Commonwealth v. Mayotte ( 2016 )


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    SJC-11894
    COMMONWEALTH   vs.   LINDA MAYOTTE.
    Worcester.    January 7, 2016. - August 19, 2016.
    Present:    Gants, C.J., Spina, Cordy, Botsford, Duffly, Lenk, &
    Hines, JJ.1
    Rape.  Indecent Assault and Battery. Child Abuse. Incest.
    Reckless Endangerment of a Child. Intimidation of Witness.
    Evidence, First complaint, State of mind, Impeachment of
    credibility, Prior inconsistent statement. Witness,
    Intimidation, Impeachment. Practice, Criminal, Sentence.
    Indictments found and returned in the Superior Court
    Department on March 18, 2010.
    The cases were tried before Richard T. Tucker, J.
    The Supreme Judicial Court granted an application for
    direct appellate review.
    Eric S. Brandt, Committee for Public Counsel Services, for
    the defendant.
    Ellyn H. Lazar-Moore, Assistant District Attorney, for the
    Commonwealth.
    1
    Justices Spina, Cordy, and Duffly participated in the
    deliberation on this case prior to their retirements.
    2
    HINES, J.    A jury convicted the defendant, Linda Mayotte,
    of rape of a child, G. L. c. 265, § 23 (three indictments);
    indecent assault and battery on a child under the age of
    fourteen, G. L. c. 265, § 13B (five indictments); indecent
    assault and battery on a child over the age of fourteen, G. L.
    c. 265, § 13H (five indictments); incest, G. L. c. 272, § 17;
    reckless endangerment of a child, G. L. c. 265, § 13L;
    intimidation of a witness, G. L. c. 268, § 13B; resisting
    arrest, G. L. c. 268, § 32B; and unlawful possession of a
    firearm without a firearm identification card, G. L. c. 269,
    § 10 (h).2    The victim in each of the charged sex offenses was
    her adopted son, D.M.3      The defendant challenges the convictions
    on three grounds:       (1) error in the exclusion of first complaint
    evidence relating to her defense that she was the victim, not
    the perpetrator, of rape by the complainant; (2) error in the
    exclusion of a statement proffered as evidence of the victim's
    state of mind; and (3) insufficiency of the evidence to prove
    the reckless endangerment indictment based on "serious bodily
    2
    The jury acquitted the defendant on seven additional
    indictments charging her, on a joint venture theory, with sex
    offenses committed against her adopted daughter, V.M. (a
    pseudonym), by her husband, Joseph Mayotte. Joseph Mayotte was
    convicted of rape of a child (two indictments), aggravated rape
    of a child, indecent assault and battery on a child (three
    indictments), assault with intent to rape, incest, dissemination
    of matter harmful to a minor, reckless endangerment of a child,
    and failure to secure a firearm.
    3
    A pseudonym.
    3
    injury."    The defendant also challenges her sentence, claiming
    that the judge may have been influenced by improper factors
    argued by the prosecutor.    Because the application of the first
    complaint doctrine to a defendant in a rape prosecution is a
    question of first impression, we granted the defendant's
    application for direct appellate review of all her claims.
    For the reasons explained below, we conclude that the first
    complaint rule is a neutral rule of evidence that permits such
    testimony whenever the credibility of a sexual assault
    allegation is at issue.     Although the judge erred in ruling that
    the defendant's first complaint evidence was inadmissible as a
    matter of law, no prejudice resulted from the exclusion of the
    evidence.   We also reject the defendant's claim of error in the
    exclusion of D.M.'s statement, proffered as evidence of his
    state of mind, as it was not probative of or admissible as
    evidence of the defendant's state of mind.     We vacate the
    conviction of reckless endangerment, however, because we agree
    that the conduct proved at trial -- that the defendant
    recklessly exposed V.M. to the risk of sexual abuse by Joseph
    Mayotte -- was insufficient to establish the element of "serious
    bodily injury" required under the indictment.     Notwithstanding
    any impropriety in the prosecutor's sentencing remarks, we
    discern no basis to conclude that the judge was influenced by
    4
    those remarks in sentencing the defendant, and therefore,
    resentencing is not necessary.
    Background.   Based on evidence presented at trial, the jury
    could have found the following facts.     The defendant and her
    husband, Joseph, married in 1987.     After attempting to have
    biological children, the Mayottes decided to adopt in 2003.
    Approximately one year later, they adopted D.M. and V.M.,
    siblings living in an orphanage in Kazakhstan.     D.M. and V.M.
    moved into the Mayotte home in August, 2004.     D.M. was twelve
    years of age, and V.M. was eight years of age.
    After the Mayottes told the children that Joseph's parents
    had died in the house, and that ghosts remained in the house,
    V.M. became scared of sleeping in her own room.    V.M. started to
    sleep with Joseph; the defendant no longer slept in the bedroom.
    On a regular basis, Joseph touched V.M.'s private areas,
    penetrated her vagina and anus, and made her touch his penis.
    Joseph also showed V.M. pornographic videotapes.
    D.M., who struggled to learn English and felt alienated at
    school, had chronic stomach pains.4    The defendant would massage
    his stomach to help him sleep.   Starting in January, 2005, the
    defendant began initiating sexual contact with D.M., including
    sexual intercourse.   According to D.M., sexual contact occurred
    4
    The pains were later diagnosed as a gall bladder
    condition, for which D.M. had surgery in 2006.
    5
    more than one hundred times between January, 2005, and the
    spring of 2007.     During this time, D.M. made no complaint of
    sexual abuse to the social worker who conducted home visits on
    behalf of the adoption agency or the counsellor he saw for
    twelve sessions.    D.M. did not disclose the alleged abuse to his
    best friend or even his sister, V.M.     The sexual contact ceased
    when the defendant became pregnant with D.M.'s child.5
    On June 15, 2007, V.M. told two neighbor siblings that her
    father, Joseph, had been touching her "private areas."     The
    neighbors' mother called the Department of Children and Families
    (DCF), and that night, a police officer and a social worker
    arrived at the Mayotte house to investigate.    Each child was
    asked separately if he or she had been or were being
    inappropriately touched by a parent.    Both children denied any
    such conduct.     The denials continued throughout DCF's follow-up
    visits to the house during 2007.    During one such visit, D.M.
    told an investigator that he "thought the whole thing was BS."
    In April, 2009, V.M. told D.M.'s girl friend about her
    father's abuse.    The girl friend's mother spoke to the defendant
    and notified DCF.    The defendant and the defendant's friend,
    Edward Kassor, questioned V.M. in front of the girl friend and
    the girl friend's mother.     DCF initiated a second investigation
    5
    The defendant gave birth on January 16, 2008.
    Deoxyribonucleic acid tests proved that D.M. was the baby's
    father.
    6
    of the family, and during a May, 2009, house visit, D.M. again
    told DCF representatives that he was not being abused.
    After two years of denying sexual abuse, D.M. made his
    first complaint on June 4, 2009.    He made the disclosure after
    the defendant sent him a text message threatening to report him
    to the police because he had stolen items of her jewelry.     D.M.
    was visibly upset after receiving the message and fought with
    his girl friend.   When pressed, D.M. told his girlfriend about
    the defendant's sexual acts.   The girl friend insisted that D.M.
    inform the authorities.    That same evening, DCF removed D.M. and
    V.M. from the Mayotte home.
    The defendant testified that she did not rape D.M. and that
    D.M. used physical force and threats to force her participation
    in sexual acts with him.   According to her testimony, D.M.
    became sexually "aggressive" in the spring of 2005.   On separate
    occasions, D.M. threw her down on the bed and pinned her arms to
    her body; grabbed her arm and forced her to the bed; and threw
    her against a bureau after she bit him while attempting to get
    away.   The defendant testified that she was "trying to still say
    no" but that "things would escalate very quickly."    She claimed
    that D.M. put his hands on her throat, placed a knife to her
    throat, and punched her.   As for the alleged threats, the
    defendant testified that D.M.'s "favorite" threat was that he
    would "go to the police and say that [she] was raping him."
    7
    According to the defendant, D.M. made this threat "[e]very time
    he didn't like [the defendant's] reaction" to his advances.      The
    defendant claimed that this ongoing threat was the reason why
    she did not make her own first complaint for almost five years
    after the alleged abuse by D.M. began.   D.M. admitted that he
    would punch holes in his bedroom wall when he was angry, but
    denied any use of force or coercion against the defendant.
    Discussion.   1.   First complaint doctrine.   The defendant
    filed a pretrial motion to present "first complaint" testimony
    from Kassor, in support of her theory of defense that D.M.,
    "wise beyond his years," raped the defendant and controlled her
    behavior by threatening to make a false allegation of rape.
    After a hearing, the trial judge denied the motion, reasoning
    that "[t]he first complaint protocol and doctrine [were] not to
    curb any abuses of defendants being prejudiced by not explaining
    themselves.   They don't have to explain themselves.   The law
    doesn't require it, and every judge instructs a jury that they
    do not have to explain themselves.   So there's no prejudice if
    she never made a statement."
    On appeal, the defendant urges us to permit the application
    of the first complaint doctrine to a sexual assault defendant
    whose defense at trial is that she was the victim of a sexual
    assault by the complainant rather than the perpetrator.    She
    argues that the first complaint doctrine applies for the benefit
    8
    of any party who makes an allegation of sexual assault that is
    contested by the alleged perpetrator.   In the alternative, she
    argues that the proffered evidence is independently admissible
    as the Commonwealth "opened the door" by eliciting testimony
    from multiple witnesses that the defendant "never" complained to
    anyone about her charge that she was raped by the complainant.
    The Commonwealth counters that (1) the doctrine of first
    complaint applies only to statements made by a complaining
    witness in a sexual assault prosecution, and (2) the defendant's
    statement was inadmissible hearsay.
    We agree with the defendant that the first complaint rule
    is a neutral rule of evidence, applicable whenever the
    credibility of a sexual assault allegation is at issue.     In the
    circumstances of this case, however, the judge's error in
    excluding the defendant's first complaint as a matter of law did
    not result in prejudice to the defendant.   Because the
    defendant's first complaint proffer would have been insufficient
    in any event to rebut the Commonwealth's assertion that she
    "never" complained of rape by the complainant, we reject her
    claim that it was independently admissible as a prior consistent
    statement.   Last, we reject summarily the Commonwealth's
    argument that such testimony should be deemed inadmissible on
    hearsay grounds because, consistent with the purpose of the
    9
    first complaint doctrine, such evidence was not offered for its
    truth.
    a.   Origin of first complaint doctrine.    In resolving the
    issue before us, we are guided by what we have understood to be
    the rationale underlying the first complaint doctrine.
    Previously termed the "fresh complaint" rule, the first
    complaint doctrine is based on an English common-law assumption
    that a rape victim who did not immediately speak out about the
    sexual assault "was in effect [asserting] that nothing violent
    had been done."   Commonwealth v. King, 
    445 Mass. 217
    , 228-229
    (2005), cert. denied, 
    546 U.S. 1216
    (2006), quoting Anderson,
    The Legacy of the Prompt Complaint Requirement, Corroboration
    Requirement, and Cautionary Instructions on Campus Sexual
    Assault, 84 B.U. L. Rev. 945, 978 & n.198 (2004).    "American
    courts, in turn, endorsed the belief that the failure of a rape
    victim to make a prompt complaint of a sexual assault was akin
    to an inconsistent statement at odds with the complainant's
    court room testimony about the rape."   King, supra at 229.      The
    fresh complaint doctrine addressed three concerns regarding
    potential juror bias in a rape prosecution:    that jurors may
    still believe that a true rape victim immediately discloses the
    assault; that jurors may draw adverse inferences from the
    absence of evidence suggesting a prompt complaint; and that
    10
    jurors remain skeptical of rape allegations.6    
    Id. at 230.
       As a
    result, prosecutors are permitted to rebut any inference of
    fabrication with witness testimony that the complainant did in
    fact tell someone, and that the complaint was prompt or "fresh."
    
    Id. at 229.
    In 
    King, 445 Mass. at 237-238
    , this court replaced the
    "fresh complaint" rule with the "first complaint" doctrine, in
    recognition of empirical studies showing that immediate
    disclosure of sexual assault is not universal.    We determined
    that "ostensible 'delay' in disclosing a sexual assault is not a
    reason for excluding evidence of the initial complaint; the
    timing of a complaint is simply one factor the jury may consider
    in weighing the complainant's testimony."    
    Id. at 242.
      In
    balancing the competing interests, we limited first complaint
    testimony to that of one witness -- the first person told of the
    assault.   
    Id. at 243.
      We were mindful that multiple complaint
    witnesses could "unfairly enhance a complainant's credibility as
    6
    Because "a child's circumstances commonly make it
    difficult, if not impossible, for the child to make a prompt
    complaint of sexual assault," Commonwealth v. Montanez, 
    439 Mass. 441
    , 453-454 (2003) (Sosman, J., concurring), citing
    Commonwealth v. Fleury, 
    417 Mass. 810
    , 813-815 (1994), we
    expanded the fresh complaint rule to permit "a child's much
    later report of sexual assault . . . whenever there is a
    reasonable explanation for the child's failure to make a prompt
    complaint." 
    Montanez, supra
    . We later applied this reasoning
    to adult complainants. See Commonwealth v. King, 
    445 Mass. 217
    ,
    240 (2005), cert. denied, 
    546 U.S. 1216
    (2006).
    11
    well as prejudice the defendant by repeating for the jury the
    often horrific details of an alleged crime."      
    Id. b. Scope
    of first complaint doctrine.   Although the issue
    has arisen solely in the context of a jury's assessment of the
    credibility of a complaining witness in a sexual assault
    prosecution, nothing in our jurisprudence precludes the
    application of the first complaint doctrine to a defendant in a
    sexual assault prosecution.     As demonstrated by our cases, the
    first complaint rule owes its genesis to the confluence of two
    factors:    (1) that the central issue is a sexual assault rather
    than some other nonsexual crime; and (2) the need to provide to
    the jury "as complete a picture as possible of how the
    accusation of sexual assault first arose."       
    King, 445 Mass. at 247
    .    At its core, therefore, the doctrine exists to facilitate
    credibility determinations where an allegation of sexual assault
    is at issue.    This purpose is no less important when a jury is
    called upon to assess such an allegation made by a defendant.
    Even when the first complaint rule was assumed to be
    available only to the named complainant in a sexual assault
    prosecution, we stressed the importance of an informed
    determination of credibility:    "The doctrine . . . is not
    intended to be used as a shield to bar the jury from obtaining a
    fair and accurate picture of the Commonwealth's case-in-chief."
    Commonwealth v. Arana, 
    453 Mass. 214
    , 228-229 (2009).       In a
    12
    similar vein, we ask whether the application of the doctrine to
    a defendant in a sexual assault prosecution undermines or
    otherwise perverts this purpose.    It does not.    The issue of
    witness credibility is the same whether the person claiming such
    assault is the defendant or the complainant.       A defendant in a
    sexual assault prosecution, who claims to have been so assaulted
    by the complainant, faces the same credibility obstacle in
    proving his or her defense as the Commonwealth faces in proving
    the indictment.   In our view, therefore, the identity of the
    party making the allegation of sexual assault does not dictate
    the application of the doctrine.   The defendant is no less
    entitled than the Commonwealth to the benefit of a principle
    intended to mitigate the inherent obstacles to establishing the
    credibility of a sexual assault allegation.
    Our reluctance to limit the application of this doctrine
    for the benefit of the Commonwealth reflects the concern we
    expressed in Commonwealth v. Morales, 
    464 Mass. 302
    , 308-310
    (2013), that one-sided evidentiary rules are inherently unfair.
    In Morales, we rejected the defendant's argument that the rule
    we articulated in Commonwealth v. Adjutant, 
    443 Mass. 649
    , 650
    (2005) (permitting defendant to show prior acts of violence by
    victim), should apply only to the defendant.       Morales, supra at
    309.   We noted that if evidence of "prior acts of violence by
    the victim will assist a jury . . . , it follows that evidence
    13
    of [such acts] committed by the defendant will do the same."
    
    Id. Thus, in
    deference to the same fairness concerns, we are
    persuaded that the first complaint doctrine must be neutral, and
    that it may apply whenever the credibility of a sexual assault
    allegation is a live issue in the case.
    The Commonwealth argues that application of the first
    complaint doctrine to defendants will cause jury confusion as
    well as create a trial within a trial.     We agree with the
    defendant, however, that such concerns do not militate against
    allowing a defendant in a sexual assault prosecution to proffer
    first complaint evidence.   The matter properly may be relegated
    to the trial judge who, in the exercise of his or her
    discretion, is adequately equipped by the existing rules of
    evidence to prevent any such confusion.     See generally Mass. G.
    Evid. §§ 403, 413 (2016).    See also Mass. R. Crim. P. 11 (a),
    (b), as appearing in 
    442 Mass. 1509
    (2004); Mass. R. Crim. P.
    14 (a) (1) (B), as amended, 
    444 Mass. 1501
    (2005).
    2.   The defendant's first complaint evidence.   Having
    determined that a defendant in a sexual assault prosecution may
    offer first complaint evidence as part of the defense to the
    charge, we review the judge's ruling to determine if it resulted
    in prejudice to the defendant.    Here, defense counsel objected
    numerous times to the judge's rulings on the defendant's proffer
    of first complaint evidence.     Counsel objected at the motion
    14
    hearing and the judge affirmatively recognized the objection on
    the record.   Counsel then renewed the objection at trial.
    Because the issue was preserved, we review the decision "to
    ensure 'that the error[s] did not influence the jury or had but
    very slight effect.'"   
    Arana, 453 Mass. at 228
    , quoting
    Commonwealth v. Flebotte, 
    417 Mass. 348
    , 353 (1994).
    Reviewing the error under this standard, we discern no
    prejudice to the defendant.   The defendant's proffer did not
    specify any details of the proposed testimony.   The sole
    reference to the substance of the testimony was as follows:
    "This testimony would be elicited from Edward Kassor, a close
    friend of [the defendant's]." In the absence of any necessary
    details, this proffer would have had little or no probative
    value as first complaint testimony.   Had the judge considered
    the proffer, rather than denying it as a matter of law,
    clarification would have been required.   Further inquiry would
    have revealed the defendant's equivocal statement to the police
    that she "tried to tell [her] friend Ed," which falls short of
    an affirmation that she did in fact disclose the alleged rape by
    the complaining witness.   See Commonwealth v. Murungu, 
    450 Mass. 441
    , 445-446 (2008) (expressions of "unhappiness, upset or other
    such feelings" not statement of sexual assault).   Considering
    the vague nature of the defendant's proffer and the strength of
    the Commonwealth's case, we are persuaded that the omission of
    15
    her first complaint evidence "did not influence the jury or had
    but very slight effect" (citation omitted).     
    Flebotte, 417 Mass. at 353
    .
    As to the defendant's claim that her first complaint
    testimony was independently admissible because the Commonwealth
    "opened the door" with its questions to various witnesses, see
    Commonwealth v. Kebreau, 
    454 Mass. 287
    , 298-299 (2009)
    (admitting statement of sexual assault for purpose of
    rehabilitation), we discern no error in the judge's exclusion of
    her statement on this ground.
    "[A] prior consistent statement made before the witness had
    incentive to fabricate may be admitted for the limited purpose
    of rebutting the claim of recent fabrication."     Commonwealth v.
    Tennison, 
    440 Mass. 553
    , 563 (2003).     See Mass. G. Evid.
    § 613(b)(2) (2016).    However, "the impeachment of a witness by
    prior inconsistent statements or omissions does not, standing
    alone, entitle the adverse party to introduce other prior
    statements made by the witness that are consistent with [her]
    trial testimony."     Commonwealth v. Bruce, 
    61 Mass. App. Ct. 474
    ,
    482 (2004), citing Commonwealth v. Retkovitz, 
    222 Mass. 245
    ,
    249-250 (1915).
    The defendant complains that the prosecutor elicited
    testimony from numerous witnesses, establishing that the
    defendant did not disclose the alleged rape to them
    16
    individually.    The substance and the timing of the statement are
    dispositive of this claim.     First, the statement allegedly made
    to Kassor was ambiguous, and thus not a prior consistent
    statement in that it did not explicitly assert a claim of rape.
    Indeed, the proffered statement was neither a first complaint
    nor corroboration of a first complaint.      See 
    Murungu, 450 Mass. at 445-446
    .    Second, it was undisputed that the defendant did
    not make the statement until after D.M. had made his complaint
    and after both children had been removed from the home.
    Commonwealth v. Rivera, 
    430 Mass. 91
    , 99–100 (1999) (prior
    consistent statement made after motive to fabricate arose
    inadmissible).    Therefore, the judge committed no error in
    excluding the alleged statement from the evidence on this
    ground.
    3.      Exclusion of D.M.'s statement.   The defendant filed a
    separate motion in limine, seeking to introduce D.M.'s statement
    to his grandfather, "I can beat any system," as evidence
    probative of the defendant's state of mind.      More specifically,
    the defendant proffered the statement to establish that she felt
    "powerless" in her parental relationship with D.M., such that
    she succumbed to his threats and was forced into sexual conduct
    with him.     Citing Commonwealth v. Benjamin, 
    430 Mass. 673
    , 679
    (2000), the judge denied the motion on the ground that "[p]rior
    bad acts of the victim and its effect on the state of mind of a
    17
    defendant is allowed only in self-defense cases."     The judge
    ruled that defense counsel was permitted to ask D.M., "Do you
    believe you can beat any system?"   However, after D.M.
    responded, "No," counsel was not allowed to impeach him by
    calling the grandfather as a witness for that purpose.
    The judge properly excluded the grandfather's testimony as
    hearsay because it was not shown to relate to either D.M.'s or
    the defendant's state of mind.   Admissibility required a
    demonstrated nexus between D.M.'s statement and the defendant's
    state of mind.   On this record, however, the defendant failed to
    make an adequate showing that D.M.'s statement was related to
    the rape prosecution, that the defendant was aware of it, and
    that it was a factor in the charged conduct.    In the absence of
    these facts as a foundation for admissibility, we do not fault
    the judge's ruling that D.M.'s statement did not bear on the
    defendant's state of mind.
    However, we agree with the defendant that the judge should
    have allowed defense counsel to impeach D.M. with his statement
    to the grandfather.   See Commonwealth v. Mahar, 
    430 Mass. 643
    ,
    649-650 (2000) (adopting proposed Mass. G. Evid. § 806 to permit
    impeachment by prior inconsistent statement).    The modified
    question, "Do you believe you can beat any system?" permitted by
    the judge did not accomplish this purpose.     Without the ability
    to establish D.M. as the declarant in boasting of his ability to
    18
    "beat any system," defense counsel lost the benefit of
    impeachment of D.M. with his prior inconsistent statement.
    Nonetheless, this limit on impeachment did not result in
    prejudice to the defendant.    See Commonwealth v. Roberts, 
    433 Mass. 45
    , 51 (2000); Commonwealth v. Smiledge, 
    419 Mass. 156
    ,
    159 (1994).    In allowing the modified question, the judge "did
    not preclude all inquiry" on the issue.    Commonwealth v. Tweedy,
    
    54 Mass. App. Ct. 56
    , 60 (2002).
    4.   Reckless endangerment indictment.    The defendant claims
    the indictment charging reckless endangerment of a child on the
    basis of serious bodily injury was not proved and, therefore,
    the resulting conviction must be reversed.    We agree.
    "[A]rticle 12 of the [Massachusetts Declaration] of Rights
    . . . requires only such particularity of allegation as may be
    of service to a person charged with crime in enabling him [or
    her] to understand the charge and prepare him [or her] defense."
    Commonwealth v. Farmer, 
    218 Mass. 507
    , 509 (1914); G. L. c. 277,
    § 34.   "An indictment conforming with the statutory form is
    sufficient."    Commonwealth v. Baron, 
    356 Mass. 362
    , 364 (1969).
    However, an indictment that entirely omits a charge or does not
    conform to the substance of the statutory language defining the
    elements of the crime does not offer a defendant adequate notice
    of the nature of the charges against him or her.    See
    Commonwealth v. Garrett, 
    473 Mass. 257
    , 267 n.12 (2015)
    19
    (indictment for armed robbery with firearm cannot support
    conviction of armed robbery with dangerous weapon).
    Here, a grand jury indicted the defendant on one charge of
    recklessly exposing V.M. to "a substantial risk of serious
    bodily injury," pursuant to G. L. c. 265, § 13L.      The indictment
    omitted completely any reference to the alternative theory on
    which the charge might be brought, "sexual abuse" of the child.
    See G. L. c. 265, § 13L.    As defined in the statute, "serious
    bodily injury" results in "permanent disfigurement, protracted
    loss or impairment of a bodily function, limb or organ, or
    substantial risk of death."    G. L. c. 265, § 13L.    The
    Commonwealth presented no evidence at trial regarding serious
    bodily injury to V.M.    The evidence related entirely to the
    defendant's responsibility for her husband's sexual abuse of
    V.M.    The judge, however, introduced the theory that the
    defendant recklessly exposed V.M. to a substantial risk of
    "sexual abuse" during his instructions to the jury.     In doing
    so, he improperly expanded the indictment to encompass both
    theories of liability.     See 
    Garrett, 473 Mass. at 267
    .    The end
    result is that the defendant was convicted of a crime for which
    she had not been indicted by a grand jury.     See Commonwealth v.
    Barbosa, 
    421 Mass. 547
    , 554 (1995) (art. 12 bars felony
    conviction without grand jury indictment).    Therefore, we
    disagree with the Commonwealth that the reckless endangerment
    20
    charge based on sexual abuse was "contextualized" by a "multi-
    count indictment" that included numerous sexual assault charges.
    Due process requires that defendants be given sufficient notice
    of the charges against them, notice that was not given here.
    
    Farmer, 218 Mass. at 509
    .
    5.   Sentencing.     The defendant requests resentencing
    because the prosecutor made numerous improper statements at
    sentencing that potentially could have influenced the judge's
    determinations.    Specifically, the prosecution urged the court
    to "send a message to the defendants in the community of
    Worcester County" that crimes against children would not be
    tolerated.    The prosecutor also stated that the defendant had
    "lied" and had "falsely accused" the victims.     Without comment,
    the judge sentenced the defendant to three concurrent terms of
    from eighteen to twenty-two years in State prison -- lower than
    the sentence of from thirty to thirty-three years requested by
    the Commonwealth and higher than the sentence of from five to
    seven years recommended by the defendant.
    A sentencing judge enjoys significant latitude in
    sentencing.   Commonwealth v. Celeste, 
    358 Mass. 307
    , 310 (1970).
    We will not vacate a sentence "unless we have been able to
    identify clear legal error."     Commonwealth v. Woodward, 
    427 Mass. 659
    , 685 (1998).    Where there is a "suggestion of
    impropriety," Commonwealth v. Stuckich, 
    450 Mass. 449
    , 462
    21
    (2008), the judge may voluntarily and explicitly reject reliance
    on improper arguments.     See Commonwealth v. Goodwin, 
    414 Mass. 88
    , 91-92 & n.3 (1993).    However, a judge's decision not to
    disavow such arguments explicitly does not in and of itself
    provide evidence that a judge deviated from his or her duty.
    Goodwin, supra at 92.
    Although the Commonwealth concedes that it was improper to
    ask the judge to "send a message" to the Worcester County
    community regarding crimes against children, we are not
    persuaded that the judge considered the prosecutor's comments.
    We affirm the defendant's sentences, except as to that imposed
    on the reckless endangerment conviction.
    Conclusion.   We conclude that a defendant may proffer first
    complaint evidence where the defendant claims to be the victim
    of sexual assault and that claim is a live issue in the case.
    The exclusion of the defendant's first complaint, however, did
    not result in prejudice.    We vacate the defendant's judgment of
    conviction as to the charge of reckless endangerment and order
    judgment for the defendant as to that charge.      We affirm the
    other judgments of conviction.
    So ordered.
    

Document Info

Docket Number: SJC 11894

Judges: Gants, Spina, Cordy, Botsford, Duffly, Lenk, Hines

Filed Date: 8/19/2016

Precedential Status: Precedential

Modified Date: 11/10/2024