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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. Thad T,
Middlesex.
Present: Lenk, Cypher, & Mills, JJ.
The case was tried before James M. Geary, Jr., J.
Craig E. Collins for the juvenile.
David S. Leibowitz, Assistant District Attorney, for the Commonwealth.
CYPHER, J.
After a trial, a jury found the juvenile
delinquent by reason of rape of a child with force (G. L. c. 265, § 22A)
and indecent assault and battery on a child over the age of fourteen (G. L. c.
265, § 13H).[2] The juvenile claims that the judge erred in (1)
admitting prejudicial evidence that the juvenile's right to remain silent was
invoked; (2) admitting expert testimony that the juvenile was the source of
deoxyribonucleic acid (DNA) evidence; (3) admitting prejudicial testimony that
the juvenile was incarcerated; (4) permitting excessive fresh complaint witness
testimony; (5) inadequately instructing the jury on fresh complaint evidence;
and (6) banishing the juvenile, as part of his sentence, from the town of
1. Factual background. We summarize the evidence, reserving certain details for
discussion in connection with the issues raised. The juvenile and
On
When
As
The juvenile tried to kiss
The juvenile forced
Approximately one week after the assault,
The police were directed to the location in the juvenile's home where
The police interviewed the juvenile and the Commonwealth introduced the
juvenile's statements at trial. The juvenile admitted that
The theory of the defense was that no sexual contact occurred between the
juvenile and
2. Alleged Doyle violation. The juvenile argues that the prosecutor, by
introducing evidence of the juvenile's father terminating the interview with
the police, improperly introduced evidence, in violation of the principles
expressed in Doyle v. Ohio, 426 U.S. 610, 618-619 (1976), that the juvenile's
right to silence was invoked.
"The sine qua non of a Doyle violation is the government's use of the
defendant's silence against him." Commonwealth v. Waite, 422
The jury heard evidence that the juvenile's mother had signed a Miranda waiver
form indicating that she understood her son's rights, that the family had then
consulted together without the police being present, that the juvenile had
asked his parents a question about the form, and that the juvenile and both
parents signed a second waiver form indicating that the juvenile wished to
speak with Sergeant Jack Balonis. Sergeant Balonis interviewed the juvenile, in
the presence of his parents, at the
During the interview, the juvenile told Sergeant Balonis that
Sergeant Balonis asked the juvenile if he knew what the forensic expert was
looking for on the sofa and on the rug. The juvenile said that he thought she
was looking for sperm. Sergeant Balonis asked the juvenile if sperm was found
in those areas, where could it have come from? The juvenile appeared to be
uncomfortable answering this question until his mother left the room. The
juvenile then explained to Sergeant Balonis that he had once deposited semen in
that location when he was alone.
Sergeant Balonis asked the juvenile what he would say if the chemist found
saliva mixed with the semen. The juvenile said that a previous sexual encounter
with Victoria would explain such a result, but that on that occasion, Victoria
had spat the seminal fluid in the kitchen sink.
Sergeant Balonis testified that, at this point, the juvenile's mother re-entered
the room and the juvenile's father ended the interview.[5] The record
establishes that the judge permitted the introduction of the evidence about the
termination of the interview to explain the abrupt end of the questioning.[6]
The judge was well aware of the potential for a Doyle error and, to ensure that
no Doyle error occurred, did not permit the Commonwealth to introduce the
father's full statement.
The jury had heard detail concerning the beginning of the interview, including
the fact that the family had consulted together and signed waiver forms before
the interview began. The jury also heard that the juvenile was interviewed in
the presence of both parents, but that he became uncomfortable speaking in
front of his mother and she left the room.
We think the evidence was properly admitted in these circumstances. Had the
jury not understood that the mother had returned to the interview room and the
father terminated the interview, they might well have wondered why the juvenile
did not clarify his explanation concerning the mix of salvia and semen or why
the interview ended when it did. The fact that the semen was mixed with saliva
was an important component of the Commonwealth's case. Jurors may have
speculated about the reason the juvenile did not provide a better answer to
Sergeant Balonis's question on this point.
This is one of those circumstances in which introduction of the fact that a
suspect invoked his rights served to explain an abrupt termination of the
interview.
The juvenile also challenges the admission in evidence of the Miranda waiver
form, which noted that the juvenile had invoked his rights. The juvenile claims
that voluntariness was not a live issue at trial and therefore the form
containing the notation "
Although the juvenile did not file a motion to suppress, it is understandable
that the Commonwealth would lay the foundation for the admissibility of the
juvenile's statements.[8] See Commonwealth v.
In these circumstances, it was not error for the prosecutor to introduce the
Miranda waiver form and have Sergeant Balonis read the notation that the
juvenile's rights were invoked.[9] Beyond Sergeant Balonis reading the
form, it received no special treatment or emphasis.
Most important, however, "at no time did the Commonwealth use . . . [the]
response either as evidence of guilt or to impeach" the juvenile at trial.
Commonwealth v. Ferreira, 381
3. Testimony that the juvenile was the source of the seminal fluid. Dr. Robin
Cotton, the laboratory director at Cellmark, testified that, to a reasonable
degree of scientific certainty, the juvenile was the source of the semen traces
found on both
Before Dr. Cotton testified, Juliette Harris, a DNA analyst at Cellmark,
testified that she had concluded that the juvenile could not be excluded as the
primary source of the DNA obtained from
Dr. Cotton testified that she was familiar with the statistical analysis
performed on the DNA profiles.[11] She testified that with regard to
Victoria's T-shirt, "you would expect or estimate to see that same profile
in approximately one out of every 69 trillion [Caucasian] individuals[,] and
for African Americans, that same estimate gives you a figure of one in 320
trillion people. In other words, the profile is rare."
Dr. Cotton then testified, and it is this portion of her testimony that the
juvenile challenges, that in her opinion, and to a reasonable degree of
scientific certainty, the juvenile was the source of the DNA on the sofa
cutting and on
a. Qualitative opinion testimony. There is nothing in Lanigan that suggests
that an expert in DNA profiling may not opine that the DNA sample
"matched" that of a defendant. Rather, Lanigan requires only that
expert testimony concerning a DNA match be accompanied by information
indicating the probability that the match in question might have occurred by
chance.[12] See Lanigan, 419
Moreover, in Commonwealth v. Girouard, 436
b. Lanigan hearing. The isolated portion of Dr. Cotton's testimony did not
require a Lanigan hearing. No new theory or underlying scientific research was
advanced. Dr. Cotton described the basis for her testimony, citing a number of
genetic locations that were tested and the unique nature of the DNA profile.
Dr. Cotton's opinion was merely an interpretation of the unique nature of the
DNA profile. This portion of her opinion did not depend on the validity or
accuracy of scientific testing, but rather on her credibility and reliability.
See Sacco v. Roupenian, 409 Mass. 25, 29-30 (1990) (as long as those facts on
which doctor's opinion is based are in evidence, question whether basis of
doctor's opinion is sound goes to weight of evidence, not admissibility).
c. Foundation. There was an adequate foundation for Dr. Cotton's testimony. The
Commonwealth established Dr. Cotton's credentials, including her expertise in
biology and biochemistry, her position as director of Cellmark, and her previous
testimony in 160 cases involving DNA and statistical interpretation. She was
qualified to offer expert testimony of this nature.
4. Testimony concerning incarceration. The Commonwealth called Jack,[14]
another juvenile, to testify about statements the juvenile had made while
incarcerated and awaiting trial. The statements were expected to directly
contradict the juvenile's statements regarding his conduct with
The juvenile claims on appeal that by removing Jack from the witness stand, the
judge impermissibly curtailed the juvenile's Sixth Amendment right to confront
witnesses. The juvenile initially objected to the particular remedy employed,
but he did not do so on the ground that the judge violated his confrontation
rights. Commonwealth v. Fowler, 431
We conclude that removing the witness from the stand did not violate the
juvenile's confrontation rights. The entire testimony of the witness had been
struck from the record; therefore, the juvenile was not presented with
testimony that he could not challenge. Cf. Commonwealth v. Funches, 379 Mass.
283, 291-294 (1979) (where a valid claim of Fifth Amendment privilege prevents
a defendant from cross-examining a witness, witness's direct testimony should
be struck, unless testimony that would have been elicited on cross-examination
was merely collateral or cumulative). The juvenile does not suggest what
testimony he would have elicited. Defense counsel indicated that he did not
intend to inquire into the location of the conversation. Jack provided no other
relevant testimony.
The judge acted within his discretion in denying the motion for mistrial.
Commonwealth v. Davis, 380 Mass. 1, 11 (1980) (within judge's discretion to
deny motion for mistrial when a prosecution witness, who had begun to give
direct testimony, suffered a heart attack and was unable to complete direct
testimony or to stand cross-examination, where court promptly struck witness'
testimony). Promptly striking the lone and ambiguous reference and instructing
the jury not to consider it were sufficient. "[W]e shall not assume that
jurors will slight strong and precise instructions of the trial judge to
disregard the matters which have been withdrawn from their consideration."
Commonwealth v. Gordon, 356
5. Fresh complaint witnesses. The juvenile claims that the judge erred in
permitting five fresh complaint witnesses to testify. Three fresh complaint witnesses
testified concerning
There is no defined limit to the number of fresh complaint witnesses who may
testify. Commonwealth v. Lorenzetti,
6. Jury instructions on fresh complaint. The juvenile argues that the jury
instructions on fresh complaint were inadequate, especially concerning the
definition of "corroboration." The juvenile never registered this
objection at trial; therefore, we consider whether there was a substantial risk
of a miscarriage of justice.
There was no error. Corroborative testimony has been described as
"testimony which tends to strengthen, confirm or make more certain the
testimony of another witness." Commonwealth v. Gardner,
With each fresh complaint witness, the judge reinforced to the jury the
limitations on their consideration of the testimony.
7. Banishment from
It appears to us from the record that the juvenile has now attained the age of
eighteen; therefore, we need not reach the question whether the banishment was
constitutional or whether it met the requirements set forth in Commonwealth v.
Pike, 428 Mass. 393, 402-405 (1998) (suggesting that probation conditions
barring probationers from certain small geographic areas might be permissible
where they serve goals of probation). We note, however, that when a juvenile is
found delinquent, a judge "may place the case on file or may place the
child in the care of a probation officer for such time and on such conditions
as it deems appropriate or may commit him to the custody of the department of
youth services . . ." (emphasis added). G. L. c. 119, § 58.
Thus, it does not appear that where, as here, the juvenile has been committed
to the department, the juvenile may also be placed on probation for the same
conviction. The court may, of course, make recommendations to the department
regarding any conditions of the juvenile's commitment with the department. See
ibid.
Judgment affirmed.
FOOTNOTES:
[1] A pseudonym.
[2] The jury found the juvenile not delinquent on
charges of assault with intent to rape a child and indecent assault and battery
on a child over the age of fourteen (G. L. c. 265, §§ 24B and 13H,
respectively) involving a different complainant.
[3] A pseudonym.
[4] Also a pseudonym. Jennifer, a neighbor of the
juvenile, was the complainant in the charge for which the juvenile was found
not delinquent.
[5] We assume, without deciding, that the principles
of Doyle apply to the father's invocation of the juvenile's rights.
[6] The sidebar conferences concerning this issue are
"inaudible." In accordance with Mass.R.A.P. 8(b)(3)(v), 388
[7] The judge did not conduct a voir dire to
determine whether the juvenile's statements were voluntary.
[8] "The voluntariness of the waiver on the
basis of Miranda and the voluntariness of the statements on due process grounds
are separate and distinct issues but they are both determined in light of the
totality of the circumstances and they share many of the same relevant
factors." Commonwealth v. Edwards, 420
[9] In addition, Sergeant Balonis's credibility
remained an issue at trial.
[10] There was no error, but even if the admission
of the evidence were construed as error, there is no substantial risk of a
miscarriage of justice. In Commonwealth v. Mahdi, 388
[11] At trial, the juvenile registered no objection
to Dr. Cotton's qualifications to provide the expert testimony asked of her
concerning either the DNA testing performed or the statistical analysis of
those test results.
[12] Advancement in technology permits a conclusion
that a profile may be said to be so unique if it is so rare that it becomes
unreasonable to suppose that a second person in the population may have the
same profile. National Research Council, Committee on DNA Technology in
Forensic Science: Use of DNA Information in the Legal System 144 (1992). Other
jurisdictions permit expert witnesses, in combination with
methodologically-reliable testing results and statistical analyses, to offer
their qualitative opinion whether a defendant is the source of a DNA sample.
See State v. Hummert, 188 Ariz. 119, 121, 124 (1997); State v. Zollo, 36 Conn.
App. 718, 723-724 (1995); State v. Bloom, 516 N.W.2d 159, 167-168 (Minn. 1994);
State v. Buckner, 133 Wash. 2d 63, 66 (1997).
[13] Here, as in Commonwealth v. Girouard, the
expert's testimony did not touch on the ultimate issue in the case, nor did the
expert offer an opinion as to the juvenile's guilt or innocence. Commonwealth
v. Girouard, 436
[14] A pseudonym.
[15] "No subject shall be . . . exiled . . .
but by the judgment of his peers, or the law of the land."