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Commonwealth vs. James Black

Massachusetts Appeals Court2000-11-15No. No. 99-P-33
50 Mass. App. Ct. 477

Summary

Holding. The court affirmed the convictions. Although the trial judge should have provided a specific unanimity instruction on the rape charge and guidance regarding overlapping evidence between the rape and indecent assault and battery convictions, no substantial risk of miscarriage of justice occurred because all penetrations occurred within a single criminal episode and the indecent assault acts were factually distinct from the rape acts.

James Black was convicted of rape, indecent assault and battery, and two counts of assault and battery. He challenged the conviction on the grounds that the judge failed to provide a specific unanimity instruction regarding the rape charge and failed to instruct the jury that the indecent assault and battery conviction could not rest on the same evidence as the rape conviction. Although the court acknowledged that such instructions should have been given, Black did not request them at trial or object to their omission, so the court reviewed the record only to determine whether justice may have miscarried.

Regarding the rape conviction, the evidence showed five separate nonconsensual penetrations occurring within a single criminal episode. The court found no substantial risk of miscarriage of justice because all alleged acts of rape happened in close temporal proximity as part of one continuous offense. As to the indecent assault and battery conviction, the court determined there was little likelihood the jury based this conviction on the same acts underlying the rape charge, since the judge did not instruct on lesser included offenses and the evidence showed the indecent assault acts (fondling and finger contact) were distinct from the penetration acts.

Summary generated by law.co from the public-domain opinion. The opinion text itself is public domain.

Key issues

  • Whether omission of unanimity instruction on rape charge constitutes reversible error when multiple acts occur in single criminal episode
  • Whether lesser included offense instruction was required to prevent jury from basing both rape and indecent assault convictions on identical conduct
  • Effect of defendant's failure to request jury instructions or object at trial on appellate review standard

Procedural posture

The defendant appealed his convictions for rape, indecent assault and battery, and assault and battery, challenging the trial judge's failure to provide specific jury instructions on unanimity and duplicative convictions.

Authorities cited

No cited authorities resolved to law.co cases yet.

Opinion

majority opinion

Armstrong, C.J.

The defendant was convicted of one count of rape, one count of indecent assault and battery, and two counts of assault and battery. He argues, as to the rape conviction, that the judge should have given a specific unanimity instruction and, as to the indecent assault and battery conviction, an instruction that it could not be based on the same evidence that supported the rape conviction. The judge should have done so, but such instructions were not requested, and there were no objections. Thus, we examine the trial only to determine if justice may have miscarried due to the omissions. Commonwealth v. Thomas, 401 Mass. 109, 119 (1987).

1. A spate of recent decisions guides the application of the miscarriage standard where a specific unanimity instruction is omitted. The general rule is that “no substantial risk of a miscarriage of justice exists where ‘the evidence satisfies each element of the statute and is sufficient to defeat a motion for a required finding of not guilty.’ ” Commonwealth v. Grandison, 432 Mass. 278, 286-287 (2000), quoting from Commonwealth v. Keevan, 400 Mass. 557, 567 (1987). The problem arose in the present Case because there was evidence of five nonconsensual penetrations of the victim, any one of which could have been the basis for the solitary rape conviction. If, as was not the situation here, the several violations had occurred on divers dates or were otherwise clearly separate incidents, and a specific unanimity instruction had been requested and objection saved to its omission, the conviction would be reversed, possibly without application of harmless error analysis. See Commonwealth v. Conefrey, 420 Mass. 508, 514-516 (1995). Where, however, the point has not been saved, no risk of a miscarriage of justice will be found if the several acts of rape (i.e., the multiple penetrations) transpire in the context of a single criminal episode. See Commonwealth v. Thatch, 39 Mass. App. Ct. 904, 905 (1995); Commonwealth v. Crowder, 49 Mass. App. Ct. 720, 721-722 (2000), and cases cited. Indeed, the same result is often reached even when the evidence shows multiple acts of the same nature on divers dates, see, e.g., Commonwealth v. Comtois, 399 Mass. 668, 675-677 (1987); Commonwealth v. Lemar, 22 Mass. App. Ct. 170, 172-173 (1986); but because here all the alleged acts of rape occurred in close proximity within the same criminal episode, we need not go beyond the authority of the Thatch and Crowder cases to conclude that there was no substantial risk of a miscarriage of justice. The latter case also answers the defendant’s contention that he may have been convicted of rape for an incident the grand jury did not have in mind.

2. The concern about duplicative convictions arises from the rule that indecent assault and battery is a lesser included offense of rape; that is to say, if all the other elements of rape are present, but the jury doubts penetration, a defendant may be convicted of the lesser offense. See Commonwealth v. Thomas, 401 Mass. at 119-120. Unless the judge cautions otherwise, there is a theoretical possibility that the jury could base both the rape and indecent assault and battery convictions on the same act. If there is no indication in the record that such a possibility is insubstantial, the conviction of the lesser included offense will be vacated to avoid the possible miscarriage of justice. See, e.g., id. at 120; Commonwealth v. Juzba, 46 Mass. App. Ct. 319, 325 (1999); Commonwealth v. Petrillo, ante 104, 110-111 (2000). In Commonwealth v. Mamay, 407 Mass. 412, 418-419 (1990), reversal was avoided because, although the judge did not give the required charge, the rape and indecent assault and battery charges were based on separate alleged acts, and the prosecutor consistently highlighted the different actions comprising the indecent assault and battery charges in arguing for conviction on those charges.

Here there was also little chance that the jury could have based the convictions on the same acts. First, the judge never instructed the jury on lesser included offenses. To the contrary, after defining the elements of rape, the judge instructed that, if the jury should deem any one of the elements of rape not proved beyond a reasonable doubt, they should find the defendant not guilty as to that incident. As in the Mamay case, the acts on which the charge of indecent assault and battery was predicated were separate from the acts of alleged penetration. The defendant had fondled the victim’s breasts, according to her story, and had rubbed her vaginal area with his finger. In illustrating the types of acts that could be found to be indecent assault and battery, the judge used examples that paralleled the evidence: fondling of breasts, and reaching between legs. In the circumstances, we think there is no substantial risk that the jury might have based the indecent assault and battery conviction on the same acts that underlay the rape conviction.

3. There was evidence that the victim, who was eighteen years old and weighed ninety-five pounds, had consumed two large glasses of orange juice and vodka, had been smoking marijuana, and felt drunk and high. The judge did not err in instructing on the relationship between intoxication and consent. Compare Commonwealth v. Ascolillo, 405 Mass. 456, 463-464 (1989); Commonwealth v. Simcock, 31 Mass. App. Ct. 184, 194-195 (1991).

4. The assault and battery convictions are not before us for the reason stated in Commonwealth v. Delgado, 361 Mass. 432, 438 (1975).

Judgments affirmed.