General Laws c. 123, § 17 (b), provides that an incompetent defendant may “request an opportunity to offer a defense” to charges pending against him and states that “[i]f after hearing [the defendant’s] petition the court finds a lack of substantial evidence to support a conviction it shall dismiss the indictment or other charges.” In the present case, we clarify the scope of a hearing held pursuant to this statutory provision.
1. Factual and procedural background. On an unknown date between June 29, 1997, and July 5, 1997, the defendant, then sixteen years old, allegedly raped and committed other acts of
The defendant filed a motion pursuant to G. L. c. 123, § 17 (b), for leave to offer a defense on the merits to the charges against him. In support of such motion, defense counsel stated that he had conducted an investigation into the Commonwealth’s allegations. He would show that there was a lack of substantial evidence to support the complainant’s testimony and that, depending on the exact dates of the alleged offenses, the defendant would present evidence of an alibi. The judge, in his discretion, granted the defendant’s motion. A hearing was then held to determine the appropriate procedure for a § 17 (b) proceeding. In his memorandum of decision, the judge stated that he would apply a “required finding of not guilty” standard to determine whether there was a “lack of substantial evidence to support a conviction.” The judge further stated that he would allow the defendant to present testimony from the complaining witness at the hearing. The Commonwealth filed a petition pursuant to G. L. c. 211, § 3, challenging the decision of the District Court judge. A single justice of this court reserved and reported the case, without decision, to the full court.
2. Statutory background. General Laws c. 123, § 17 (b), is a component of mental health legislation that was enacted, in part, to address the issue of pretrial commitment of incompetent criminal defendants. See St. 1970, c. 888, § 4; Foss v. Commonwealth,
There are two avenues by which the charges against an incompetent defendant may be dismissed. First, such charges will be dismissed on “the date of the expiration of the period of time equal to the time of imprisonment which the person would have had to serve prior to becoming eligible for parole if he had been convicted of the most serious crime with which he was charged in court and sentenced to the maximum sentence he could have received, if so convicted.” G. L. c. 123, § 16 (f). This statutory provision “balances the interests of an incompetent defendant in dismissal of pending charges with the interests of the Commonwealth in protecting the public and enforcing the law by providing that the charges may remain pending for a period determined on the basis of the single most serious crime charged and the maximum sentence possible therefor.” Foss v. Commonwealth, supra at 591. In the alternative, G. L. c. 123, § 17 (b), gives an incompetent defendant the opportunity to have the criminal charges against him dismissed before the date when he would have been eligible for parole if certain conditions are satisfied. It provides as follows:
“If either a person or counsel of a person who has been found to be incompetent to stand trial believes that he can establish a defense of not guilty to the charges pending against the person other than the defense of not guilty by reason of mental illness or mental defect, he may request an opportunity to offer a defense thereto on the merits before the court which has criminal jurisdiction. The court may require counsel for the defendant to support the request by affidavit or other evidence. If the court in its discretion grants such a request, the evidence of the defendant and of the commonwealth shall be heard by the court sitting without a jury. If after hearing such petition the court finds a lack of substantial evidence to support a conviction it shall dismiss the indictment or other charges or find them defective or insufficient and order the release of the defendant from criminal custody.”
G. L. c. 123, § 17 (b). We now consider the purpose and meaning of this statutory provision.
We initially note that when an incompetent defendant requests an opportunity to offer a defense to the charges pending against him, other than a defense of not guilty by reason of mental illness or mental defect, he must make a preliminary showing that his request should be allowed. The language of G. L. c. 123, § 17 (b), that “[t]he court may require counsel for the defendant to support the request by affidavit or other evidence” suggests that the mere assertion by the defendant that he wants to present a defense will be insufficient to warrant a hearing, particularly where the statute vests the court with discretion to grant or deny the defendant’s request. Cf. Fauci v. Mulready,
Once a judge grants a defendant’s request for an opportunity to present a defense “on the merits,” the standard by which the judge must decide whether the indictment or other charges should be dismissed is whether there is “a lack of substantial evidence to support a conviction.” G. L. c. 123, § 17 (b). See Spero v. Commonwealth,
The standard of proof under G. L. c. 123, § 17 (d), is not, however, a civil standard, as the Commonwealth urges. The plain meaning of “substantial evidence to support a conviction” requires the Commonwealth to present substantial evidence from which a rational jury could convict the defendant, that is, find him guilty beyond a reasonable doubt. While, in its practical application, the standard may well yield the same result as the standard for deciding a motion for required finding of not guilty under Mass. R. Crim. R 25 (a), (b) (1),
Although a judge must weigh all the evidence and assess the credibility of all witnesses at a hearing under § 17 (b), the determination whether there is a lack of substantial evidence to support a conviction must not be based on the judge’s personal view of the evidence, but on whether a rational jury could find the defendant guilty beyond a reasonable doubt. See Labor Relations Comm’n v. University Hosp., Inc.,
The “substantial evidence to support a conviction” standard
4. Presentation of witness testimony. The Commonwealth contends that the District Court judge committed reversible error by concluding that the defendant could call the complainant as a witness at his § 17 (b) hearing. The Commonwealth argues that the statute does not provide for the introduction of live testimony, and that the complainant was unlikély to provide any relevant and material evidence that would support the defendant’s proposed alibi defense. We disagree.
The defendant clearly has a right to call witnesses at a § 17 (b) hearing. The statute explicitly provides that the defendant may offer a “defense ... on the merits before the court which has-criminal jurisdiction” and that “the evidence of the defendant and of the commonwealth shall be heard by the court sitting without a jury.” G. L. c. 123, § 17 (b). As we have earlier noted, the words of a statute are the primary source from which we ascertain legislative purpose, and when the text of a statute is clear and unambiguous, we constme the language in accordance with its plain and ordinary meaning. See Commonwealth v. Ray,
The Commonwealth asserts that because of the complainant’s young age, her “limited intellectual development,” and her “history of psychiatric hospitalization,” she should not be compelled to testify at the defendant’s § 17 (b) hearing. We note that there is no evidence in the record on which this case was reserved and reported that the Commonwealth requested any special accommodations for the complainant. “This court is acutely aware of the plight of child sexual assault victims and traditionally has been sensitive toward meeting the needs of these young witnesses.” Commonwealth v. Bergstrom,
The Commonwealth’s argument that the defendant should not be allowed to call witnesses because he is incompetent and therefore unable to assist in his own defense evinces a misunderstanding of the function of a § 17 (b) hearing. In the first place, it only pertains to defendants who are incompetent. Second, the hearing primarily serves a screening function; it is not a trial to establish guilt, and it is not going to result in a defendant’s conviction and sentencing. At the conclusion of the hearing, an incompetent defendant will be in no worse position than he was before the hearing and, in fact, he may be in a better position. The judge will either determine that the charges against him should be dismissed, or the judge will maintain the status quo. The fact that a defendant has been deemed incompetent to stand trial has no bearing on his ability, or that of his attorney, to present evidence at a § 17 (b) hearing. The Supreme Court has noted that it is desirable to afford incompetent defendants some opportunity to establish innocence without exposure to being convicted. See Jackson v. Indiana, supra at 740, 741 & n.30, citing G. L. c. 123, § 17. Contrast Commonwealth v. Vailes,
This case is remanded to the county court where an order will enter remanding the case to the District Court for further proceedings consistent with this opinion.
So ordered.
Notes
Following a hearing pursuant to G. L. c. 123, § 17 (b), if the judge finds that there is “a lack of substantial evidence to support a conviction,” the ultimate result is not the defendant’s acquittal, but rather dismissal of the indictment or other charges and his release from criminal custody. Such result emphasizes a major purpose of G. L. c. 123, namely, “to eliminate the highly questionable practice of committing incompetent criminal defendants indefinitely, while awaiting their unlikely restoration to competency, and also eliminating the indefinite pendency of criminal charges that, most often,
Both G. L. c. 276, § 38, and G. L. c. 123A, § 12 (d), include specific language that a defendant has the right to cross-examine witnesses in support of the prosecution. Although G. L. c. 123, § 17 (b), does not include such language, it does state that a defendant may offer a defense “on the merits,” which we construe to include the right to cross-examine witnesses presented by the Commonwealth.
