Kenneth H. SCHLOMANN, Petitioner-Appellant,
v.
R. I. MOSELEY, Warden, United States Penitentiary,
Leavenworth, Kansas, Respondent-Appellee.
No. 473-70.
United States Court of Appeals,
Tenth Circuit.
March 24, 1972.
Donald E. Phillipson, of Davis, Graham & Stubbs, Denver, Colo., for petitioner-appellant.
Lieutenant Colonel Arnold I. Melnick, Washington, D. C. (Robert J. Roth, U. S. Atty., Richard L. Meyer, Asst. U. S. Atty., and Captain Michael A. Katz, Office of the Judge Advocate Gen., Dept. of the Army, with him on brief), for respondent-appellee.
Before JONES* and HOLLOWAY, Circuit Judges, and BRATTON,** District Judge.
HOLLOWAY, Circuit Judge.
The central issue before us is the retroactivity of O'Callahan v. Parker,
The facts are detailed in the opinion of the Court of Military Appeals which affirmed the convictions, United States v. Schlomann,
That afternoon Schlomann and his wife had visited a bar and restaurant near the Fort but she departed for work. Schlomann returned to a Noncommissioned Officers' Club on the post but then left the post again by taxicab, while carrying an unopened liquor bottle, and arrived at a local skating rink shortly after 9:00 p. m. He had been drinking beer, was belligerent and was carrying a rifle. He ordered the cab driver, Mr. Howard, out of the taxi and shortly thereafter shot Howard, approached and shot him again and he died of these wounds. Schlomann was convicted of unpremeditated murder for Howard's death under Article 118 of the Uniform Code of Military Justice, 10 U.S.C. Sec. 918.
After further difficulties at the skating rink, Schlomann drove the cab to a nearby motel. While a Mrs. Leonard was attempting to call for police help, he shot and wounded her. For this offense he was convicted of assault with a dangerous weapon in violation of Article 128 of the Code, 10 U.S.C. Sec. 928. He then shot and killed her husband and one George Stockton. At about the time of these shootings he was demanding money. For these homicides he is under two convictions for felony murder in violation of Article 118 of the Code, 10 U.S.C. Sec. 918. In connection with his demands at the motel he was also convicted of attempted robbery under Article 80 of the Code, 10 U.S.C. Sec. 880.
All of the charges were tried together by a General Court-Martial in 1964 at Fort Richardson, Alaska, and Schlomann was found guilty of the charges as stated. He was sentenced to a dishonorable discharge, total forfeitures, confinement at hard labor for life and reduction in grade. The sentences remained undisturbed by all reviewing authorities and the convictions and sentences as rendered were affirmed by the Board of Review and the Court of Military Appeals as reflected in United States v. Schlomann, supra.
Schlomann is in custody at Leavenworth and commenced these habeas proceedings in the United States District Court for the District of Kansas. In a first case filed in October, 1969, he raised the issues we consider, alleging that the military tribunals were without jurisdiction so that his convictions were void. The District Court denied relief in May, 1970. A further habeas proceeding was brought in June, 1970, on the same grounds. The Court's opinion, rendered that month, said the petition was successive, but also considered the merits and denied relief. These opinions are reported at
Before turning to the issues we should say we are satisfied that these offenses were not service connected under present requirements for military jurisdiction. This test of O'Callahan has been analyzed in detail and is the measure of service connected offenses. See Relford v. United States Disciplinary Commandant,
Thus, the retroactivity of O'Callahan is the critical question we face.3 The particular issues presented are: (1) whether retroactive application of O'Callahan is compelled by its jurisdictional terminology and its reasoning that military tribunals lack power to adjudicate non-service connected offenses; (2) whether O'Callahan should be made retroactive under generally applied tests for newly announced constitutional rules; and (3) whether, in any event, trial by the military tribunal for these offenses denied due process and other rights.4
The jurisdictional terminology and constitutional
interpretations of O'Callahan v. Parker
The question of the retroactivity of O'Callahan v. Parker presents difficult problems. They are more complex than many studied in determining whether a new procedural rule or a new principle implementing a constitutional guarantee are to be applied retroactively. The complexity arises from the nature of the holding in O'Callahan. In the opinion the Court referred back to the question on which certiorari was granted, repeating that it involved whether under the circumstances a court-martial may ". . . have jurisdiction to try a member of the Armed Forces."
"We have concluded that the crime to be under military jurisdiction must be service connected, lest 'cases arising in the land or naval forces, or in the Militia, when in actual service in time of War or public danger,' as used in the Fifth Amendment, be expanded to deprive every member of the armed services of the benefits of an indictment by a grand jury and a trial by a jury of his peers. The power of Congress to make 'Rules for the Government and Regulation of the land and naval Forces,' Art. I, Sec. 8, cl. 14, need not be sparingly read in order to preserve those two important constitutional guarantees. For it is assumed that an express grant of general power to Congress is to be exercised in harmony with express guarantees of the Bill of Rights." (
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"We have accordingly decided that since petitioner's crimes were not service connected, he could not be tried by court-martial but rather was entitled to trial by the civilian courts." (
The jurisdictional basis of O'Callahan seems clear. We agree that its limitations on the Code and military courts were stated in terms of "adjudicatory power." See Gosa v. Mayden,
It is fundamental that a conviction by a tribunal lacking jurisdiction may be set aside by habeas proceedings. McClaughry v. Deming,
We are satisfied that O'Callahan v. Parker made "a clear break with the past," Desist v. United States,
Where the exigencies of the situation demand, prospective application has been made of jurisdictional decisions in civil cases, McSparran v. Weist, supra, as well as criminal cases. Warring v. Colpoys,
We are not persuaded that the jurisdictional terminology of O'Callahan compels us to refuse consideration of prospective application. Gosa v. Mayden, supra; contra, United States ex rel Fleming v. Chafee, supra. The broad principles governing retroactivity have been considered in applying land mark constitutional decisions.6 Among those given only prospective application were constitutional pronouncements on one fundamental right stressed in O'Callahan-trial by jury. See DeStefano v. Woods,
Thus we feel that the proper application of O'Callahan, despite its jurisdictional basis, must also be determined under those principles governing retroactivity which the Supreme Court has given us. We turn to their consideration now.
The Supreme Court's criteria for determining retroactivity
The familiar criteria on retroactivity stated in Linkletter v. Walker, supra at 629, are controlling. Under new standard, the extent of reliance by them, as repeatedly stated, we must consider the purpose to be served by the law enforcement authorities on the old standard, and the effect on the administration of justice that retroactive application of O'Callahan would bring. Stovall v. Denno, supra,
Foremost among these criteria is the purpose to be served by the new rule. Desist v. United States, supra. From the language of O'Callahan its purpose appears to be to confine the criminal jurisdiction of military tribunals, due to shortcomings as noted, and also to avoid unjustified deprivation of servicemen's rights to indictment by grand jury and trial by jury, which would otherwise result from expansion of the Fifth Amendment exception relating to ". . . cases arising in the land or naval forces, or in the Militia, when in actual service in time of War or public danger . ." O'Callahan v. Parker, supra,
Confinement of criminal jurisdiction of courts-martial would serve to protect the advantages of trial in regular civil courts. The Court noted advantages of the civil courts in objectivity, independence, tradition, procedure and experience,
However, despite O'Callahan's criticism of the court-martial system there is no indication that its procedures are fundamentally unfair or violative of due process. Convictions under the military system for service connected offenses remain generally undisturbed. There is no constitutional or statutory barrier to trial of such offenses by a court-martial. Relford v. United States Disciplinary Commandant, supra,
We likewise feel that the purpose in O'Callahan of protecting the constitutional rights that it stresses-indictment by grand jury and trial by petit jury-does not call for retroactivity. As others have observed the Supreme Court denied retroactivity to the decisions applying to the states the right to jury trial for serious criminal and contempt charges. DeStefano v. Woods, supra. Moreover the Fifth Amendment right of indictment by a grand jury has not been viewed as so fundamental as to be a part of due process and applicable to State procedure. See Beck v. Washington,
The remaining criteria to consider are the extent of reliance by law enforcement authorities on the prior rule and the effect of retroactivity on judicial administration. Appellant says that O'Callahan was foreshadowed by prior Supreme Court cases.10 We feel that none of these decisions pointed to the departure of O'Callahan from status as the basis for criminal jurisdiction over servicemen as reaffirmed in Kinsella, Gosa v. Mayden, supra; Mercer v. Dillon, supra; and that O'Callahan was ". . . a clear break with the past . . ." Desist v. United States, supra
The final consideration is the effect retroactivity would have on the administration of justice. Appellant Schlomann argues that the District Court made no findings on the issue as to the number of cases of this type which would be affected, and that the effect would not be significant. We cannot agree.
It is true that in neither No. L-1003 nor L-1283 did the Court make such findings. However, we are satisfied that this matter is one of proper judicial notice and that a determination based on law and matters so noticed is sufficient. Such observations were relied on in part by the Supreme Court in denying retroactivity in Desist v. United States, supra
In Gosa v. Mayden, supra,
In sum we are persuaded that the criteria under Supreme Court decisions justify and strongly call for limiting to prospective application the ruling in O'Callahan v. Parker. We agree with the view of the District Judges in these proceedings and those of the several courts that have reached a like conclusion. See Gosa v. Mayden, supra; Mercer v. Dillon, supra; United States v. King, supra; Thompson v. Parker,
Due process and other rights
Lastly, appellant argues that he was denied Fifth Amendment due process, the right to indictment by grand jury and trial by petit jury, and was subjected to several disadvantages in military trial procedure and penalties which he says were less favorable to him than those provided by State law. He stresses trial for offenses carrying a death penalty possibility under military law as opposed to that of Alaska which allows no capital punishment. See Alaska Statutes Annotated, 1962, Title 11 Sec. 11.15.010. He contends that although he received a sentence of life imprisonment, nevertheless the members of the court-martial were faced with the sole alternative of life imprisonment or death after a determination of guilt. See 10 U.S.C. Sec. 918. Moreover, he says that decisions by the military tribunal were possible by a twothirds majority of the 11-man courtmartial, as opposed to a five-sixths majority being necessary for conviction under State law. See Alaska Statutes Annotated, Title 12 Sec. 12.45.010 and Title 9 Sec. 09.20.100. Appellant claims that he lost the advantages of these and other rights available under State law and federal rights, as stated above.
We believe that the views expressed above require rejection of Appellant's contentions. If he was lawfully tried by the military court, as we believe he was, then he was subject to the procedures and penalties which the law for the military forces provided. Since we have concluded that he was properly under regulation of military law, he was subject to the authority that included ". . not only the creation of offenses but the fixing of the punishment therefor." Kinsella v. United States ex rel. Singleton, supra,
We, therefore, hold that the District Court properly denied relief and its judgments are affirmed.
Notes
Of the Fifth Circuit, sitting by designation
Of the District of New Mexico, sitting by designation
The former action was L-1003 in which Chief Judge Stanley appeared to accept the fact that the offenses were not service connected and said the sole issue was the retroactivity of O'Callahan and held it not retroactive. The latter case is L-1283. There Judge Brown's order of dismissal referred to the prior opinion of Judge Stanley, saying that no new legal or factual grounds were presented, and also expressed his view against the retroactivity of O'Callahan
Our record initially covered only the latter case, but we have since caused a supplementary record of the pertinent portions of the first proceeding to be incorporated in view of the appeal in both cases. Opportunity was afforded for additional memoranda addressing the supplemental record, but the parties did not find this necessary. The record now covers all the proceedings in both cases except a hearing transcript in the former case. Chief Judge Stanley's opinion indicates that there were no disputed facts decided and there was no reference to evidence being considered. The record, as now completed, thus appears sufficient as to all contentions raised in both cases.
Schlomann's petition in No. L-1003 alleged that he was off the post and that the offenses were civil offenses against civilians, committed in Alaska and not military offenses. The record is unclear as to allegation and denial that he was on pass, but we feel we should treat his pleading as so alleging. In any event, Schlomann's appeal brief asserts he was on pass and this is not denied by the Government, which concedes also that the offenses were not service connected. In No. L-1003 the Court appeared to treat the offenses as non-service connected and denied relief on the ground that O'Callahan was not retroactive
In No. L-1283 Schlomann also alleged that he was out of uniform. Since that case was dismissed on consideration of the complaint, and no other pleadings therein, we must accept the allegation for purposes of the appeal. In any event, the Government, as stated, has conceded that the offenses were not service connected, and we feel this is clear under the Relford guidelines.
In terms of these guidelines Schlomann was off duty, off the post and the Government does not argue he was improperly absent from it when the offenses occurred. They were committed away from the base; their commission was at a place not under military control; they occurred within our territorial limits and not in an occupied zone of a foreign country; their commission was in peacetime and unrelated to authority stemming from the war power; there was no connection shown between Schlomann's military duties and the offenses; the victims were not engaged in the performance of duties relating to the military; there was present and available a civilian court where the case might be prosecuted; there is no showing of flouting of military authority; there was no threat to a military post; there was no violation of military property shown; and the offenses were among those traditionally prosecuted in civilian courts. See Alaska Statutes Annotated, 1962, Title 11 Secs. 11.15.010 (first degree murder, including felony murder); 11.15.030 (second degree murder, including unpremeditated murder); 11.15.220 (assault with a dangerous weapon); 11.15.240 (robbery); 11.05.020 (punishment for attempt of offenses).
On this record we conclude that all the factors point to the offenses being nonservice connected. See Relford v. United States Disciplinary Commandant, supra
We note that the Court of Military Appeals has applied O'Callahan to all direct appeals pending on June 2, 1969, when the O'Callahan decision was rendered. See Mercer v. Dillon,
The opinion of the Court of Military Appeals, United States v. Schlomann, supra, and that of the Board of Review do not discuss these issues. The record and information before us do not otherwise show whether these issues were raised prior to these habeas proceedings
We have also examined United States v. United States Coin & Currency,
Among the decisions denying retroactivity to cases recognizing new constitutional rules are: Williams v. United States,
In Johnson v. New Jersey, supra,
North Carolina v. Pearce,
Alaska does provide for indictment by grand jury for infamous crimes, with an exception for cases arising in the armed forces in time of war or insurrection. See Alaska Statutes Annotated, 1962, Title 12 Sec. 12.80.020
Appellant relies on Toth U. S. ex rel. v. Quarles,
See also the data concerning the offenses occurring off military reservations in which the Army assumed juridiction in 1967 in Relford v. United States Disciplinary Commandant, supra,
