Commonwealth v. RosenbergCommonwealth v. Rosenberg
- Reporters:
- , ,
- Before:
- Liacos
In 1984, at the age of fourteen, the defendant, Jack Matthew Rosenberg, was placed in the custody of the
The facts adduced at the jury trial are as follows. The Commonwealth presented the testimony of four witnesses duly qualified as experts. Dr. Carol N. Maurer, a supervising psychiatrist at a Pennsylvania treatment center where the department placed the defendant, diagnosed the defendant as being mentally ill by reason of a bipolar affective disorder in remission.
3
Dr. Maurer also stated in her diagnosis that the defendant suffered from a sexual identity disorder, pedo
The Commonwealth’s second witness, Dr. Albert J. Scott, who holds a doctoral degree in education, evaluated the defendant on one occasion at the treatment center. He diagnosed the defendant as suffering from a bipolar affective disorder and a borderline personality disorder with antisоcial tendencies. Dr. Scott classified both disorders as mental illnesses and considered the defendant dangerous to himself and others as a result of these disorders. 5
Dr. Craig Latham, a forensic psychologist with the Department of Mental Health, had examined the defendant on one occasion. He testified that the defendant was a danger to the public, that he “had not received any treatment” for his “sex offender” behavior, and, according to staff reports, had been “committing repeated acts of sexual aggression and manipulative behavior toward younger residents in the progrаm.” In Dr. Latham’s opinion, the defendant exhibited “a pattern of behavior that, if left unchecked or untreated, would continue,” and that the “circumstances [for which the defendant was originally committed] could occur again.” Dr. Latham opined, however, that there was no evidence of bipolar disorder and that pedophilia was not a mental illness. He
The Commonwealth presented, as its final witness, Dr. George L. Hardman, a psychiatrist who had examined the defendant once three years before the trial. The dоctor’s diagnosis of the defendant included a bipolar affective disorder in remission and a narcissistic personality disorder, both of which Dr. Hardman classified as mental illnesses. Based on his review of the defendant’s records prior to the trial and on the reports of Drs. Maurer, Scott, Latham, and Seghorn, Dr. Hardman stated his opinion that the defendant still suffered from these disorders and still presented a danger.
The defendant presented the testimony of one witness, Dr. Theoharis Seghorn, whose diagnosis and opinion were based on a personal evaluation of the defendant and interview with the staff at the trеatment center conducted in conjunction with Dr. Latham, and on evaluation reports in the defendant’s file, as well as on the results of a penile plethysmograph examination (discussed infra). This witness concluded that the defendant was not mentally ill and was not dangerous by reason of mental illness.
The defendant alleges the following errors occurred at the jury trial: (1) The judge abused his discretion in failing to declare a mistrial when members of the jury panel were left in a court hallway, prior to the taking of evidence, with members of a group calling themselves “Parents of Murdered Children”; (2) the judge erred in admitting the testimоny of Dr. Scott in violation of the psychotherapist-patient privilege; (3) the judge erred in admitting testimony of Dr. Maurer to the extent that her testimony relied on confidential conversations between the defendant and his therapist, Timothy Blackson, allegedly an agent of Dr. Maurer; (4) the
1. Motion for a mistrial. The defendant claims that the judge should have declared a mistrial when it was discovered that members of the jury had been seated in a hallway among members of a group known as “Parents of Murdered Children,” all of whom wore buttons bearing the name of the group. The defendant fails to cite any authority to support this claim.
The judge conducted a voir dire examination of the jurors in accordance with the procedure prescribed in Commonwealth v. Jackson, 376 Mass. 790, 800-801 (1978), to determine whether any possible prejudicial information had reached any juror. Hаving found no prejudice, see Commonwealth v. Palmariello, 392 Mass. 126, 142 (1984) (judge has right to rely on juror statements), the judge took the added precaution of dismissing one juror who sat particularly close to the group. The judge also ordered all the buttons confiscated. The denial of the motion for a mistrial was not an abuse of the judge’s discretion.
a.
Psychotherapist-patient privilege.
The defendant argues that it was error to admit the testimony of one expert witness, Dr. Scott, a psychologist who evaluated the defendant, because Dr. Scott failed to give the defendant the appropriate warning prescribed in
Commonwealth
v.
Lamb,
365 Mass. 265 (1974), prior to evaluating him. The judge ruled that the defendant’s conversations with Dr. Scott did not fall within the statutory bounds of the psychotherapist-patient privilege,
The defendant contends that the judge erred in allowing Dr. Maurer, a psychiatrist who qualifies as a psychotherapist under
The therapist, Timothy Blackson, does not qualify independently as a psychotherapist under
c. The judge’s limiting instructions regarding basis of expert’s opinion. The defendant claims that the judge improperly instructed the jury that Dr. Seghorn’s opinion of the defendant’s mental state was based “[t]o a great degree” on the results of a penile plethysmograph examination, 11 which, the judge told the jury, was not commonly used, but which has a “fair degree of reliability.” On the basis of this language, the defendant asserts that the judge essentially told the jury they could discount Dr. Seghorn’s testimony. The defendant exaggerates the effect of these words.
Review of the trial transcript reveals that, while the results of the plethysmograph test may not have had great significance in Dr. Seghorn’s over-all evaluation of the defendant, the results were a basis of his opinion as to the defendant’s sexual orientation. The transcript reveals that the judge clearly and extensively instructed the jury that they, not the judge, were the ultimate fact finders who determined what weight and effect to give testimony. There was no error.
d. Sufficiency of the evidence. The defendant claims there was insufficient evidence for a jury to find beyond a reasonable doubt that he was dangerous by reason of mental illness. We review the record in the light most favorable to the Commonwealth to determine whether a jury reasonably could find beyond a reasonable doubt that the defendant was dangerous by reason of mental illness. Commonwealth v. Barboza, 387 Mass. 105, 110, cert, denied, 459 U.S. 1020 (1982). See Commonwealth v. Burbank, 388 Mass. 789, 797 (1983).
The standard for extending an individual’s commitment to the control of the department is whether that individual “would be physically dangerous to the public because of the person’s mental or physical deficiency, disorder or abnormality.”
There was evidence before the jury that the defendant had sexually assaulted and murdered a five year old boy, that nothing about the defendant’s pattern of thinking had changed, and that the defendant was “capable, when frustrated,” of committing the same act of violence again. There was also evidence that the defendant had attempted suicide and had demonstrated sexual aggression and manipulative behavior. Each of the Commonwealth’s witnesses testified that the defendant was a danger to himself and others. Three of those four witnesses testified that the defendant wаs dangerous by reason of mental illness. There was expert testimony indicating that the defendant suffered from bipolar affective disorder in remission, which is a mood disorder impairing his judgment, a narcissistic personality disorder, which is also a mood disorder, and pedophilia. The expert witnesses disagreed about whether a narcissistic personality disorder is a mental illness. That is a question of fact for the jury.
“Judicial experience with psychiatric testimony makes it abundantly clear that it would be unrealistic to treat an opinion .. . by an expert on either side of . . . [an] issue as conclusive. . . . The law should not, and does not, give the
3. Constitutional Issues.
a. Constitutionality of the two-tier review system for extending a Department of Youth Services commitment order. According to the defendant, the two-tier procedure for extending commitment of individuals to the department placed the defendant in double jeopardy. The defеndant acknowledges that the two-tier system currently in place in the District Court Department of the Trial Coúrt of this Commonwealth has been found constitutional even where there was insufficient evidence presented at the bench trial to warrant a conviction. See Justices of the Boston Municipal Court v. Lydon, 466 U.S. 294 (1984); Lydon v. Commonwealth, 381 Mass. 356, cert, denied, 449 U.S. 1065 (1980). The defendant argues that the present appeal is distinguishable, because in Lydon the defendant had the option of a jury trial in the first instance or a bench trial with a right to seek a jury trial on a determination of guilt at the bench trial, whereas in this case the defendant was given no option to choose a jury trial in the first instance.
The issuе of a defendant’s option was not determinative for the United States Supreme Court in Justices of the Boston Municipal Court v. Lydon, supra, nor was it determinative in this court’s holding in Gibson v. Commonwealth, 381 Mass. 372 (1980), cert, denied, 449 U.S. 1089 (1981), and A Juvenile v. Commonwealth (No. 2), 381 Mass. 379, cert, denied, 449 U.S. 1062 (1980). Contrast Gibson v. Commonwealth, supra at 378 (Liacos, J., dissenting, with whom Abrams, J., joined). The Court held that, the process does not expose a defendant to double jeopardy. There is no merit to the defendant’s double jeopardy claim under the decided case law.
The defendant next argues that he was denied due process of law because the department is not capable of providing the defendant with the proper treatment for his mental illness. The cases the defendant cites do not support his proposition that a mentally ill person has a constitutional right to be committed to one State agency rather than another. Instead, the cases hold that a person committed for treatment of mental illness has a due process right to receive treatment, see
O’Connor
v.
Donaldson,
422 U.S. 563 (1975);
Rouse
v.
Cameron,
373 F.2d 451 (D.C. Cir. 1966);
Wyatt
v.
Stickney,
325 F. Supp. 781 (M.D. Ala. 1971), and the right to receive the least restrictive or least burdensome control necessary to pursue rehabilitation. See
Thompson, petitioner,
394 Mass. 502, 505-507 (1985);
Commonwealth
v.
Nassar,
380 Mass. 908, 917-918 (1980). There was
no
evidence that the defendant received inadequate treatment or that commitment to the department was unnecessarily restrictive. See
Youngberg
v.
Romeo,
457 U.S. 307 (1982);
Commonwealth
v.
Davis,
407 Mass. 47, 49-51 (1990);
Newton, petitioner,
357 Mass. 346, 352-353 (1970);
Doe
v.
Gaughan,
808 F.2d 871, 877 (1st Cir. 1986). Cf,
c.
Equal protection.
The defendant’s third constitutional challenge is that the procedural differences between commitments under c. 120, §§ 16-20, and commitments under c. 123, which have as the same purpose the treatment of
Last, the defendant notes that commitment under c. 123 is initially for a period of six months, or in some circumstances, one year, with later extensions for no greater than one year.
d.
Evidence of dangerousness and due process.
The defendant argues that the judge deprived him of due process by failing to instruct the jury that dangerousness by reason of mental illness must be predicated on evidence of a recent overt act. To support his contention, the defendant cites
Lynch
v.
Baxley,
386 F. Supp. 378, 391 (M.D. Ala. 1974);
Lessard
v.
Schmidt,
349 F. Supp. 1078, 1093 (E.D. Wis. 1972), vacated on other grounds, 414 U.S. 473 (1974); and
Commonwealth
v.
Nassar,
380 Mass. 908, 916-918 (1980). The holdings in
Lessard
and
Lynch
are no longer persuasive, however, in light of
United States
v.
Sahhar,
917 F.2d 1197 (9th Cir. 1990), cert, denied, 111 S. Ct. 1591 (1991) (considering involuntary civil commitment standard). The
Sah-har
court held that “a finding of ‘substantial risk’ [of causing bodily injury] . . . may be based on
any
activity that evinces a genuine possibility of future harm to persons .... Whether that activity occurred recently is but one factor for the [finder of fact] to consider in weighing the evidence.” (Em
Judgment affirmed.
Notes
The defendant sexually assaulted a five year old boy and drowned him when the boy threatened to disclose the incident.
A bipolar affective disorder, Dr. Maurer explained, is characterized by dramatic mood swings from a manic or highly excited state, to a depressed state. The witness explained that the disorder is a chronic mental illness, so, while the defendant exhibited none of the features of the disorder when evaluated, the illness was still present but was in remission.
Dr. Maurer based her diagnosis and opinion on her personal evaluation of the defendant, the evaluation conducted by Dr. Scott, another witness for the Commonwealth, and on the defendant’s records and communications with therapists at the treatment center.
Dr. Scott based his diagnosis and opinion on the results of a battery of clinicаl tests, a clinical interview with the defendant, and a review of the defendant’s records.
Dr. Latham based his diagnosis and opinion on one evaluation of the defendant and a meeting with the staff at the treatment center, both of which were conducted in conjunction with the defendant’s expert, Dr. Theoharis Seghorn. Dr. Latham also reviewed the evaluations of Doctors Maurer, Scott, and Seghorn, the defendant’s records from the Department of Youth Services, and the records from the treatment center.
“ ‘Psychotherapist’, a person licensed to practice medicine who devotes a substantial portion of his time to the practice of psychiatry or a person who is licensed as a psychologist by the board of registration of psychologists; provided, however, that such person has a doctoral degree in the field of psychology or is a registered nurse licensed by the board of registration in nursing whose certificate of registration has been endorsed authorizing the practice of professional nursing in an expanded role as a psychiatric nurse mental health cliniсal specialist, pursuant to the provisions of section eighty B of chapter one hundred and twelve” (emphasis supplied).
The definition of “psychotherapist” in
See note 7, supra.
We note that the evidence does not warrant a finding that Blackson was under the direct supervision of Dr. Maurer; rather, he was a staff therapist at the institution to which the defendant was committed.
Compare the attorney-client privilege, where privilege is destroyed when communications are made in the presence of a non-necessary agent оf the attorney or client. See Drew v. Drew, 250 Mass. 41, 44-45 (1924). See also P.J. Liacos, Massachusetts Evidence 185 (5th ed. 1981 & Supp. 1985). Contra Blount v. Kimpton, 155 Mass. 378 (1892). Also, we have stated that “ [c] ommunications between an attorney and his client are not privileged, though made privately, if it is understood that the information communicated is to be conveyed to others.” Peters v. Wallach, 366 Mass. 622, 627 (1975).
A penile plethysmograph is an electronic device consisting of a pressure-sensitive ring, which is placed around a subject’s penis and measures and records increases in the subject’s penis size in response to audio and visual sexual stimuli. The degree of the subject’s arousal is inferred from chаnges in penis size as measured by the device. The examination is conducted in a controlled environment and in accordance with specific test protocol.
The Department of Mental Health defines “mental illness” in 104 Code Mass. Regs. § 3.01 (a) (1986) as follows: “For purposes of involun
tary commitment and the determination pf criminal responsibility, ‘mental illness’ shall mean a substantial disorder of thought, mood, perception, orientation, or memory which grossly impairs judgment, behavior, capacity to recognize reality or ability to meet the ordinary demands of life, but shall not include alcoholism which is defined in
“When an order of the department is confirmed as provided in section eighteen, the control of the department over the person shall continue, subject to the provisions of this chapter; but, unless the person is previously discharged in accordance with section six (e), the department shall, within two years after the date of such a confirmation in the case of persons committed as wayward children or delinquent children, or within five years after the date of such a confirmation in the case of persons committed after conviction in criminal proceedings, make a new order and a new application for review thereof in accordance with the provisions of section seventeen. Such orders and applications may be repeated at intervals as often as in the opinion of the department may be necessary for the protection of the public, except that the department shall have power, in order to protect other children and adolescents, to transfer the custody of any person еighteen years of age or older to the department of correction for placement in the appropriate institution.
“Every person shall be discharged from the control of the department at the termination of the period stated in this section unless the department has previously acted as therein required, and shall be discharged if the court fails to confirm the order as provided in section eighteen.” (Emphasis supplied.)
Section 19 permits, but does not require, the department to transfer an individual over the age of eighteen to the Department of Correction for the protection of other individuals in the custody of the department. Furthermore,
We express no opinion regarding the ability of an individual to obtain review of an ongoing commitment, as only the issue of the commitment itself is before the court. See Andrews, petitioner, 368 Mass. 468 (1975).