Commonwealth v. Grady , 474 Mass. 715 ( 2016 )

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SJC-11968
COMMONWEALTH vs. JUSTIN GRADY.
Middlesex. March 7, 2016. - July 12, 2016.
Present: Gants, C.J., Spina, Cordy, Botsford, Duffly, Lenk, &
Hines, JJ.
Controlled Substances. Evidence, Expert opinion. Witness,
Expert. Practice, Criminal, Objection, Motion in limine,
Striking of testimony. "School Zone" Statute. Statute,
Amendment, Retroactive application.
Indictments found and returned in the Superior Court
Department on May 6, 2010.
The cases were tried before Elizabeth M. Fahey, J.
After review by the Appeals Court, the Supreme Judicial
Court granted leave to obtain further appellate review.
Michele R. Moretti for the defendant.
KerryAnne Kilcoyne, Assistant District Attorney, for the
Commonwealth
DUFFLY, J. A jury in the Superior Court convicted the
defendant of operation of a motor vehicle while under the
influence of liquor (OUI), in violation of G. L. c. 90, § 24 (1)
2
(a) (1); possession with intent to distribute a class B
substance, in violation of G. L. c. 94C, § 32A (c); and
possession with intent to distribute a class B substance in a
school zone, in violation of G. L. c. 94C, § 32J. The Appeals
Court affirmed the convictions in an unpublished memorandum and
order pursuant to its rule 1:28, see Commonwealth v. Grady, 87
Mass. App. Ct. 1119 (2015), and we allowed the defendant's
application for further appellate review.
Prior to the start of the trial, the Commonwealth and the
defendant each filed a motion in limine regarding whether a
substitute analyst, Kenneth Gagnon, would be allowed to testify
(the analyst who tested the substance at issue having left the
testing laboratory and moved out of State). Concluding that
Gagnon could testify, the trial judge allowed the Commonwealth's
motion and denied the defendant's motion. In response to the
defendant's request that the judge "please note [his]
objection," the judge responded "sure." Subsequently, at trial,
Gagnon twice testified to the weight of the substance, which,
the parties both now recognize, was improper. A substitute
analyst may testify to his or her own opinion, but not, on
direct examination, to the original analyst's test results. See
Commonwealth v. Greineder, 464 Mass. 580, 586-587, cert. denied,
134 S. Ct. 166 (2013). See also Commonwealth v. Tassone, 468
3
Mass. 391, 399 (2014). The defendant, however, did not object
to or move to strike the testimony.
The question with which we are primarily concerned is what
standard of review applies to the defendant's claim, on appeal
to this court, that the erroneously admitted testimony violated
his confrontation rights pursuant to the Sixth Amendment to the
United States Constitution and art. 12 of the Massachusetts
Declaration of Rights.1 If, as the defendant argues, he
preserved his appellate rights at the motion in limine stage, we
would review the error to determine whether it was harmless
beyond a reasonable doubt; if not, we must instead determine
whether the error created a substantial risk of a miscarriage of
justice. For the reasons set forth below, we conclude that, in
the circumstances presented here, the defendant did not properly
preserve his rights, and that therefore we review the error to
determine whether it created a substantial risk of a miscarriage
of justice. Having done so, we conclude that there was no such
risk. We also reconsider the distinction drawn in our case law
between pretrial efforts to preclude evidence on constitutional
grounds, through a motion in limine or motion to suppress, and
1
In the Appeals Court, the defendant did not focus on the
correct standard of review. The Appeals Court identified the
issue, and concluded that the erroneous admission of the
testimony regarding weight must be reviewed under the
substantial risk of a miscarriage of justice standard. One of
the reasons that we granted further appellate review was to
elaborate on this point.
4
pretrial efforts to preclude evidence on other grounds, and now
do away with that distinction.
1. Background.2 In the early morning hours of February 18,
2010, State police Trooper Paul Conneely stopped the defendant's
motor vehicle on Alewife Brook Parkway in Cambridge after he saw
the defendant turn left at a red light and then proceed over a
bridge while straddling the roadway's dashed center lane.
Trooper Conneely subsequently arrested the defendant for OUI and
arranged to have the defendant's motor vehicle towed to the
State police barracks in the Brighton section of Boston. In the
course of conducting an inventory search of the vehicle, Trooper
Frank Parker found a plastic bag stowed in the molded
compartment at the base of the driver's side door. After he
found the bag, Trooper Parker brought it to Trooper Conneely,
who then had the bag submitted to the State police crime
laboratory (lab) for testing. The substance contained in the
bag was analyzed by Gina DeFranco, an employee at the lab.
Because DeFranco was no longer employed at the lab at the
time of trial, the Commonwealth, through a motion in limine,
sought to have Gagnon testify as a substitute analyst. The
defendant also filed a motion in limine to preclude Gagnon from
2
In his appeal to this court, the defendant does not
challenge his conviction of operation of a motor vehicle while
under the influence of liquor, and we therefore set forth in
detail the facts and trial court proceedings relevant only to
his drug convictions.
5
testifying. At the hearing on the motions, the defendant
argued, essentially, that allowing Gagnon to testify in place of
the analyst who actually tested the substance would "circumvent"
his confrontation rights because he would have no opportunity,
and had no previous opportunity, to cross-examine the
nontestifying analyst. In response, the Commonwealth argued
that Gagnon's testimony would not be a "regurgitation" of the
nontestifying analyst's report; rather, he would testify to his
own opinion, formed on the basis of his review of the underlying
data (i.e., the nontestifying chemist's testing and analysis).
On the basis that the type of testimony outlined by the
Commonwealth is admissible, the judge allowed the Commonwealth's
motion and denied the defendant's motion. After the judge
issued her ruling, the defendant asked that she note his
objection, to which she responded "sure."
Subsequently, at trial, Gagnon described his role in the
case, testifying that he initially performed, at the lab, what
he referred to as a "technical review." Thereafter, he reviewed
the nontestifying analyst's report -- he "made sure that it was
in conformity with laboratory policies and made sure that, in
[his] opinion at that time, . . . what was said in the report
was in fact the results that were reported for the testing on
the evidence." After Gagnon provided additional testimony
detailing what is involved in a technical review, including that
6
he spends a significant amount of his time reviewing drug cases,
the Commonwealth asked him whether, based on his training and
experience and his review of the underlying data in this case,
he had been able to reach an opinion as to what the tested
substance was. Gagnon replied "yes." When the Commonwealth
then asked for his opinion, the defendant objected. The judge
overruled the objection and Gagnon stated that it was his
opinion "the 4.40 grams of powder was found to contain cocaine"
(emphasis added). The defendant did not move to strike the
testimony. On redirect examination, the Commonwealth again
asked Gagnon for his opinion, again over the defendant's
objection, which the judge overruled, and Gagnon responded that
in his opinion "the 4.40 grams of powder contain cocaine"
(emphasis added).
2. Discussion. a. Standard of review. In the past, we
have generally required a defendant to object to the admission
of evidence at trial even where he or she has sought a pretrial
ruling to exclude the evidence either through a motion in limine
or by opposing a motion in limine. See Commonwealth v. Whelton,
428 Mass. 24, 25 (1998), citing Commonwealth v. Keniston, 423
Mass. 304, 308 (1996) ("a motion in limine, seeking a pretrial
evidentiary ruling, is insufficient to preserve appellate rights
unless there is an objection at trial"). In limited
circumstances, however, we have forgiven a defendant's failure
7
to raise a contemporaneous objection at trial. For example,
when a defendant has sought, through a motion in limine, to
preclude evidence on constitutional grounds, we have treated the
motion as if it were a motion to suppress and have considered
the objection at the pretrial stage sufficient to preserve the
defendant's appellate rights. See Whelton, supra at 26. See
also, e.g., Commonwealth v. Santana, 465 Mass. 270, 278-280
(2013) (court reviewed erroneous admission of statements
defendant made to police for harmless error where defendant
argued in motion in limine that allowing statements would
violate his constitutional rights to silence and to counsel but
did not renew arguments, or object, at trial).3
Going forward, we dispense with any distinction, at the
motion in limine stage, between objections based on
constitutional grounds and objections based on other grounds.
We will no longer require a defendant to object to the admission
of evidence at trial where he or she has already sought to
preclude the very same evidence at the motion in limine stage.
The reason that we did not, in the past, require a defendant to
object at trial to something that he or she had previously
3
In addition, we have allowed a defendant's
nonconstitutional objection at the motion in limine stage to
excuse his failure to raise the same objection at trial when the
pretrial objection was coupled with a judge's indication that
the judge was "preserving" or "saving" the defendant's rights.
See Commonwealth v. Aviles, 461 Mass. 60, 66 (2011), and cases
cited. We address this issue infra.
8
sought to preclude on constitutional grounds through a motion in
limine or a motion to suppress is that, in such a case, the
judge had already been made aware of, and had the opportunity to
consider, the objection. For example, in the Santana case,
where the defendant had filed a motion in limine to suppress
statements that he made to the police, the motion had been
denied, and the defendant had not objected when those statements
were introduced at trial, see Santana, 465 Mass. at 278-279, the
defendant did not need to object at trial because the judge had
already considered and rejected the same specific objection at
the motion in limine stage. We now recognize that the principle
applies regardless of whether the objection is based on
constitutional or other grounds.
We caution, however, that this approach is not as broad as
it may seem. An objection at the motion in limine stage will
preserve a defendant's appellate rights only if what is
objectionable at trial was specifically the subject of the
motion in limine. This case perfectly illustrates this point.4
The defendant argued, at the motion in limine stage, that
allowing Gagnon to testify as a substitute for DeFranco would
violate his confrontation rights; he did not make any other
claim. Seeking to preclude a witness from testifying altogether
4
Commonwealth v. Almele, 474 Mass. (2016), which
involves improper expert witness testimony and which we also
decide today, similarly illustrates the point.
9
(i.e., a challenge to who may testify), however, is not the same
as seeking to preclude the introduction of specific information
that the witness might provide (i.e., a challenge to the
substance of what will be testified to). In the former
circumstance, the objection is not to the specific testimony
that the witness might offer, and the judge, therefore, has not
had an opportunity, prior to trial, to consider the propriety of
specific testimony. Where what is being addressed and resolved
at the motion in limine stage differs from what occurs at trial,
the defendant still must object at trial to preserve his or her
appellate rights.
This is particularly true where the case involves a
substitute analyst, as the circumstances of this case make
clear. At the hearing on the parties' motions in limine, the
focus of the discussion was on, and the judge was considering,
whether Gagnon should be allowed to testify at all. The judge
was not considering the specifics of what Gagnon might say,
other than to determine that, in accordance with existing law,
he would testify as to his own opinion on the basis of his own
review of the underlying data. See, e.g., Greineder, 464 Mass.
at 584 ("[W]e draw a distinction between an expert's opinion on
the one hand and the hearsay information that formed the basis
of the opinion on the other, holding the former admissible and
the latter inadmissible."); Commonwealth v. Barbosa, 457 Mass.
10773, 783-784 (2010), cert. denied, 563 U.S. 990 (2011)
(Commonwealth expert may testify to own opinion but not, on
direct examination, to conclusion or opinion of second,
nontestifying expert). When the judge ruled that Gagnon would
be allowed to testify, the presumption was that he would do so
within the parameters established by our case law. The
defendant's objection at the motion stage went only to that
ruling -- that is, it went only to allowing Gagnon to testify as
a substitute for DeFranco. It did not go to the specific
questions that would be asked or the answers that would be given
in the course of that testimony.
It was incumbent on the defendant to object at trial to any
specific testimony that was not directly at issue in the motion
in limine and that he believed to be improper. Although the
defendant objected each time the Commonwealth asked Gagnon for
his opinion regarding the tested substance, the questions
themselves were not improper and the judge rightly overruled the
objections. Gagnon's answers, to the extent they referred to
weight, however, were improper, and the defendant should have
moved to strike them. Cf. Commonwealth v. Womack, 457 Mass.
268, 272-273 (2010) (where, in trial for murder in first degree,
defendant failed to move to strike testimony, court reviewed its
erroneous admission under standard of substantial likelihood of
miscarriage of justice). See also M.S. Brodin & M. Avery,
11
Massachusetts Evidence § 1.3.1, at 6 (8th ed. 2007) ("A motion
to strike is the proper means of eliminating an answer that is
objectionable either on substantive grounds . . . or on the
ground that it is non-responsive"). He did not, in short, lodge
an objection either before or at trial to the very thing that he
argues on appeal was improper.
Furthermore, that the judge, at the hearing on the motion
in limine, responded affirmatively to the defendant's request
that she note his objection does not aid the defendant where,
again, the only objection at that time went solely to the
judge's ruling that Gagnon could testify. Even in those limited
circumstances where a defendant's rights have been "preserved"
or "saved" by a judge noting a particular objection, that
objection has been to the specific evidence subsequently
admitted. See, e.g., Commonwealth v. Kee, 449 Mass. 550, 553
n.5 (2007) (where judge noted defendant's objection to denial of
motion in limine and "saved" defendant's rights regarding
evidence related to marked ten dollar bill, defendant's failure
to object to that particular evidence at trial was not fatal).
See also Commonwealth v. Aviles, 461 Mass. 60, 66 (2011), and
cases cited.
We add a second word of caution here: a judge ought not to
engage in the practice of indicating at the motion in limine
stage that the judge is "saving" or "preserving" a defendant's
12
appellate rights. Because a defendant must be careful to object
at trial to anything that was not specifically at issue in the
motion in limine, an indication from a judge that the
defendant's objection is "preserved" may lull a defendant into
failing to raise a necessary objection at trial. Where the
better practice is for a defendant to object at trial regardless
of a motion in limine, any implication that a defendant's rights
are being "preserved" may inadvertently lead to just the
opposite.
When Gagnon's testimony fell outside the parameters of what
was permitted for a substitute witness in the circumstances
presented here, the defendant was required to move to strike
that testimony in order to preserve his appellate rights.
Because he failed to do so, we review the admission of the
testimony to determine whether it created a substantial risk of
a miscarriage of justice. We turn now to that question.
b. Testimony regarding weight of substance. In reviewing
an error to determine whether it created substantial risk of a
miscarriage of justice, we review the evidence and the case as a
whole "to determine 'if we have a serious doubt whether the
result of the trial might have been different had the error not
been made.'" Commonwealth v. Azar, 435 Mass. 675, 687 (2002),
quoting Commonwealth v. LeFave, 430 Mass. 169, 174 (1999). We
are satisfied, on the record here, that the result of the trial
13
would not have been different, and that the jury fairly
concluded that the defendant was guilty of possession with
intent to distribute. The Commonwealth's case was strong, and
the challenged evidence as to the weight of the cocaine was not
necessary to prove its case.
At trial, Trooper Parker, who found the plastic bag of
drugs in the defendant's vehicle, testified that he observed
that the bag had a twist tie at the top and a number of plastic
bags inside, each of which had a twist tie and contained a white
powdery substance. Trooper Conneely testified similarly. He
stated that Trooper Parker brought him a clear plastic bag that
contained twelve plastic bags, which Trooper Conneely referred
to as "twists" and which contained a white powder. Trooper
Conneely also testified that, on the basis of his training and
experience, the white powder inside the plastic bags found in
the defendant's vehicle was consistent with cocaine and that
"twists" are the most common "street-level" packaging for
cocaine.
Detective James Hyde of the Somerville police department,
who was not involved in the defendant's arrest, provided expert
testimony on the manner in which cocaine is generally packaged
for street-level distribution. He stated that small amounts of
cocaine are packaged in individual plastic bags, and that those
bags, in turn, may be "double-bag[ged]" in a larger plastic bag.
14
He also stated that the most common amount of cocaine that he
sees for personal use at the street level in the Cambridge and
Somerville area (the defendant was arrested in Cambridge) is
usually one-half gram or one gram, although from time to time he
might see as much as an "eight-ball" (three and one-half grams).
He testified that each of the twelve individual bags of cocaine,
entered as an exhibit at trial, contained in the "ballpark" of
one-half gram or one gram amounts that would sell for forty to
sixty dollars (for one-half gram) or as much as one hundred
dollars (for one gram). He further indicated that it would not
be consistent with personal use to purchase twelve individual
bags of this size because it would not be "cost effective." A
personal user could purchase an "eight ball" for $150 to $180,
but a dealer who has cocaine packaged in one-half gram amounts
is not going to sell the user seven individual bags (which would
amount to three and one-half grams, or an "eight ball") for that
amount when the dealer could instead sell them separately for a
total of approximately $350.5
5
The lack of any personal-use paraphernalia was also, in
Detective James Hyde's opinion, more consistent with an intent
to distribute than with personal use. On cross-examination,
however, Hyde agreed that, in terms of personal-use
paraphernalia for powder cocaine, when a user first purchases
the cocaine, the user does not always have something on his or
her person for purposes of using the cocaine right away, and,
further, that something as simple as a dollar bill would suffice
for ingesting the drug. The point probably has limited
significance here because the defendant did not argue at trial
15
Furthermore, to the extent that the defendant now argues
that his conviction cannot stand because there was no evidence
as to the weight of the drugs other than Gagnon's erroneously
admitted testimony, the argument is misplaced. The weight of
the drugs is not an element of the crime of possession with
intent to distribute. This case, then, is not akin to those on
which the defendant relies involving convictions of drug
trafficking -- a crime for which weight is an element -- where
the only evidence as to weight was erroneously admitted, leaving
the jury with no reliable means to assess an element of the
crime. See, e.g., Commonwealth v. Montoya, 464 Mass. 566, 567
(2013) (erroneous admission of certificates of drug analysis,
which were only reliable evidence of weight, not harmless beyond
reasonable doubt). We perceive no substantial risk of a
miscarriage of justice stemming from the erroneous admission of
the testimony that referred to weight in this case.
c. Testimony regarding identity of substance. In addition
to his argument regarding the erroneous admission of Gagnon's
testimony regarding weight, the defendant contends that the
admission of Gagnon's testimony regarding the composition of the
substance was erroneous. There was no error. Our law allows a
that the drugs were intended only for personal use. Rather, in
addressing the drug charges in his closing argument, he focused
mainly on his assertion that the drugs were not his but rather
belonged to the passenger who was in the motor vehicle with him
when he was stopped and arrested.
16
witness such as Gagnon, who did not himself conduct the relevant
tests, to testify to his own opinion based on the data generated
by the nontestifying analyst. See, e.g. Greineder, 464 Mass. at
603. In the Greineder case, we confirmed established law that
"[e]xpert opinion testimony, even that which relies for its
basis on . . . test results of a nontestifying analyst not
admitted in evidence, does not violate a criminal defendant's
right to confront witnesses against him under either the Sixth
Amendment or art. 12 of the Massachusetts Declaration of
Rights." Id.
Gagnon properly testified to his own opinion regarding the
composition of the tested substance. That opinion was formed on
the basis of the tests conducted, and the results reached, by
the nontestifying analyst, which Gagnon reviewed at the time the
tests were conducted as well as prior to testifying at trial.
Furthermore, the defendant thoroughly and meaningfully cross-
examined Gagnon. See Greineder, 464 Mass. at 596-598
(considering meaningful cross-examination of substitute
analyst). He elicited testimony from Gagnon that, among other
things, Gagnon did not directly observe the testing conducted by
the nontestifying analyst; that Gagnon did not speak to the
nontestifying analyst about the steps she had taken in
conducting her analysis; and that "there is room for human
error." Gagnon's opinion testimony regarding the composition of
17
the substance -- that it was cocaine -- did not violate the
defendant's right to confront the witness against him, and was
not, thus, erroneously admitted.
d. School zone violation. Finally, the defendant urges us
to revisit our decision in Commonwealth v. Thompson, 470 Mass.
1008 (2014), considering the retroactivity of St. 2012, c. 192,
§ 30, which amended G. L. c. 94C, § 32J, the school zone
statute. In Commonwealth v. Bradley, 466 Mass. 551, 561 (2013),
we concluded that the amendment "applies to all cases alleging a
school zone violation for which a guilty plea had not been
accepted or conviction entered as of" August 2, 2012, the
effective date of the amendment. Subsequently, in the Thompson
case, we declined to extend that rule to cases where a defendant
has been tried and convicted before the effective date but whose
direct appeal was still pending on that date. Thompson, supra
at 1010. The defendant here falls into the Thompson category,
and we see no reason to revisit our decision. The amendment
does not apply to him.
3. Conclusion. In the future, a defendant's pretrial
objection, at the motion to suppress as well as the motion in
limine stage, will preserve the defendant's appellate rights.
The basis for the objection -- whether constitutional or not --
will no longer matter, but, as has always been the case, the
preservation of appellate rights will apply only to what is
18
specifically addressed in those proceedings. In circumstances
like those presented here, where prior to trial a defendant
seeks to preclude a particular witness from testifying on
constitutional grounds, the defendant must also object at trial
to any questions that seek to elicit testimony that falls
outside of what was addressed at the pretrial stage and move to
strike the specific testimony once it has been elicited in order
to preserve his or her appellate rights. To the extent that the
defendant failed to do that, we have reviewed the admission of
the testimony to determine whether it created a substantial risk
of a miscarriage of justice. For the reasons discussed above,
we conclude that it did not.6
Judgments affirmed.
6
The defendant raised additional issues in the Appeals
Court, regarding the judge's charge to the jury, that he has not
raised in this court. Because he has not raised them here, we
have not considered them.