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Opinions of The and the Court of Appeals To be used in
conjunction with the CPS Criminal Procedure Textbook |
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CPS Commonwealth
Police Service, Inc. and the Law Office of Patrick Michael Rogers |
Commonwealth v. Renderos, 440
Middlesex.
Present:
Complaint received and sworn to in the Woburn Division
of the District Court Department on
The case was tried before by Jonathan Brant, J.
The
John T. Plouffe for the defendant.
Heather E. Hall, Assistant District Attorney (Joshua I. Spirn, Assistant
District Attorney, with her) for the Commonwealth.
GREANEY, J.
A jury in the District Court found the
defendant guilty on two counts of a complaint charging him with indecent
assault and battery on a person who had attained fourteen years of age,
G. L. c. 265, § 13H. The judge sentenced the defendant to terms
of one year and two years in a house of correction, to be served concurrently,
suspended for two years, and the judge ordered the defendant to stay away from
the victim and to register as a sex offender. In addition, the judge sentenced
the defendant, pursuant to G. L. c. 265, § 45, to a term of
community parole supervision for life. The defendant appealed from his
convictions and from his sentence of lifetime community parole. We transferred
the appeal here on our own motion. We conclude that the judgments of conviction
should stand. We further conclude that the judge could not commit the
defendant, a first time offender, to community parole supervision for life, in
the absence of a motion from the Commonwealth requesting a hearing to determine
whether that sentence should be imposed. See G. L. c. 275, § 18.
The defendant, therefore, must be resentenced.
1. The jury could have found the following facts. At about
As the victim entered the back room, she again met the defendant, who was
mopping the floor. The victim set down the damaged items and tried to leave the
room, but the defendant stood at the door. He touched her chest and her crotch
with his hands. No one else was in the back room at the time.
The victim told the defendant that "he should not be doing this to
[her]," pushed him, and ran up a nearby stairway. Reaching the top of the
stairs, she went through the employee break room and entered the ladies'
restroom. The victim thought that the defendant would not follow her there.
When she came out of the restroom a couple of minutes later, however, the
defendant was waiting outside.
The victim attempted to pass the defendant. As she did so, he commented that he
liked her a lot and, reaching from behind, touched her breasts a second time.
The victim told him to leave her alone. Pulling away from the defendant, the
victim ran down the stairs and out into the front area of the store. Shortly
thereafter, the victim received permission from the store manager to leave work
early. She walked out of the store to the parking lot, where her mother and boy
friend waited in her mother's automobile.
Sensing that her daughter was nervous, upset, and scared, the victim's mother
asked what was wrong. The victim responded that the defendant had touched her
"in private areas" and pointed to her breast and to her crotch area.
The victim's mother immediately went into the store and confronted the manager,
who telephoned the police. The victim, at times crying, recounted to the
responding police officer what had happened.
The police officer found the defendant polishing the floor of the store. When
asked by the officer for his account of what had happened, the defendant initially
replied, "I don't know, what are you talking about?" The officer
explained that he was investigating a report that the defendant had
"grabb[ed] a young lady." The defendant responded, "I never
touch, I never touch," and asked if he could tell his version of what had
happened. The defendant then mimicked a sweeping motion to demonstrate to the
police officer that he had been sweeping the stairs at the back of the store
when he, accidentally, had bumped into the victim.
The defendant testified at trial through a Spanish interpreter. He stated that
the contact between himself and the victim had been accidental and repeatedly
denied that he had sexually assaulted the victim. According to the defendant,
the victim had come up behind him while he was sweeping the stairs and he
inadvertently had tripped her. The defendant testified that the victim called
him names which, for the most part, the defendant did not understand, because
his English is "not perfect." He did understand, however, that she called
him a "stupid Hispanic."[2]
2. We first consider the sole issue raised by the defendant in his appeal from
his convictions -- that comments made by the prosecutor in his closing argument
improperly attributed to the defendant a state of mind for which there was no
evidence. We view the challenged remarks "in the light of the 'entire
argument, as well as in light of the judge's instruction to the jury and the
evidence at trial.'" Commonwealth v. Coren, 437
The decisive issue at trial was the credibility of the victim and of the
defendant. In closing, the defendant's trial counsel argued to the jury that
the defendant's assertions of innocence were fully corroborated by testimony at
trial that the defendant, on being questioned by the police officer, at first
denied knowing anything about the incident. He stated:
"There was never anything that would
indicate that he was aware of anything that was going on. When the officer said
to him, what happened, he shrugged his shoulders, I don't know, he didn't know
what he was talking about. And then when the officer told him about what [the
victim] had alleged, his story was the story that he gave today which is
consistent with what he said back then."
Seeking to persuade the jury that the defendant
should not be believed, the prosecutor, in his closing argument, cast the same
testimony in this manner:
"The police come, question the
[d]efendant. At first the [d]efendant denies any knowledge of anything happening
because he figures he's going to get away with this. What happens? The police
say, well, actually she told us you touched her. Well, in that case, I just
bumped her."
We agree that there was no testimony at trial
that the defendant "figure[d] he [was] going to get away with" the
assault or that the defendant stated (either aloud or to himself) "in that
case, I just bumped her" before demonstrating to the police officer that
he had accidentally bumped into the victim while sweeping. We view the former
remark, however, as a fair inference as to the defendant's state of mind, that
could reasonably be drawn from the officer's testimony as to the defendant's
conduct.[3] In the context of the entire summation made by the
prosecutor, the statement clearly was intended to counteract the argument made
by the defendant's trial counsel, that the jury should reach an alternate
conclusion with respect to the defendant's state of mind (which also reasonably
could be inferred from the evidence).[4] See Commonwealth v. Rodriguez,
437
The prosecutor arguably should not have attributed the words, "in that
case, I just bumped her" to the defendant. We have repeatedly cautioned
prosecutors to refrain from "speculating as to what conversations might
have occurred, and . . . presenting hypothetical conversations
not fairly inferable from the evidence before the jury." Commonwealth v.
Coren, supra at 732, quoting Commonwealth v. Pope, 406
3. The crux of this appeal is the defendant's claim that the judge lacked
statutory authority to sentence him to community parole supervision for life,
in the absence of a motion from the Commonwealth. The parole sentence was
imposed in the following manner. After the return of the jury verdicts, the
prosecutor recommended to the judge that the defendant be sentenced to two and
one-half years in jail with six months to be served, the balance to be suspended
for two years on the first count, three years probation to be served
consecutively on the second count, and that the defendant be ordered to
register as a sex offender and to have no contact with the victim or her
family. After a social service outreach worker with Massachusetts General
Hospital spoke briefly on behalf of the defendant and his family (his wife and
two children, one of whom was terminally ill), the prosecutor acknowledged to
the judge that the defendant was needed at home and requested that he be given
a suspended sentence "and whatever else the court finds is
appropriate."
The judge sentenced the defendant, on the first count, to two years in a house
of correction, suspended for two years until
In 1999, the Legislature passed an emergency law,
The Legislature unquestionably intended "community parole supervision for
life," to serve, beyond its formally recognized purpose of public
protection, as an enhanced penalty for sex offenders. Section 9 of the Act
provides that an offender serving a sentence of lifetime community parole is
subject to the jurisdiction, supervision, and control of the parole board,
exactly as if such person were a parolee. See G. L. c. 127,
§ 133D (a). The terms and conditions of parole are determined by the
parole board and may be revised, altered, or amended at any time, and a
defendant who violates a condition of parole is punished by commitment to a term
of imprisonment in a house of correction. A lifetime parolee who has served the
entire period of confinement under his or her original sentence, on a first
violation, shall be sentenced to a term of thirty days; on a second violation,
the term increases to 180 days; on a third or subsequent violation, the term
increases to one year.[8] See G. L. c. 127,
§ 133D (c). After fifteen years, a lifetime parolee may petition the
parole board to request a termination of his or her parole. See G. L.
c. 127, § 133D (b). This case represents the first time that we
have been asked to interpret that portion of the Act providing for the
imposition of community parole supervision for life. We consider only those
statutory provisions relevant to the defendant's challenge to the manner in
which his parole sentence was imposed.
Section 13 of the Act, codified at G. L. c. 265, § 45, and set
forth below in its entirety,[9] provides that first-time offenders who
have committed certain sex offenses, including indecent assault and battery of
a child under fourteen years, of a mentally retarded person, or of person who
has attained age fourteen years, "may, in addition to the term of
imprisonment authorized by [G. L. c. 265, §§ 13B, 13F,
or 13H], be punished by a term of community parole supervision for
life." On first-time offenders of more serious crimes, such as rape,
assault with intent to rape, or kidnapping a child, § 45 states that a
judge "shall" impose community parole supervision for life, subject to
possible exceptions set forth in G. L. c. 275, § 18. For all
offenders who previously have been convicted of a sex offense, § 45
mandates that a judge "shall" order lifetime community parole
supervision, and the statute sets forth no exceptions.
General Laws c. 265, § 45, is silent on the circumstances in which a
judge "may" impose lifetime parole on first-time offenders convicted
of indecent assault and battery of a person who has attained fourteen years,
such as the defendant. Section 14 of the Act, however, codified at G. L.
c. 275, § 18, states:
"Whenever a person is convicted of a first
offense under [G. L. c. 265, § 13H] . . . the district
attorney, upon motion to the court, may request a hearing after conviction and
before sentencing, to determine whether or not such person shall be committed,
in addition to any term of imprisonment or probation authorized by said
sections, to community parole supervision for life, to be served under the
jurisdiction of the parole board as set forth in [G. L. c. 127, § 133D] . . . .
"At such a hearing, the defendant shall
have the right to be represented by counsel, and . . . shall be
afforded an opportunity to testify, to present witnesses, to cross-examine
witnesses who appear at the hearing and to present information. . . . A finding
by the court that such person shall be committed to community parole
supervision for life shall be supported by clear and convincing evidence.
"In making a determination the judge
shall, on the basis of any information which he can reasonably obtain, consider
any mitigating or aggravating circumstances including, but not limited to, the
defendant's character, propensities, criminal record, the nature and
seriousness of the danger posed to any person or the community and the nature
and circumstances of the offense for which the defendant is convicted. If the
judge finds, by clear and convincing evidence, that no reasons for community
parole supervision for life to be served . . . exist, the judge
shall not impose community supervision for life on such first offender."
Read together, the statutes provide that
"[w]henever a person is convicted of a first offense under [G. L.
c. 265, § 13H]," the district attorney "may request a
hearing after conviction and before sentencing." At such a hearing,
"the defendant shall have the right to be represented by counsel [and]
shall be afforded an opportunity to testify, to present witnesses, to
cross-examine witnesses who appear at the hearing and to present
information." A judge then "may" impose community parole supervision
for life, on findings that "shall be supported by clear and convincing
evidence."[10] We conclude that, although G. L. c. 265,
§ 45, is silent on the scope of a judge's discretion to impose lifetime
parole on a defendant convicted of a first offense under G. L.
c. 265, § 13H, the provisions of G. L. c. 275, § 18,
make crystal clear that such a sentence is triggered by the filing of a motion
by the district attorney requesting a determination on the matter. It is only
after a hearing, and the appropriate finding or findings, that a judge
"may" impose lifetime parole, and then, the judge's decision must be
supported by "clear and convincing evidence."
The Commonwealth maintains that G. L.
c. 265, § 45, may be read alone to authorize a judge to impose lifetime
community parole supervision for life, sua sponte, regardless of what
additional procedural requirements are set forth in G. L. c. 275,
§ 18. According to the Commonwealth, G. L. c. 265, § 45,
and G. L. c. 275, § 18, represent an either-or situation --
either allowing the district attorney to file a motion pursuant to G. L.
c. 275, § 18, in which case a defendant is entitled to an evidentiary
hearing on the matter and may not be sentenced to lifetime parole without a
finding or findings supported by "clear and convincing evidence," or
allowing a judge discretion to impose the sentence, sua sponte, under
G. L. c. 265, § 45, in which case the defendant is entitled to
neither a hearing nor the requisite findings. We disagree.
The statutes were enacted together in 1999 as part of a carefully-crafted
statutory plan to protect the public from sexually dangerous persons and,
according to established principles of statutory construction, must be
"construed together so as to constitute a harmonious whole consistent with
the legislative purpose." Board of Educ. v. Assessor of Worcester, 368
Conclusive support for our position is found in language of G. L.
c. 265, § 45, with respect to first-time offenders of crimes such as
rape, assault with intent to rape, kidnapping a child, drugging persons for
sexual intercourse, or unnatural and lascivious acts with a child under sixteen
years of age. Section 45 states that, in such cases, a judge "shall"
impose community parole supervision for life on such offenders, "except as
provided for in" G. L. c. 275, § 18.[11] Section 18
of G. L. c. 275, in turn, expressly provides that such offenders,
"upon motion to the court, may request a hearing after conviction and
before sentencing to determine whether or not such person shall receive, in
addition to a term of imprisonment or probation authorized by [the appropriate
criminal statute], community parole supervision for life." Moreover,
§ 18 states:
"Whenever a person is convicted of a first
offense under [G. L. c. 265, §§ 22, 22A, 23, 24, 24B or 26], or
[G. L. c. 272, §§ 3 or 35A] or for a first attempt of any of the
aforementioned crimes under [G. L. c. 274, § 6], the district
attorney may file a motion with the sentencing judge requesting that the
defendant not receive community parole supervision for life, and upon receipt
of such motion, the sentencing judge shall not impose community parole
supervision for life on such first offender."
The express language of G. L. c. 275,
§ 18, therefore, grants all first-time offenders convicted of serious
sexual offenses, including rape and assault with intent to commit rape, the
right to an evidentiary hearing (with its full panoply of procedural
safeguards) before being sentenced to community parole supervision for life,
and, moreover, vests the district attorney with authority to veto the
imposition of lifetime parole in those cases. We reject any interpretation of
the statutory scheme providing for community lifetime parole that would permit
the sentence to be imposed on first-time offenders convicted of what could only
be considered as less serious offenses at the absolute discretion of the judge,
with no motion or evidentiary hearing, and even in circumstances when the
district attorney opposes its imposition. See Roberts v. Enterprise Rent-A-Car
Co. of Boston, Inc., 438
We have little difficulty in concluding that the procedure set forth in
G. L. c. 275, § 18, was not followed in this case. The
prosecutor made no motion requesting a hearing on whether the sentence was
warranted,[13] the defendant was afforded no opportunity to present
evidence and to be heard on the matter, and the judge made no findings
whatsoever as to why this defendant should be committed to lifetime community
parole supervision. A judge is "permitted great latitude in sentencing
[but] the sentence imposed [must be] within the limits provided by the statute
under which the defendant is convicted." Commonwealth v. McIntyre, 436
4. We reject the defendant's request that we vacate only that portion of his
sentence that was unlawful, that is, only the sentence to lifetime community
parole supervision. The judge's belief that lifetime community parole
supervision could be imposed influenced his decision as to the appropriate
punishment for the defendant's two convictions. The sentences imposed
constituted an integrated package, each piece dependent on the other, which
cannot be separated. Because the judge misunderstood the bounds of his
statutory authority, the defendant must be sentenced again.
At resentencing, the judge may consider any information concerning the
defendant's conduct, good and bad, during the intervening time. See id. at
343-344. Should the resentencing judge impose a punishment harsher than what
the defendant originally received, his reasons for doing so must appear on the
record and be based on information not before the first sentencing judge.
5. We affirm the defendant's judgments of conviction, vacate his sentences, and
remand the case to the District Court for resentencing in accordance with this
opinion.
So ordered.
FOOTNOTES:
[1] The substance of this comment is not a part of
the record. On cross-examination, the victim agreed with the defendant's trial
counsel that the defendant does not speak English well and, as a result, is
difficult to understand.
[2] The only other defense witness was a store
employee, who testified that he had noticed the victim go up the stairway, and
come down again, while the defendant was sweeping the stairs. The witness
testified that he did not observe any interaction between the defendant and the
victim.
[3] The lack of any objection to the prosecutor's
closing argument suggests that defense counsel did not view the remarks as
particularly prejudicial when made.
[4] The prosecutor was not required to accept that
the reason for the defendant's initial lack of response was that his faulty
English prevented him from understanding the thrust of the police officer's
question.
[5] The judge repeated the entire charge to the jury
after the jury requested further clarification with respect to what could be
considered in reaching their verdicts.
[6] The defendant concedes that the jury's request to
view the police report, which was not in evidence, properly was denied.
[7] The provisions of
G. L. c. 265, § 41, mandate that, in sentencing a defendant for
a violation of a offense, the penalty for which includes imprisonment, a judge
"who does not impose such sentence of imprisonment shall include in the
record of the
case specific reasons for not imposing a sentence of imprisonment."
[8] In all three of the above circumstances, if the
violation of parole constitutes a criminal offense, the term of imprisonment
imposed for the parole violation is in addition to whatever penalty is imposed
for that offense. See G. L. c. 127, § 133D (c).
[9] "Any person who
commits indecent assault and battery on a child under 14 under [G. L.
c. 265, § 13B], indecent assault and battery on a mentally retarded
person under the first paragraph of [G. L. c. 265, § 13F] or indecent
assault and battery on a person who has attained the age of 14 under
[G. L. c. 265, § 13H] may, in addition to the term of
imprisonment authorized by such section, be punished by a term of community
parole supervision for life to be served under the jurisdiction of the parole
board, as set forth in [G. L. c. 127, § 133C]. Any person who
commits rape under [G. L. c. 265, § 22]; rape of a child under
16 with force under [G. L. c. 265, § 22A]; rape and abuse of a
child under [G. L. c. 265, § 23]; assault with intent to commit
rape under [G. L. c. 265, § 24]; assault of a child under 16
with intent to commit rape under [G. L. c. 265, § 24B];
kidnapping a child under the age of 16 under [G. L. c. 265,
§ 26]; drugging persons for sexual intercourse under [G. L.
c. 272, § 3]; unnatural and lascivious acts with a child under 16
under [G. L. c. 272, § 35A]; or commits an attempt to violate
any such section pursuant to [G. L. c. 274, § 6], shall, except
as provided for in [G. L. c. 275, § 18], and in addition to the
term of imprisonment authorized by such section, receive a sentence of
community parole supervision for life to be served under the jurisdiction of
the parole board, as set forth in [G. L. c. 127, § 133D]. Any
person convicted of violating [G. L. c. 265, §§ 13B, 13F,
13H, 22, 22A, 23, 24, 24B or 26] or of an attempt to violate any of such
sections pursuant to [G. L. c. 274, § 6], after one or more
prior convictions of indecent assault and battery, rape, assault with intent to
commit rape, unnatural and lascivious acts, drugging for sex, kidnap or of any
offense which is the same as or necessarily includes the same elements of said
offense shall, in addition to the term of imprisonment authorized by such
section, be punished by a term of community parole supervision for life, to be
served under the jurisdiction of the parole board, as set forth in [G. L.
c. 127, § 133D]. The sentence of community parole supervision for
life shall commence immediately upon the expiration of the term of imprisonment
imposed upon such person by the court or upon such person's release from
probation supervision or upon discharge from commitment to the treatment center
pursuant to [G. L. c. 123A, § 9], whichever first occurs."
[10] We note, but need not address, the ambiguity inherent
in the concurrent requirement of G. L. c. 275, § 18, that a
determination by the judge that lifetime parole should not be imposed also be
supported by "clear and convincing evidence."
[11] It is only persons convicted of a sex offense
who have previously been convicted of one or more sex offenses for whom the
Legislature intended lifetime community parole supervision to be a mandatory
sentence. See G. L. c. 265, § 45.
[12] We reject the Commonwealth's suggestion that
the judge had "inherent" authority to impose the sentence, beyond the
limits of his statutory authority. See Sheriff of Middlesex County v.
Commissioner of Correction, 383 Mass. 631, 635-636 (1981).
[13] A recommendation to the judge to sentence the
defendant to "whatever else the court finds is appropriate," of
course, cannot be characterized as a motion that the judge impose lifetime
community parole supervision. No one argues otherwise.
[14] We note that the concurrent terms of probation
that the defendant has been serving since the time of his original sentencing
are due to expire soon.