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11-P-954 Appeals Court
COMMONWEALTH vs. ROBERT MONIZ.
No. 11-P-954.
Middlesex. February 12, 2015. - June 17, 2015.
Present: Cohen, Green, & Massing, JJ.
Rape. Assault with Intent to Rape. Practice, Criminal, Motion
to suppress, Assistance of counsel, Admissions and
confessions. Constitutional Law, Assistance of counsel,
Admissions and confessions. Evidence, Admissions and
confessions.
Indictments found and returned in the Superior Court
Department on September 2, 2004.
The case was heard by Elizabeth M. Fahey, J., and a motion
for a new trial, filed on January 14, 2014, was considered by
her.
James A. Reidy for the defendant.
Jamie Charles, Assistant District Attorney (Kevin L. Ryle,
Assistant District Attorney, with him) for the Commonwealth.
MASSING, J. The defendant, convicted of eight counts of
sex offenses committed against his adopted son when the boy was
between the ages of fourteen and eighteen years old, appeals
from the three convictions based on his conduct after the victim
2
turned sixteen, one for rape in violation of G. L. c. 265,
§ 22(b), and two for assault with intent to rape in violation of
G. L. c. 265, § 24, claiming insufficiency of the evidence.1 He
also appeals from the denial of his motion for new trial
alleging that trial counsel was ineffective for failing to move
to suppress the defendant's postindictment admissions to a
person he asserts was acting in a law enforcement capacity. We
affirm.
Background. The victim was born in August, 1978. The
defendant met the victim after he entered into a romantic
relationship with the victim's mother. In 1988, the victim's
family began living with the defendant in Enfield, New
Hampshire. In April, 1989, the defendant married the victim's
mother and adopted the victim.
The first sexual incident occurred when the defendant
arranged to sleep alone with the victim in a cabin the defendant
had built in the middle of the woods, approximately two hundred
yards from the house in Enfield. The defendant touched the
victim's genitals over his clothing for a couple of minutes
before they went to bed. The victim asked the defendant what he
was doing, and the defendant told him, "[T]his is what all good
1
The other convictions were on two counts of rape and abuse
of a child under sixteen years of age, G. L. c. 265, § 23; one
count of assault with intent to rape a child under sixteen,
G. L. c. 265, § 24B; and two counts of indecent assault and
battery on a person aged fourteen or older, G. L. c. 265, § 13H.
3
friends do." The defendant would "do the same thing" at the
print shop that the defendant and the victim's mother owned,
where the victim sometimes worked.
The defendant took the victim into the cabin once or twice
a week, mostly on the weekends, and more frequently during the
summertime. Over time, the defendant began touching the
victim's genitals under his clothing. The defendant would
arrange to stay home alone with the victim while the victim's
mother went out shopping for two to three hours at a time. He
performed fellatio on the victim numerous times, asked the
victim to reciprocate, and told the victim that the victim was
gay. The victim refused the defendant's requests for fellatio
but was afraid he could not otherwise protect himself from the
defendant.
The victim asked the defendant at least once in New
Hampshire, "[W]hy he was doing that, why didn't he just love my
mother and leave me alone?" The defendant convinced him that
nobody would believe him if he reported their sexual encounters,
and that it was better for his family if he would submit to the
defendant's sexual demands. As a result, the sexual episodes
continued as the family relocated from New Hampshire to Rhode
Island to Massachusetts.
The family moved to Waltham, Massachusetts, in 1993. The
victim, then a sophomore in high school, was five feet, ten
4
inches tall, and weighed 185 pounds. Even as a teenager, "it
seemed easier" to the victim to remain silent and submit to the
defendant's sexual demands. The defendant would "pitch a fit"
when the victim resisted his advances. He threw several
tantrums that quickly escalated from screaming to physical
violence, "trashing" the victim's bedroom, and smashing walls.
The defendant would eavesdrop on the victim's telephone
conversations and become upset that the victim was spending time
with females, making the victim feel "like [he] was splitting
the family apart." The victim "didn't want to create problems
within the family," and he "felt it was easier just to not say
anything."
The defendant attempted to have anal sex with the victim on
two separate occasions, once when the victim was around fourteen
years old, and once after the victim's sixteenth birthday. Both
times, the victim had been trying to take a shower in the
bathroom after the defendant had performed fellatio on him when
the defendant approached the victim from behind and "rubbed his
penis on [the victim's] butt." The victim moved away and asked
the defendant what he was doing. The defendant said nothing in
response and eventually left him alone in the bathroom.
The defendant continued to sexually assault the victim
after he turned sixteen years old in the same general manner as
in the earlier sexual episodes. The episodes stopped when the
5
victim turned eighteen and moved into his grandparents' home in
Lexington. The victim's mother testified that the defendant
became depressed in the victim's absence, and a few months
later, in November, 1996, the defendant attempted to commit
suicide.
The defendant moved to Alaska in January, 1997, and the
victim finally told his mother that the defendant had been
sexually abusing him for years. Approximately four years later,
the victim learned that the defendant was dating a woman in
Alaska who had a four year old son. Fearing that the defendant
would sexually abuse the son, the victim reported the defendant
to the police.
In 2004, the defendant was arrested in Alaska and indicted
in Massachusetts. As a condition of bail, the Alaska court
appointed the mother of the defendant's new girlfriend to serve
as the defendant's third-party custodian.2 During the two- to
three-week period of the defendant's pretrial release in Alaska,
he made a series of admissions to his custodian regarding his
sexual assaults on the victim. He told her that "he did it";
that he "hurt the child . . . , but he doesn't think it was
hurting him"; and that "everything he did helped that child."
Discussion. 1. Constructive force. The defendant argues
that the evidence was insufficient to prove that he used force
2
See note 5, infra.
6
to accomplish the sexual assaults after the victim reached the
age of sixteen. To support a conviction for rape under G. L.
c. 265, § 22(b), the Commonwealth must prove beyond a reasonable
doubt that the defendant had sexual intercourse by force or
threat of force and against the will of the victim. However,
the Commonwealth need not prove that the defendant used physical
force. Commonwealth v. Caracciola, 409 Mass. 648, 651 (1991).
Constructive force may be shown by "proof that the victim was
afraid or that she submitted to the defendant because his
conduct intimidated her." Commonwealth v. Newcomb, 80 Mass.
App. Ct. 519, 521 (2011) (Newcomb). In cases such as this,
where sexual assaults that began when the victim was a child
continue past the child's sixteenth birthday, constructive force
may be shown by "a prior pattern of repeated sexual assaults by
the defendant upon the victim when she was a child, combined
with the victim's statement that the assaults always happened
the same way." Id. at 524.
For example, in Commonwealth v. Wallace, 76 Mass. App. Ct.
411, 413-414, 417-418 (2010) (Wallace), where the defendant's
sexual assaults on the victim began when the victim was eleven
and continued until he turned eighteen, evidence of "the history
of their relationship and the defendant's predatory behavior"
was sufficient to support the rape conviction. The defendant
had repeatedly raped the victim as a child, which had the effect
7
of "grooming the victim" to submit to the same conduct after he
matured. Id. at 418 n.11. The victim submitted to the
defendant after he turned sixteen because "he feared the
consequences of resisting the defendant's sexual advances (even
if the specific consequences he feared were not spelled out)."
Id. at 418. These facts permitted the inference that the
defendant compelled the victim to submit by force and against
his will. Id. at 417-418.
Likewise in Newcomb, supra, we affirmed the defendant's
convictions of rape of his adult daughter on a theory of
constructive force. The defendant's assaults on the victim when
she was under the age of sixteen "inculcated [in her a pattern
of] submit[ting] to the defendant's advances." 80 Mass. App.
Ct. at 522. The victim's dependence on her father, his mental
abuse of her mother, his drunken tirades, and the "victim's
testimony that every act of [abuse] followed the same pattern"
permitted the inference that the sexual assaults of the adult
victim were "accomplished in precisely the same circumstances
that demonstrated constructive force when she was fourteen.
Those circumstances included a fear of the defendant that was
never dissipated." Id. at 523.
This case shares the hallmarks of constructive force found
in Wallace and Newcomb. The assaults began when the victim was
young and the defendant, his adoptive father, was an authority
8
figure. The victim feared the defendant's angry, and sometimes
violent, tirades and worried that the family would be split
apart if he resisted the defendant's advances. The pattern
continued after the victim turned sixteen. This evidence was
sufficient to permit the jury to find the existence of the
essential element of force or threat of force beyond a
reasonable doubt. See Commonwealth v. Latimore, 378 Mass. 671,
676-677 (1979); Commonwealth v. Hanlon, 44 Mass. App. Ct. 810,
814 (1998).
The defendant also argues that the proof of force (or
constructive force) was necessary to sustain his convictions of
assault with intent to anally and orally rape the victim, and
that such proof was absent. However, proof of force is not
needed to sustain a conviction of assault with intent to rape,
the elements of which are "an assault on the victim and a
specific intent . . . to rape the victim." Commonwealth v.
Martin, 447 Mass. 274, 287 n.9 (2006), citing Commonwealth v.
Nickerson, 388 Mass. 246, 253 (1983).
The trial judge instructed the jury on the two common-law
theories of assault, attempted battery and immediately
threatened battery.3 Neither requires the use of force, or even
3
To convict on a theory of attempted battery, "the
prosecution [must] . . . prove that the defendant intended to
commit a battery, took some overt step toward accomplishing that
intended battery, and came reasonably close to doing so. . . . A
9
that the victim be put in fear. Indeed, under the attempted
battery theory, the victim does not even need to be aware of the
attempt -- "the victim could be unconscious or have his back
turned when the attempted battery occurred." Commonwealth v.
Porro, 458 Mass. 526, 530 (2010). Under the threatened battery
theory, "[t]he victim need not actually be in fear, but must
apprehend the risk of an imminent battery." Id. at 531. The
evidence was sufficient to prove both counts of assault with
intent to rape.
2. Ineffective assistance of counsel. In his motion for a
new trial, the defendant claimed that trial counsel was
ineffective for failing to file a motion to suppress the
admissions he made to his court-appointed custodian in Alaska
after he had been indicted in Massachusetts and his right to
counsel had attached.
The Sixth Amendment to the United States Constitution
"generally prohibits any 'knowing exploitation by the State of
an opportunity to confront the accused without counsel being
present.'" Commonwealth v. Hilton, 443 Mass. 597, 614 (2005),
S.C., 450 Mass. 173 (2007) (Hilton), quoting from Maine v.
conviction of assault under a theory of threatened battery
requires the prosecution to prove that the defendant engaged in
conduct that a reasonable person would recognize to be
threatening, that the defendant intended to place the victim in
fear of an imminent battery, and that the victim perceived the
threat." Commonwealth v. Porro, 458 Mass. 526, 530-531 (2010).
10
Moulton, 474 U.S. 159, 176 (1985). This rule applies when law
enforcement officials or their agents speak to defendants about
their pending charges in the absence of counsel; it does not
apply to communications initiated by "private citizens
'unconnected with law enforcement authorities.'" Hilton, supra
at 615-616, quoting from Commonwealth v. Allen, 395 Mass. 448,
454 (1985).
The defendant claims that his third-party custodian,
appointed by the Alaska court under Alaska Stat. § 12.30.020
(2004),4 was acting as an agent of Massachusetts prosecutorial
authorities. We disagree. Alaska's unique third-party
custodian arrangement was a form of supervised home detention.5
See Johnston, Sentenced by Tradition: The Third-Party Custodian
Condition of Pretrial Release in Alaska, 26 Alaska L. Rev. 317
(2009). The appointment of the custodian, imposed in lieu of
bail or pretrial detention, was for the defendant's benefit.
She did not act at the behest or on the behalf of the
Commonwealth.
4
This provision has since been repealed. See 2010 Alaska
Sess. Laws c. 19, § 30.
5
Alaska Stat. § 12.30.020(b)(1), as then in effect, gave
the judicial officer determining a defendant's pretrial release
status the option of "plac[ing] the person in the custody of a
designated person or organization agreeing as a custodian to
supervise the person." A custodian could be subject to
prosecution for "failure to report immediately in accordance
with the terms of the [release] order that the person released
has violated a condition of release." Ibid.
11
The defendant chose his girlfriend's mother as a custodian
because she was friendly to him and her home was convenient.
After his arrest, the defendant's girlfriend "begged" her mother
to accept responsibility for supervision of the defendant in
accordance with the conditions of pretrial release. According
to the defendant, his two other sureties lived too far away,
"all the way into Fairbanks," whereas his girlfriend's mother
lived approximately one mile away in North Pole, Alaska.
The defendant likens his custodian to the court officer
found to be the equivalent of a law enforcement official in
Hilton. He argues that like the court officer, who "was
required to report any observations or information concerning
criminal activity," Hilton, 443 Mass. at 616, the custodian "was
required to report any violations of law or conditions of
release to the authorities." See Commonwealth v. Howard, 446
Mass. 563, 569 (2006) ("Our primary concern was, and remains,
with the constitutional implications of questioning on matters
concerning pending charges posed by persons whose official
duties direct them to interact with a defendant and who may be
required to turn any incriminating responses over to the police
and prosecutor").
The defendant exaggerates his custodian's responsibilities.
Her statutory duty was to assure the defendant's appearance at
trial, and her reporting obligation was accordingly limited to
12
informing the court if "the person released has violated a
condition of release." Alaska Stat. § 12.30.020(b)(1). She was
not charged with investigating the pending charges or reporting
other criminal conduct, nor did she. She did not disclose the
defendant's admissions until after the defendant had been
extradited to Massachusetts, and then only when a Fairbanks
police detective, at the request of the Waltham police, sought
her out for questioning. "[N]either the [custodian's] questions
nor the defendant's responses were prompted or suggested by law
enforcement officials." Commonwealth v. Allen, 395 Mass. at
454. Under these circumstances, an agency relationship did not
arise between the custodian and the Commonwealth.
Because a motion to suppress would have been futile, the
defendant cannot demonstrate that counsel was ineffective for
failing to pursue it, or that counsel's failure to do so
deprived him of a substantial defense. See Commonwealth v.
Saferian, 366 Mass. 89, 96 (1974); Commonwealth v. Conceicao,
388 Mass. 255, 264 (1983). The judge's denial of the motion for
new trial without an evidentiary hearing was well warranted.
Conclusion. For the foregoing reasons, the defendant's
motion for required findings of not guilty on the three
13
challenged charges and his motion for a new trial were properly
denied.
Judgments affirmed.
Order denying motion for new
trial affirmed.