity to
present his case on appeal because his reasonable request for a
delay for filing his brief was denied?
Although the Supreme Court rejected the rule that a
“defendant who fails to demand a speedy trial forever waives his
right,” the Court did state that “[t]his does not mean, however,
that the defendant has no responsibility to assert his right.”
Barker, 407 U.S. at 528
. The principle set out in Barker is that an appellant’s “assertion of or failure to assert his right to a speedy trial is one of the factors to be considered in an inquiry into the deprivation of the [speedy trial] right.”Id. at 529
. The application of this formula allows the courts
judicial discretion based on the circumstances as opposed to the
application of some rigid rule that does not provide for
consideration of the circumstances of the case. In its opinion,
the majority in effect overlooks any application of this factor
to the facts of this case even though it is a factor in the
11
United States v. Moreno, No. 04-0698/MC
Barker analysis. Thus, I disagree with the majority and the
weight, or lack thereof, they give to the absence of an
assertion of the right to a speedy post-trial review.
4. Prejudice to Appellant
With respect to assessing the fourth factor -- prejudice --
the Supreme Court provided further guidance. Prejudice should
be evaluated “in the light of the interests of defendants which
the speedy trial right was designed to protect.” Barker, 407 U.S. at 532
. The interests are:
(i) to prevent oppressive pretrial incarceration; (ii)
to minimize anxiety and concern of the accused; and
(iii) to limit the possibility that the defense will
be impaired. Of these, the most serious is the last,
because the inability of a defendant adequately to
prepare his case skews the fairness of the entire
system.
Id.
Lower courts applying the Barker test to appellate delay
have adapted the prejudice factors to fit the circumstances of
convicted parties on appeal: “(1) prevention of oppressive
incarceration pending appeal; (2) minimization of anxiety and
concern of those convicted awaiting the outcome of their
appeals; and (3) limitation of the possibility that a convicted
person’s grounds for appeal, and his or her defenses in case of
reversal and retrial, might be impaired.” Harris, 15 F.3d at 1559
(quoting Rheuark,628 F.2d at 303
n.8).
12
United States v. Moreno, No. 04-0698/MC
a. Prevention of Oppressive Incarceration Pending Appeal
Generally, incarceration will be considered “oppressive” if
an appellant is confined while the appeal is pending and the
substantive appeal is meritorious. See Cody v. Henderson, 936 F.2d 715, 719-21
(2d Cir. 1991). In this case, the meritorious
issue addressed by the Court concerns the denial of a challenge
for cause against a court member. There were no successful
issues regarding the sufficiency of evidence or the
admissibility of evidence. Theoretically, the Government will
be able to use the same evidence used at the original trial to
retry Appellant. There is no way, based on the facts and
evidence in this case, to conclude that Appellant’s
incarceration was oppressive or out of the ordinary for a person
convicted of an offense and sentenced to confinement.
Furthermore, Appellant was sentenced to six years of
confinement. The majority, without any documentary evidence on
which to rely, theorizes that Appellant was released from
confinement after about four years of confinement. Assuming the
majority is correct, apparently the delay in the appeal of
Appellant’s case did not affect his ability to obtain a minimum
release date and to be released from confinement when that date
was reached. Without knowing the outcome of the retrial, it is
only supposition as to whether Appellant’s incarceration was
excessive or oppressive.
13
United States v. Moreno, No. 04-0698/MC
b. Minimization of Anxiety and Concern While Awaiting
Outcome of Appeal
I agree with the majority that “the appropriate test for
the military justice system is to require an appellant to show
particularized anxiety or concern that is distinguishable from
the normal anxiety experienced by prisoners awaiting an
appellate decision” and that the anxiety is not “dependent upon
whether his substantive appeal is ultimately successful.” I
disagree with the majority’s conclusion that Appellant’s anxiety
was “distinguishable” because he had to register as a sex
offender upon his early release from confinement. This
consequence of Appellant’s conviction has been deemed a
collateral consequence of a conviction by numerous courts and
will not generally merit relief in those situations where an
appellant proceeds to trial without knowledge of such a
consequence. See State v. Young, 542 P.2d 20
(Ariz. 1975); Ray v. State,982 P.2d 931
(Idaho 1999); State v. Schneider,640 N.W.2d 8
(Neb. 2002); Davenport v. State,2000 ND 218
,620 N.W.2d 164
; Mitschke v. State,129 S.W.3d 130
(Tex. Crim. App. 2004); State v. Bollig,2000 WI 6
,232 Wis. 2d 561
,605 N.W.2d 199
; State v. Ward,869 P.2d 1062
(Wash. 1994); Johnson v. State,922 P.2d 1384
(Wyo. 1996).
How the majority can now classify a sex offender
registration requirement as “distinguishable” anxiety is beyond
14
United States v. Moreno, No. 04-0698/MC
comprehension. The record contains no information concerning
the requirements for sexual offender registration in the state
of California where Appellant resides, and what, if anything,
will happen regarding the registration requirement for Appellant
after the findings in his case are set aside and he is awaiting
a new trial. The majority simply latches on to the assertion in
Appellant’s brief that he had to register as a sex offender upon
his release from confinement without any proof of registration
or what the effects of setting aside the conviction and retrying
Appellant would have on that requirement.
c. Limitation of Appellant’s Grounds for Appeal or
Defenses at Retrial
The most serious factor in analyzing the prejudice factor
is evaluating the ability of an appellant to assert: (i) his or
her arguments on appeal; and (ii) his or her defense in the
event of retrial or resentencing. See Barker, 407 U.S. at 532
; Harris,15 F.3d at 1563
. See also Smith,94 F.3d at 211
(question is whether the delayed ruling by the appellate court
actually preserved any arguments the appellant would have
asserted on retrial or resentencing and whether Appellant’s
ability to assert these arguments was affected).
15
United States v. Moreno, No. 04-0698/MC
In this case, Appellant failed to establish any harm to his
ability to present a defense or retry his case.2 The substantive
issue raised by Appellant related to the military judge’s denial
of a challenge for cause against a panel member. It was a
technical issue and did not relate to the presentation of the
facts, the evidence, or defenses at trial. There is no danger
to any of his potential arguments or ability to present a
defense. At a retrial, the court member issue in this case will
be cured.
As to prejudice generally, one must recognize the
difference between pretrial delay prejudice and post-trial delay
prejudice. Pretrial delay prejudice involves planning a defense
at trial with live witnesses who may not have committed their
testimony either to an oral or written form. “When a full trial
has occurred, even if there is an inordinate post-trial delay,
the record of trial is preserved” and an appellant must make
some showing of prejudice to establish a due process violation.
Latimore v. Spencer, 994 F. Supp. 60, 71
(D. Mass. 1998). In
post-trial delay cases, there has been a conviction. Thus, the
same anxiety that might occur in a pretrial scenario does not
occur to the same extent in the post-trial scenario because the
defendant is no longer cloaked with the presumption of
2
The majority acknowledges that Appellant failed to “identify
any specific harm that he would encounter at a rehearing” and
that he “failed to establish prejudice under this sub-factor.”
16
United States v. Moreno, No. 04-0698/MC
innocence. Likewise, the concern that pretrial delay may affect
the defendant’s ability to mount a defense because memories will
dim or witnesses will become unavailable is not a concern with
post-trial delay.
In the post-trial scenario, the defendant has been
convicted after a full-fledged adversary proceeding and is given
a complete verbatim copy of the record, together with appointed
counsel and a right to appeal the case when the sentence extends
to one year of confinement and/or a punitive discharge.
Appellate review of military cases is much broader than in the
civilian sector because the intermediate civilian appellate
court has no factfinding capability. This procedure is
essential because it allows defendants to have a fair chance to
present persuasive arguments during the appellate process.
Appellate defense counsel have at their disposal the means
of identifying any prejudice that might otherwise arise from the
passage of time. If witnesses are not available, their former
testimony can be introduced under Military Rule of Evidence
(M.R.E.) 804(b)(1) and M.R.E. 801(d)(1)(A) and (B) or M.R.E.
803(5). Likewise, if memories fade, they can be refreshed under
M.R.E. 612. If there is a change in testimony, the parties have
a right to impeach the witness. M.R.E. 613. This verbatim
record obviates most of the problems of retrials. Absent a
showing at a United States v. DuBay, 17 C.M.A. 147
,37 C.M.R. 17
United States v. Moreno, No. 04-0698/MC 411 (1967), or motion hearing that Appellant is unable to present a defense, or collect exculpatory evidence as a result of the excessive delay, the charges should not be dismissed. See also State v. Hall,487 A.2d 166
(Vt. 1984) (defendant has
burden of showing substantial prejudice because of the delay).
The most problematic aspect of the majority’s opinion is
its application of the Barker prejudice factor. Appellant and
the majority in this case merely speculate as to the potential
harm. Rather than placing the burden on Appellant to show
prejudice, the majority is intent on placing the responsibility
for the delay on the Courts of Criminal Appeals. According to
the holding of the majority, the Courts of Criminal Appeals have
the responsibility for “the timely management and disposition of
cases” regardless of whether an appellant in fact suffers
prejudice as a result of post-trial delay, whether an appellant
makes efforts to foster the delay, or does nothing to assert his
right to a speedy review. The prejudice factor is the most
critical factor in evaluating whether Appellant’s due process
right to a speedy appellate review has been violated, yet the
majority gives this factor short shrift. I would conclude that
Appellant has not met his burden to demonstrate actual prejudice
by this post-trial delay.
18
United States v. Moreno, No. 04-0698/MC
III. The Reality of the Application of
the Majority’s Specified Time Period
The majority does not adopt a “presumption of prejudice”
but a prospective “presumption of unreasonable delay” if certain
timelines are not met. The majority sets forth a “presumption
of unreasonable delay” to be triggered by the following events:
(1) No action by convening authority within “120 days of
the completion of trial”;
(2) Case not docketed with the service Court of Criminal
Appeals within “thirty days” of convening authority’s action;
and
(3) No decision by the service Court of Criminal Appeals
rendered within “eighteen months of docketing the case.”
Once the timeline is violated, the “presumption of
unreasonable delay” will exist, which will satisfy the first
Barker factor regardless of whether an appellant is sentenced to
or serving confinement. The timeline violation will then
trigger the Barker four-factor analysis. Any delay beyond the
time periods established must be “justifiable, case-specific
delays supported by the circumstances of that case and not
delays based upon administrative matters, manpower constraints
or the press of other cases.”
The majority stands presumptions on their heads, failing to
appreciate which party has the privileged information. By
19
United States v. Moreno, No. 04-0698/MC
shifting the responsibility to the Government rather than
requiring an appellant to demonstrate actual prejudice, the
Court overlooks that the evidence of prejudice is peculiarly
within an appellant’s control. Raising denial of due process
because of appellate delay does not constitute the waiver of the
attorney-client privilege and therefore puts the Government in a
very awkward position. This is why federal and state courts
have placed the burden on the appellant to show actual
prejudice.3
The majority has established a nonexclusive list of
potential remedies for those situations where a reviewing court
determines there is a denial of speedy post-trial or appellate
review. The remedy is supposed to be tailored to the
circumstances of the case:
The nature of that relief will depend on the
circumstances of the case, the relief requested, and
may include, but is not limited to: (a) day-for-day
reduction in confinement or confinement credit; (b)
reduction of forfeitures; (c) set aside of portions of
an approved sentence including punitive discharges;
3
The Georgia Supreme Court recently concluded:
[P]rejudice necessary to establish a due process
violation based on post-conviction direct appeal delay
is prejudice to the ability of the defendant to assert
his arguments on appeal and, should it be established
that the appeal was prejudiced, whether the delay
prejudiced the defendant’s defenses in the event of
retrial or resentencing.
Chatman v. Mancill, 626 S.E.2d 102, 109-10
(Ga. 2006). See also Lopez v. State,769 P.2d 1276, 1288-89
(Nev. 1989).
20
United States v. Moreno, No. 04-0698/MC
(d) set aside of an entire sentence, leaving a
sentence of no punishment; (e) a limitation upon the
sentence that may be approved by a convening authority
following a rehearing; and (f) dismissal of the
charges and specifications with or without prejudice.
Clearly this range of meaningful options to remedy the
denial of speedy post-trial processing provides
reviewing authorities and courts with the flexibility
necessary to appropriately address these situations on
a case-by-case basis.
Certainly, it is a much more cumbersome and time-consuming
process to try a case, transcribe a record, have counsel,4 the
military judge, the staff judge advocate, and the convening
authority review the records of trial, have the convening
authority take action on the case, and then, make the requisite
number of copies of the record and exhibits to forward to the
Courts of Criminal Appeals than it is for an appellate court to
review a completed record and consider and decide the issues
raised. Yet, the majority has set out an arbitrary timeline for
the post-trial processing of a case in the field without regard
to the complications and complexity of the case and the
realities of today’s mobile, deployed forces.
4
Pursuant to R.C.M. 1105(c)(1), an accused has ten days upon
service of the authenticated record of trial or the staff judge
advocate’s recommendation to submit matters for consideration.
This time period may be extended for an additional twenty-day
period. If the staff judge advocate’s addendum contains new
matter, then the accused is entitled to another ten days to
respond. The process of post-trial submissions by the defense
generally will consume at least thirty to forty days of the 120-
day time limit set by the majority.
21
United States v. Moreno, No. 04-0698/MC
The majority, who does not suffer the same complications
and complexities of those in the field, and who receives the
benefit of receiving a completed, typed record to review, has
provided that those individuals in the field should have
essentially five months to get a completed record to the service
courts for docketing. Then, the majority provides the Courts of
Criminal Appeals with eighteen months from docketing to
completion of review. This Court has not always followed its
own standard of completing review within eighteen months. I
suggest that if we are going to set up rules, the rules might
apply to ourselves as well.
The Court’s master docket reveals that as of February 7,
2006, there were three cases over 1,000 days old, which is more
than the eighteen-month standard set out by the majority for the
Courts of Criminal Appeals to issue opinions. There were also
more than thirty cases in which the petition had been granted
and no action had been taken for over 400 days. Additionally,
there were more than twenty-four cases where petitions had been
pending for over eighteen months in which no action had been
taken on the petition.
My purpose in mentioning these delays is not to be critical
of this Court, but rather to underscore that there are valid
reasons for the length of time it takes to conduct a thorough
appellate review of a case whether it be before this Court or a
22
United States v. Moreno, No. 04-0698/MC
Court of Criminal Appeals.5 Many cases are very complex and case
load commitments of counsel are often legitimate reasons to seek
enlargements of time in order to represent one’s client
adequately and ethically. Let me be very clear that I do not
condone many of the delays we have encountered in the military
justice system, including the delay in this case. I share the
concerns of the majority and urge the appropriate legislative
and executive branch officials to take all necessary steps to
address resource and other issues that impact on the efficient
and timely processing of cases for appellate review. I do not,
however, believe justice is served by overstepping our judicial
role and establishing timeline rules, albeit cloaked in the
guise of presumptions, for the post-trial processing of cases.
The majority acknowledges in its opinion that timelines in
the past have not worked, but yet they plug ahead establishing
such rules.6 We are not a rulemaking body and, if we were, we
should not adopt a bright-line rule unless it would approximate
5
Each case must be evaluated for “unreasonable” post-trial delay
based on the facts and circumstances of the case and not some
arbitrary timeline imposed by an appellate court.
6
See United States v. Burton, 21 C.M.A. 112, 118
,44 C.M.R. 166, 172
(1971) (establishing a three-month rule for a pretrial delay), modified by United States v. Driver,23 C.M.A. 243, 246
,49 C.M.R. 376
, 379 (1974)(explicitly changing the rule from “three months” to “ninety days”); Dunlap v. Convening Authority,23 C.M.A. 135, 138
,48 C.M.R. 751
, 754 (1974) (establishing a ninety-day rule for a post-trial delay). But see United States v. Kossman,38 M.J. 258, 261
(C.M.A. 1993) (overruling Burton and Driver); United States v. Banks,7 M.J. 92, 93-94
(C.M.A.
1979) (overruling Dunlap).
23
United States v. Moreno, No. 04-0698/MC
a correct result. These rules will not solve the problem and
will cause considerable anxiety among those who have to do the
yeoman’s work of getting the record to the appellate courts. I
also believe that, in the haste to meet these arbitrary
timelines, we will see more errors or mistakes in the post-trial
processing and in the appellate review of cases, poorly
constructed records of trials, and even the trampling of the
rights of the accused. We have already seen situations where
appellate defense counsel, in an attempt to move cases along,
file pleadings before giving their clients a reasonable
opportunity to raise issues with them and the appellate courts.
In evaluating what remedy it should grant in regard to the
lengthy post-trial delay in this case, the majority looks at
potential remedies without considering the seriousness or the
nature of the offenses involved. I respectfully dissent from
the majority’s conclusion of a violation of Appellant’s right to
a speedy post-trial review absent a showing of actual prejudice
to the findings or sentence by Appellant. It is not enough for
an appellant to claim anxiety as to the outcome of the appeal.
See People v. Missouri, 299 N.W.2d 346, 352-53
(Mich. Ct. App.
1980). Even in the pretrial scenario, it has been held that a
ten-year delay does not create a presumption of prejudice. See,
24
United States v. Moreno, No. 04-0698/MC
e.g., United States v. Mohawk, 20 F.3d 1480, 1488
(9th Cir.
1994). There must be a showing of actual prejudice.7
IV. Conclusion
This Court is not a rulemaking body. Attempts at rulemaking
in the past have proven to be unworkable, and we should not
venture into that area again. The Court should leave the
rulemaking function where it belongs -- to the executive and
legislative branches. If the facts of this case establish a
violation of the Appellant’s right to a speedy post-trial review
upon applying the Barker test, then so be it. But, this Court
should not create rules that exceed the bounds of the separation
of powers doctrine, and that will not accomplish the desired
result.
7
See, e.g., Elcock v. Henderson, 28 F.3d 276, 279
(2d Cir. 1994) (absent showing actual prejudice, no violation of due process for eight-year delay between conviction and appeal); Heiser v. Ryan,15 F.3d 299, 303-04
(3d Cir. 1994) (absent actual prejudice thirteen-year delay was not a violation of due process); United States v. Alston,412 A.2d 351, 361-62
(D.C. 1980) (must show actual prejudice); State v. Chapple,660 P.2d 1208
(Ariz. 1983) (en banc) (must show actual prejudice).
25