Commonwealth v. PaganCommonwealth v. Pagan
The defendant appealed from the imposition of a term of community parole supervision for life (CPSL) under
1. Background. The defendant was tried on two indictments charging rape of a child under sixteen years arising from a single incident. Neither indictment specified that he was being charged as a repeat offender. At trial, after the close of the defendant’s evidence, he moved for a required finding of not guilty. The judge granted the defendant’s motion only as to the second indictment and only insomuch as it alleged penetration. The second count therefore was reduced to the lesser included offense of indecent assault and battery on a child under fourteen years. After deliberations, the jury found the defendant guilty on the first charge, but only of the lesser included offense of indecent assault and battery on a child under fourteen years, and not guilty on the second indictment.
On the day of the sentencing hearing, the Commonwealth filed a sentencing memorandum, recommending a term of imprisonment to from eight to ten years. The memorandum further stated that “it is the Commonwealth’s position that the defendant must be placed on Community Parole for Life, pursuant to [
At the hearing, the Commonwealth reiterated that its “recommendation is an eight to ten with an additional recommendation or assertion that this is a mandatory life offense. And the [mittimus] should also reflect community [parole] for life.” The Commonwealth procured a copy of the prior convictions of indecent assault and battery on a child, which appeared to indicate that all ten counts concerned a single victim. Although the Commonwealth tried to obtain further details from police reports, it was unsuccessful.
Defense counsel recommended a sentence in accordance with the proposed sentencing guidelines available for use in the Superior Court, which he calculated as being from three to four and one-half years’ incarceration. Specifically, he recommended
The judge stated that the defendant “is entitled to present evidence [and] cross-examine witnesses” under
No hearing occurred. Without further proceedings, the judge sentenced the defendant to a term of from six to eight years’ incarceration on the indecent assault and battery conviction, and to CPSL under
2. Legal framework. In 1999 the Legislature passed an emergency law, St. 1999, c. 74, formally entitled “An Act improving the sex offender registry and establishing civil commitment and community parole supervision for life for sex offenders.” See Commonwealth v. Renderos,
Sexual offenders susceptible to CPSL under these statutes fall into three groups based on the seriousness of the offense, and based on a defendant’s prior conviction of certain sexual offenses. Although the statute itself does not utilize category
Category 1 offenders are those who have been convicted of serious, although not the most severe, sexual offenses.
Category 2 offenders are those convicted of the most serious sexual offenses.
For both category 1 and 2 hearings, the defendant, represented by counsel, “shall be afforded an opportunity to testify, to present witnesses, to cross-examine witnesses who appear at the hearing and to present information.”
The statute is ambiguous as to what (if anything) must be proved in order to impose CPSL and who bears the burden of proof at these hearings.
Category 3 offenders are those convicted of a sexual offense enumerated as a category 1 or 2 offense, “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
In interpreting this legislation, we follow basic tenets of statutory construction. “It is a well-established proposition that criminal statutes are to be construed narrowly. We have stated that ‘[w]e must resolve in favor of criminal defendants any reasonable doubt as to [a] statute’s meaning.’ ” Commonwealth v. Kerr,
3. Application, a. Sentencing as repeat offender. The defendant was charged in two indictments with rape of a child under sixteen years, a category 2 offense under
The defendant ultimately was convicted of indecent assault and battery on a child under fourteen years, a category 1 offense.
The Commonwealth argues that indicting the defendant as a repeat offender was not necessary, as CPSL is an available punishment for all
Whether those sentenced as repeat offenders under
Article 12 provides that “[n]o subject shall be held to answer for any crimes or offence, until the same is fully and plainly, substantially and formally, described to him . . . .” We have made clear that parole is a form of punishment. Massachusetts Parole Bd. v. Brusgulis,
Modern cases no longer treat prior convictions used to enhance penalties as an element of the underlying crime.
That prior convictions are no longer treated as elements, however, is irrelevant to the requirement under art. 12 that, when used to enhance a penalty, prior convictions must be alleged in the complaint or indictment and proved. If a defendant is made susceptible to a prescribed statutorily enhanced penalty because of a former conviction, the predicate offense must be alleged in the complaint or indictment. See Commonwealth v. Murphy, supra at 320-321; Commonwealth v. Harrington,
We are aware that at least one interpretation of the Harrington principle has restricted it to situations where the sentence as a repeat offender exceeded the statutory maximum possible for a first offender. See Commonwealth v. Baldwin,
A conviction as a repeat offender that imposes a mandatory minimum sentence not provided for a first offense, or a greater mandatory minimum, also enhances a defendant’s penalty and therefore also implicates Commonwealth v. Harrington, supra, and art. 12. “The allegation in the complaint of prior conviction of the same offence, entailing ... a more severe sentence in the event of conviction than is required for a first offence, made the former conviction a part of the essential description and character of the offence charged” (emphasis added). Commonwealth v. Fortier,
We conclude that art. 12 requires explicit indictment of (or complaint against) a defendant as a repeat offender, and that a defendant be convicted as such, before he is subject to mandatory CPSL as a category 3 offender under
b. Constitutionality. The defendant first claims
“It is a fundamental tenet of due process that ‘[n]o one may be required at peril of life, liberty or property to speculate as to the meaning of penal statutes.’ ” United States v. Batchelder,
In Commonwealth v. Renderos,
Even if we apply the rule of lenity, see Commonwealth v. Lupo,
Equally confusing is the statute’s use of terminology and procedures suggesting that the imposition of CPSL must be based on some particular factual finding, while failing to indicate what findings of fact are necessary. The statute provides for an evidentiary hearing, to be followed by a “finding” to impose CPSL that is “supported by clear and convincing evidence,” but the only “finding” that is to be made is the same as the ultimate sentencing decision: “that such person shall be committed to [CPSL].”
If the statute is intended to require the finding of particular facts, the absence of any identified facts that must be found by clear and convincing evidence before CPSL may be imposed renders § 18 unconstitutionally vague as to category 1 and category 2 offenders. Or, if the statute is intended to leave CPSL to the sentencing judge’s discretion based on the judge’s consideration of ordinary sentencing factors, it fails to identify how and in what way the exercise of that discretion is nevertheless constrained by the requirement that, in either direction, it be supported by “clear and convincing evidence.” The concept of vagueness in the due process context is based in part on the
We need not address the defendant’s further claim that § 18 is unconstitutional because it provides that a penalty beyond the maximum statutory penalty for an offense may be imposed based on judicial fact finding, without a determination of fact beyond a reasonable doubt by a jury. See Blakely v. Washington,
4. Conclusion. The CPSL sentencing procedures under
The defendant was not indicted as a repeat offender, so he may not receive a sentence including CPSL on that basis. The defendant has been convicted of a category 1 offense, but as we have concluded that the procedural mechanism for imposition of CPSL on category 1 offenders is infirm constitutionally, we must vacate his sentence and remand his case for resentencing. Based on our conclusion regarding the defendant’s constitutional arguments, "we need not reach his claim regarding whether category 1 offender sentencing hearing procedures were followed properly or his claim of ineffective assistance of counsel.
Accordingly, the defendant’s sentence is vacated and this matter is remanded to the Superior Court for resentencing consistent with this opinion.
So ordered.
Notes
The defendant also claims his counsel was ineffective. Because we dispose of this case on other grounds, we need not address this claim.
These offenses include indecent assault and battery on a child under fourteen years (
These offenses include rape (
This discussion has no application to category 3 offenders, for whom CPSL is mandatory, and based on a prior conviction of certain sexual offenses.
These cases have no application to category 3 offenders for whom CPSL is based solely on the fact of a prior conviction of certain sexual offenses, and who are entitled to notice and a jury’s determination of that fact.
We note that some category 2 offenses already carry a maximum penalty of imprisonment for life. Because the issue is not before us, we need not decide whether the imposition of CPSL would exceed that maximum penalty for purposes of an analysis under Blakely v. Washington,