Commonwealth v. MimlessCommonwealth v. Mimless
The defendant, a psychiatrist, was convicted by a Superior Court jury of two counts of larceny over $250 in violation of
1. Publicity. On the morning of the second day of jury deliberations, the Boston Herald printed an article about the trial, including references to extravagant spending by the defendant. When jurors began arriving at the courthouse that morning, neither a court reporter nor the parties were present. The judge stationed himself to catch the jurors as they arrived and asked them individually if they had read the article. Each juror responded in the negative. The judge took the Boston Herald from the several jurors who had it and noted (later, in the courtroom) that, based on the condition of the papers, he
“When a judge conducts an inquiry about a consequential matter . . . there is a requirement, deriving from the constitutional rights of confrontation and fair trial, that the defendant and his counsel be present.” Commonwealth v. Martino,
Once all the parties were present, the judge put the details of his communications with the jury on the record. The judge did not err by refusing to replicate his inquiry of the jurors on the record. The jurors individually had already assured the judge that they had not read the Boston Herald that morning, and the judge had a right to rely on those responses. Compare Commonwealth v. Palmariello,
2. Summary charts. The defendant was a provider under both the Medicaid program administered by the Division of Medical Assistance (division) and Medicaid’s mental health and substance abuse program administered by Mental Health Management of America (MHMA). To receive payment for services rendered under these programs, the defendant submitted forms containing the treatment date and a five-digit procedural code indicating the service performed and the amount to be paid. These procedural codes, also known as service codes, were first created by the American Medical Association and published in the Current Procedure Terminology (CPT) manual. The Medicaid program and MHMA also issued definitions of the applicable procedural codes which on occasion varied from the CPT descriptions. As a provider, the defendant agreed to
The defendant asserts that the trial judge abused his discretion when he admitted in evidence, over objection, several charts summarizing the Medicaid payments received by the defendant. Two of the challenged exhibits, nos. 31 and 34, were computer printouts containing various information about the defendant’s Medicaid payments, including the service codes billed by the defendant on each treatment day, the time allegedly required to perform that service under applicable regulations, and the amount paid to the defendant. Exhibit 31 also broke out the amount the defendant was allegedly overpaid by Medicaid on each treatment day. Exhibits 33A and 33 listed the time assignments used in exhibits 31 and 34, respectively. The Commonwealth used these exhibits to illustrate the amount of time the defendant would have had to work each day to justify his Medicaid payments.
The defendant complains that exhibits 31 and 34 overestimated the time required to perform certain procedures and therefore misled the jury. “Summary charts of voluminous evidence are permissible if they are accurate and fair, although ‘care must be taken to insure that summaries accurately reflect the contents of the underlying documents and do not function as pedagogical devices that unfairly emphasize part of the proponent’s proof.’ ” Welch v. Keene Corp.,
The same was true of “exhibit X,” a thirty-four page bar chart depicting the hours the defendant billed Medicaid each day from March 15, 1993, to December 15, 1995, which was used as a chalk at trial. “A judge . . . has ‘considerable, but not unrestrained, discretion as to the degree to which chalks can be used.’ ” Commonwealth v. DiFonzo,
Likewise, the judge’s ruling that Megathlin was qualified to testify about the hours and overpayment calculations in the
3. Limitation of cross-examination. The defendant complains that the judge committed reversible error by limiting defense counsel’s cross-examination of Megathlin concerning his overpayment calculation. On direct examination, Megathlin was allowed to testify that, by his calculation, the defendant received $180,000 in overpayments from Medicaid. The calculation assumed that the defendant saw a limited number of patients for the full time required under the procedural code billed and did not see the remaining patients billed to the same day. That is to say, Megathlin totaled the time required to provide each procedure billed on a particular day until he reached fourteen hours’ worth of the defendant’s services. Any payments received by the defendant for procedures performed on other patients after this fourteen-hour limit were treated as overpayments. (The chart seems to have been geared to the counts originally presented, before the prosecutor agreed to limit the proof to the counts representing time in excess of twenty-four hours per day. See note 1, supra.)
On cross-examination, defense counsel attempted to show that Megathlin’s overpayment calculation was inflated by asking him to recalculate what the overpayment would be if, as the defendant contended, the defendant rendered services to all of the patients billed for but mistakenly billed under a more expensive procedural code than the time spent warranted.
“[Ajlthough the defendant [was] entitled to a reasonable
The trial judge excluded the line of inquiry calling for Megathlin to do the recalculation. The judge’s position was that the defendant, by using the billing codes he did, represented that he spent the time with the patient so billed; the judge refused to allow speculation as to the amount of the overpayments based on the use of other codes. Had matters been left there, we would be concerned that the judge had foreclosed a line of inquiry that had grounding in the evidence: namely, that the defendant in fact saw all the patients he billed for but billed them on a code that represented more time than was actually spent. As the lengthy trial progressed, however, the judge allowed the defense to make exactly the same point in its cross-examination of another witness, Robert Russo, another investigator assigned to the Medicaid fraud control unit of the Attorney General’s office. Through him the defense brought out that the recalculation would bring the overpayment down to $73,000, a figure that Russo agreed represented less than five per cent
Since the information sought of Megathlin came in through Russo, the defendant’s right of cross-examination was not infringed. Contrary to the defendant’s assertion, the judge’s subsequent instruction to the jury to disregard defense counsel’s statements regarding the damage calculations in his closing did not preclude the jury from considering Russo’s testimony. The
4. Withhold order. In February, 1996, the division imposed a withhold order on payments to the defendant for further services rendered to his Medicaid patients. The defendant claims the judge erred in allowing in evidence copies of the withhold notification letter and applicable State regulations. It was the defendant, however, who sought to show the withholding, which ultimately amounted to $238,000, both to suggest that the defendant, by continuing to serve his Medicaid patients for fifteen months without compensation, had already more than repaid the maximum amount the investigators determined to have been overcharged, and to question the defendant’s former wife about the withheld funds to show bias. The judge, in the exercise of his discretion, properly admitted the withhold notification letter and the applicable State regulations to clarify for the jury the circumstances surrounding the withholding. Moreover, it was clear from the text of the notification letter that it did not represent a final determination of the defendant’s culpability by any State agency. Contrast Gram v. Liberty Mut. Ins. Co.,
5. Kandimalla evidence. The judge did not err in excluding from evidence hospital discharge cards received by and claim forms created by Seetha Kandimalla, one of the defendant’s former secretaries.
6. Evidence of motive. Over the defendant’s objection, the judge admitted evidence of the defendant’s personal expenditures, including evidence that during the time of the alleged overbilling, the defendant spent over $247,000 in credit card purchases, bought expensive clothing, and owned three luxury automobiles. It was not an abuse of discretion to deem that evidence relevant to the Commonwealth’s theory that the defendant defrauded the Medicaid program in order to support his wealthy lifestyle. See Commonwealth v. Burns,
7. Testimony regarding State regulations. The defendant argues that the judge erred by allowing Commonwealth witnesses to testify as to whether certain hypothetical conduct would violate particular State regulations.
8. Willful blindness instruction. A willful blindness instruction is appropriate when (1) “a defendant claims a lack of knowledge,” (2) “the facts suggest a conscious course of deliberate ignorance, and” (3) “the instruction, taken as a whole, cannot be misunderstood [by a juror] as mandating an inference of knowledge” (citation omitted). United States v. Hogan,
Despite the need for accurate billing records, the evidence established that the defendant hired secretaries with no prior billing experience. Former secretaries of the defendant testified that the defendant taught them how to bill and that they received all of the billing information, including the particular code to be billed, from the defendant. Although the defendant received all of the remittances and payments from Medicaid, he never
The judge consistently instructed the jury that they “may” draw an inference of knowledge, see United States v. Cassiere,
9. Discharge of a deliberating juror. During deliberations, the judge learned that the son of one of the jurors had alleged that the juror had a grievance against the Commonwealth and was going to mistry the defendant’s case purposely. The judge held a hearing and concluded that the son “suffers from serious psychiatric problems,” and that no reason had appeared to discharge the juror.
Over defense counsel’s objection, the judge then conducted a voir dire with the juror during which he explained to the juror the allegations made by his son and inquired whether the juror thought that those allegations would affect his fairness and impartiality as a juror. The juror responded that it would not, and the judge concluded that there was no reason to discharge the juror. Later that day, the juror asked to see the judge. The juror informed the judge that, due to his problems with his son,
The judge had a duty to insure that the juror in question was capable of performing his duties. The initial voir dire with the juror was not improper; the jury were not sequestered, and the juror would probably learn of his son’s allegations if he did not know already. The juror’s subsequent indication that he was distracted by the problems with his son and worried about his own heart condition gave the judge good cause to dismiss the juror. “We do not . . . require jurors to serve at their peril.” See Commonwealth v. Leftwich,
10. Conclusion. A final thought is in order. The defendant’s trial was long and thorough, hard fought by capable counsel on both sides. The defendant’s counsel were particularly skillful in cross-examination, disclosing fully the weaknesses in the Commonwealth’s case, and ably developing an alternate interpretation of the facts: that the defendant was an exceptionally busy doctor who served large numbers of patients with clinical skill, but who was careless in record keeping; that, made aware of the overbillings, he cooperated fully in repaying the overcharges, continuing to serve his patients long after his Medicaid income was cut off. The differing interpretations of the defendant’s conduct were sharply drawn in a trial notable for its thoroughness. The choice was for the jurors, who demonstrated the closeness of the trial by the length of their deliberations. The trial was a fair one, and we see no adequate reason to disturb the verdicts.
Judgments affirmed.
Notes
The Commonwealth agreed to enter nolle prosequis on 217 counts alleging billings representing more than fourteen but less than twenty-four hours of services on other days. On the 260 Medicaid fraud counts actually prosecuted, there were 219 convictions and forty-one acquittals.
The judge did not err in denying the motion to dismiss the indictment for egregious prosecutorial misconduct. It was evident that the Boston Herald reporter had talked to a number of courthouse sources, including “investigators” and the defendant’s counsel. The sole statement attributed to the prosecutor came from his closing argument. Most of the prejudicial information reported in the article had come out in the trial: the lavish vacations, the Armani and Versace suits, the three BMW automobiles, art works and other expensive purchases, and the fact that the defendant’s former wife had refused to sign their joint tax return because she didn’t “know of any way a psychiatrist could make that ($513,000) honestly.” Unattributed was a statement that the defendant “bought lingerie for a girlfriend, as well as pornography.” The prosecutor emphatically denied having made disclosures to the reporter. The judge did not err in declining to find that "either the prosecution or its investigators had leaked information. Compare United States v. Mitchell,
The defendant also contends that the Commonwealth’s presentation of the time calculations in exhibits 31 and 33A during the grand jury proceedings impaired the integrity of the grand jury. Because the time calculations in exhibit 31 were not misleading, the defendant’s motion to dismiss the indictments was properly denied. See Commonwealth v. McGowan,
For example, a psychotherapy session lasting forty-five to fifty minutes would be billed under procedural code no. 90844, whereas a psychotherapy session under twenty minutes could be billed under procedural code no. 90841, and one lasting between twenty and thirty minutes could be billed under no. 90843. (Oddly, there was no code for the period of thirty-one to forty-five minutes.) The defendant billed for most if not substantially all psychotherapy sessions under procedural code no. 90844.
Seventy-three thousand dollars is actually 5.62 per cent of $1.3 million.
The judge’s instruction that the fact that the defendant acquiesced in the withholding did not constitute a defense to the charges of larceny by false pretenses was proper. See Commonwealth v. Hildreth,
For example, after discussing the regulation defining “date of service,” 130 Code Mass. Regs. § 450.231(B) (1995), the prosecutor asked the
And after discussing the regulation defining “overpayment,” 130 Code Mass. Regs. § 450.234 (1995), the prosecutor asked, “[I]f the provider were to bill for services that they didn’t perform, would they be in violation of this regulation?” Again, she answered, “Yes.”
Another evidentiary contention concerns testimony by the defendant’s former wife, the contention being that the judge allowed her to testify to private conversations she had with the defendant when they were married, in violation of
After instructing that the Commonwealth must prove beyond a reasonable doubt that the defendant did not act because of ignorance, mistake or misunderstanding, the judge provided the following willful blindness instruction:
“[I]f the Commonwealth has proved to you beyond a reasonable doubt that the defendant deliberately closed his eyes as to what would have been obvious to him, then, under such circumstances . . . that element [knowledge] you would be warranted in determining has been shown. So a finding beyond a reasonable doubt by the jury of an intent of the defendant to avoid knowledge or enlightenment would permit the jury to infer such knowledge. . . . Stated another way, a defendant’s knowledge of a particular fact may be inferred from a deliberate or intentional ignorance or deliberate or intentional blindness to the existence of that fact.
“In other words, you, the jury, would be warranted in determining that the defendant had acted knowingly if you find that the Commonwealth has shown beyond a reasonable doubt either, one, that the defendant actually knew that he had made or caused to be made false statements on applications for payment to the Division of Medical Assistance or its contractor, UNISYS or MHMA; or, two, alternatively, that he deliberately closed his eyes to what he had every reason to believe was the fact.”