Lead Opinion
This case raises the question whether a defendant who is charged initially by complaint with murder in the first degree is entitled to a preliminary or probable cause hearing in the District Court
Background. On May 7, 2010, Cordell McAfee was shot and killed on the front porch of a house in the Dorchester section of Boston.
At the defendant’s arraignment, the judge scheduled a probable cause hearing to be held on February 17, 2011. See Mass. R. Crim. R 7 (b) (4), as appearing in
Thereafter, on March 24, 2011, the defendant filed a petition in the county court pursuant to G. L. c. 211, § 3, seeking an order that a probable cause hearing be held in the District Court as soon as possible and not later than April 15, 2011, and requesting in the alternative that the single justice dismiss the pending complaint against the defendant. Before the defendant’s petition was heard by the single justice, at the scheduled April 15 hearing in the District Court, the prosecutor requested another continuance. She argued that, due to delays reaching the witnesses, the Commonwealth was unable to complete the grand jury investigation, and she stated that the grand jury was scheduled to meet again on May 6, 2011. The defendant again objected to a continuance, and filed a renewed motion to dismiss. The judge granted the Commonwealth’s requested continuance and denied the defendant’s motion to dismiss, setting May 9, 2011, as the next date for the probable cause hearing. The grand jury returned an indictment on May 7, 2011, charging the defendant with murder in the first degree. The probable cause hearing in the District Court never took place.
Before the indictment was returned, the single justice heard
Discussion. 1. Mootness. As the defendant has been indicted and does not suggest that he would be entitled at this point either to a probable cause hearing or dismissal of the indictment, his petition for relief under G. L. c. 211, § 3, is moot. However, it is within the discretion of this court to answer questions that, due to circumstances, no longer may have direct significance to the parties but raise issues of public importance and, because of their nature, may be “capable of repetition, yet evading review.” See Lockhart v. Attorney Gen.,
Whether a person charged and held on a District Court complaint for murder in the first degree is entitled to a probable cause hearing in the District Court and, if so, the timing of such a hearing and the relationship between a person’s right to that hearing and the Commonwealth’s right to initiate grand jury proceedings are issues that implicate the liberty interests of all defendants who are so situated, and more generally are significant for the proper administration of the criminal justice system. These issues have been briefed fully by the parties, and we will consider them.
2. Probable cause hearings for defendants held on a complaint of murder, a. Introduction. It is useful to set out the text of the two statutes that give rise to the issues just summarized.
General Laws c. 276, § 38, provides:
“The court or justice18 1 before whom a person is taken upon a charge of crime shall, as soon as may be, examine on oath the complainant and the witnesses for the prosecution, in the presence of the defendant, relative to any material matter connected with such charge. After the testimony*96 to support the prosecution, the witnesses for the prisoner, if any, shall be examined on oath, and he may be assisted by counsel in such examination and in the cross examination of the witnesses in support of the prosecution. Nothing contained herein shall be construed to prohibit the enforcement of the waiver provisions of Rule 3 of the Massachusetts Rules of Criminal Procedure. A defendant charged with an offense as to which he has the right to be proceeded against by indictment may elect a probable cause hearing in accordance with Rule 3 of the Massachusetts Rules of Criminal Procedure, but in such event shall be deemed to have waived his right to be proceeded against by indictment.” (Emphasis added.)
General Laws c. 263, § 4A (§ 4A), provides in relevant part:
“A defendant charged in the district court with an offense as to which he has the right to be proceeded against by indictment shall have the right, except when the offense charged is a capital crime,9 to waive that right, whereupon the court shall have as full jurisdiction of the complaint as if an indictment had been found. If a defendant is so charged and requests a probable cause hearing in district court, that request shall constitute a waiver of the right to be proceeded against by indictment and the prosecution may proceed upon the complaint. If a defendant waives the right to be proceeded against by indictment, a probable cause hearing shall be held in the district court unless the defendant waives the probable cause hearing or unless the prosecutor elects to proceed by indictment pursuant to the Massachusetts Rules of Criminal Procedure.” (Emphasis added.)
The defendant argues that the single justice committed an error of law in denying the defendant’s request for an immediate probable cause hearing or dismissal of the District Court complaint. He contends that § 38 protects a defendant who is charged in the District Court but subject to being bound over to the Superior Court from being held in custody without a neutral assessment, within a short time after the prosecution actually begins, of whether there is probable cause to support the charges against him.
The Commonwealth, on the other hand, asserts that a defendant charged with murder in the first degree has no right to a probable cause hearing under § 38. The argument is that under
b. Availability of probable cause hearings to defendants charged by complaint with murder in the first degree. Considering § 38 and § 4A together, we conclude that the Commonwealth’s argument lacks merit. Section 38 by its terms provides for a probable cause hearing in cases where a defendant is charged with a crime in the District Court that lies beyond the jurisdiction of that court and for which the defendant is entitled to be proceeded against by indictment. See Corey v. Commonwealth,
Section 4A in relevant part essentially tracks the same waiver provisions that were incorporated into the original version of Mass. R. Crim. P. 3 and added by reference to § 38 in 1985.
c. Timing of the probable cause hearing under G. L. c. 276, § 38. As the Myers and Corey cases describe, probable cause hearings protect significant liberty interests of defendants who ultimately will be tried in the Superior Court. See Corey, 364 Mass, at 141; Myers, 363 Mass, at 847. The defendant points to these two cases as supporting, if not compelling, the conclusion that under § 38 he was entitled to a probable cause hearing in short order following his arraignment.
Section 38 directs that the probable cause hearing occur “as soon as may be” after arraignment, and this phrase must be interpreted in a manner consistent with the legislative purpose of that statute. See District Attorney for the N. Dist. v. School Comm. of Wayland,
As set out in Myers, to establish probable cause under § 38, the Commonwealth must present sufficient credible evidence to meet the directed verdict standard, that is, “whether there is enough credible evidence to send the case to the jury.” Myers, 363 Mass, at 850. See generally id. at 848-850. Meeting this standard requires the presentation of substantially more evidence than is necessary in most cases for an indictment.
What we have just stated about the meaning of “as soon as may be” is based on a consideration of the nature of the § 38 probable cause hearing. However, as § 38 expressly reflects, there are crimes for which a defendant has a right, constitutionally protected, to be proceeded against by indictment. Furthermore, as recognized by statute and court rule, the Commonwealth may elect to proceed by indictment even if the defendant would be willing to waive the right. See G. L. c. 263, § 4A; Mass. R. Crim. R 3 (e), as appearing in
In sum, we conclude that the phrase “as soon as may be” in § 38 is best interpreted to mean that the probable cause hearing is to be held as soon as reasonably practicable in the circumstances presented — circumstances that may include, as here, the requirement that the Commonwealth proceed by indictment or, in a noncapital case, the election of the Commonwealth to do so. The phrase cannot be defined, as the defendant would have it, by establishing in advance a fixed number of days within which the hearing must be held, because the particular circumstances of each case will be different.
In construing the phrase “as soon as may be” in this manner, we do not intend to suggest that a judge is free to continue a scheduled probable cause hearing as a matter of course or simply based on a prosecutor’s statement that the Commonwealth needs more time. The important purpose of the § 38 probable cause hearing — to prevent the defendant from being held for trial on a groundless or unmeritorious charge, see Corey, 364 Mass, at 141; Myers, 363 Mass, at 847 — remains a central consideration. The Commonwealth is not entitled to proceed at whatever pace it might choose, either in marshaling evidence to establish probable cause for the probable cause hearing or in presenting a case to the grand jury in order to secure an indictment. And a judge may not simply rubber stamp a Commonwealth’s request for a continuance. Rather, if the Commonwealth seeks to continue
If the Commonwealth does not provide good cause for a continuance, as the single justice suggested, the judge should consider directing the Commonwealth to proceed with the probable cause hearing; alternatively, the judge might dismiss the complaint or at least consider bail. A dismissal, of course, “is not a bar to a subsequent indictment for the same offence.” Burke v. Commonwealth,
Returning to the decision of the single justice, we conclude that he did not abuse his discretion or commit other error of law in denying the relief sought by the defendant. The single justice appeared to consider the existence of an ongoing grand jury investigation as perhaps a principal factor that would justify a
Conclusion. The defendant’s appeal is dismissed as moot.
So ordered.
Notes
In the present case, the complaint issued from the Boston Municipal Court Department. In this opinion, we refer to the Boston Municipal Court Department and the District Court Department collectively as the District Court.
The hearing conducted by a judge in the District Court pursuant to G. L. c. 276, §§ 38-42, to determine whether there is probable cause to hold a defendant who has been charged with a crime beyond the jurisdiction of the District Court for trial in the Superior Court is sometimes referred to as a “preliminary hearing.” See Lataille v. District Court of E. Hampden,
The facts of the underlying homicide investigation and case are not directly relevant to this appeal.
Effective June 1, 2012, this court amended Mass. R. Crim. P. 7. See
On March 16, 2011, the second scheduled date for the probable cause hearing, the Commonwealth summarized what had occurred at the hearing on February 17: “I appeared on that date before the court and reported that it was my hope that by this date, March 16, that we would either have the case indicted or be very close to that.”
The Commonwealth nol pressed the complaint on May 12, 2011.
There is no indication in his memorandum of decision or otherwise in the record that the single justice was aware that the defendant had been indicted on May 6, 2011.
The reference is to the District Court or a judge in the District Court.
As originally enacted, § 4A read that all persons bound over “for trial in superior court upon a complaint charging a crime not punishable by death” may waive indictment. St. 1934, c. 358. After abolition of the death penalty, the Legislature defined a “capital case” for the purpose of review by the Supreme Judicial Court as “a case in which the defendant was tried on an indictment for murder in the first degree and was convicted of murder in the first degree.” G. L. c. 278, § 33E, as amended through St. 1979, c. 346, § 2. See Commonwealth v. O’Brien,
As a general matter, G. L. c. 276, § 38 (§ 38), with its provision for a probable cause hearing, applies to criminal cases initiated in the District Court where (1) that court does not have final jurisdiction over the crime or crimes charged, and binds the defendant over for indictment and trial in the Superior Court; and (2) the District Court, although possessing final jurisdiction concurrent with the Superior Court, declines to exercise it and again binds the defendant over. See Lataille, 366 Mass, at 528.
The Commonwealth did not present its statutory argument based on § 4A to the single justice, and therefore, the defendant asserts, the Commonwealth should be foreclosed from raising it here. As indicated previously, the issues raised here are significant to the operation of the criminal justice system. We decline to apply a strict waiver rule in this instance, and we consider the merits of the Commonwealth’s claim.
Rule 3 of the Massachusetts Rules of Criminal Procedure, as appearing in
Rule 3 continues to provide that a defendant charged with a capital crime does not have the right to waive indictment. Mass. R. Crim. R 3 (c) (1), as appearing in
Although of no direct relevance here, it is worth noting that the “forced waiver” provision of Mass. R. Crim. R 3 (a), as appearing in
The language in § 4A specifically linking the right to a probable cause hearing with waiver of the right to indictment was added to the statute in 1979, as part of a general effort to conform certain statutes to the then-new rules of criminal procedure. See St. 1979, c. 344, § 18. Before the 1979 amendment, § 4A contained no mention of probable cause hearings and simply provided for the possibility that a defendant who was bound over to the Superior Court for trial and charged with a crime, again other than murder in the first degree, could waive indictment and thereby secure for himself the right to prompt arraignment in the Superior Court. See G. L. c. 263, § 4A, as inserted by St. 1934, c. 358.
The current version of Mass. R. Crim. P. 3 may be inconsistent with the
A final point on this subject: as we discuss in the following section, the purpose of § 38 is to ensure that a defendant who will be bound over for indictment and trial in the Superior Court is not held in custody awaiting a grand jury indictment or trial without a demonstration of probable cause that he committed the crime charged. The Commonwealth fails to offer any reason why defendants charged with murder in the first degree, in contrast to any other felony, are not entitled to this protection.
Indeed, because of the importance of those interests, the court in Myers concluded that it was appropriate in a probable cause hearing to apply the
Compare Commonwealth v. McCarthy,
In Lataille, 366 Mass, at 531, we stated:
“Where probable cause is to be determined by a [probable cause] hearing on a complaint in the District Court the panoply of defensive procedures announced in the Corey and Myers cases applies. However, in the context of grand jury proceedings, the return of an indictment is itself a determination of probable cause and renders unnecessary a [probable cause] hearing.
“To hold otherwise would be to undermine the function traditionally performed by the grand jury ....
“On the contrary, the grand jury is an institution preserved by the Constitution of this State. . . . Accordingly, the grand jury has long been regarded as an important part of our criminal procedure.” (Footnotes and citations omitted.)
The defendant cites a number of decisions of this court that define the term “forthwith” or the phrase “as soon as may be,” as they appear in various statutes, to mean, essentially, with promptness and due diligence. See Commonwealth v. Bouchard,
General Laws c. 276, § 35, read in conjunction with St. 1993, c. 110, § 271, provides in relevant part:
“The court or justice may adjourn an examination or trial from time to time .... In the meantime, if the defendant is charged with a crime that is not bailable, he shall be committed; otherwise, he may recognize in a sum ... for his appearance for such examination or trial, or for want of such recognizance he shall be committed. While the defendant remains committed, no adjournment shall exceed thirty days at any one time against the objection of the defendant” (emphasis added).
The single justice listed the following factors: “the length of time the defendant has been held since his arrest, whether the grand jury are actively hearing evidence, the need to protect grand jury secrecy (and the witnesses who may be called there) from exposure and intimidation, reasonable delays occasioned by the need to obtain the results necessary to the grand jury’s consideration of the matter, the showing of harm or lack of harm occasioned by the delay, and the over-all proper and timely administration of justice.” We agree that these are appropriate considerations to weigh in considering a request to continue the probable cause hearing.
Concurrence Opinion
(concurring, with whom Spina, J., joins). I agree with the court that the “important purpose” of the probable cause hearing described in G. L. c. 276, § 38 (§ 38), is “to prevent the defendant from being held for trial on a groundless or unmeritorious charge” by providing a judicial determination of probable cause.*
I write separately to note that the only reason why it is reasonable to give a prosecutor so much leeway to delay a probable cause hearing is because we have declared that probable cause at a probable cause hearing does not mean probable cause to believe that the defendant has committed a crime but instead means proof established by admissible evidence that is legally sufficient to establish guilt beyond a reasonable doubt.
Under Federal law, a defendant charged with a felony or misdemeanor is entitled to a preliminary hearing
Under our current interpretation of Massachusetts law, the probable cause hearing does not fulfil its intended function, because it almost never actually happens. As demonstrated by the attestations in eleven affidavits filed by criminal defense attorneys in this case, a probable cause hearing in a criminal case is virtually never conducted in the courts of Massachusetts; the only preliminary screening of a defendant’s case is conducted by a grand jury, sometimes months after the initial appearance. For all practical purposes, in Massachusetts the probable cause hearing is a relic of the past, a theoretical entitlement that in practice is only rarely obtained.
The irony is that the reason why probable cause hearings have become as rare as Boston Red Sox championships is because, for the ostensibly benevolent purpose of protecting defendants from trial where the Commonwealth’s case against them is too weak to obtain a conviction, we have made the prosecutor’s burden of proof so high at such hearings, and have obligated the prosecutor to meet this burden with admissible evidence rather than reliable hearsay. See Myers, supra at 847, 850. In practice, our benevolence toward defendants has backfired: there is now virtually no judicial screening of criminal cases after arrest and a defendant may be held for months in custody before either a grand jury or a judge (almost invariably a grand jury) makes a determination of probable cause. Rather than helping defendants escape “groundless or unsupported charges” or “sparing individuals from being held for trial,” id. at 847, the heightened standard we announced in Myers has had the unintended result of criminal defendants being held for extended periods without judicial screening to allow the Commonwealth sufficient time to meet the more demanding “directed verdict” standard or, more likely, to obtain a grand jury indictment. Where, as here, a defendant is charged with a capital crime, the Commonwealth is likely to have even more abundant “good cause” for requesting a continuance of the probable cause hearing, ante at 103-104, because the Commonwealth will need
Like the Federal courts, a “substantial majority of jurisdictions reject[s] both the prima facie [directed verdict] standard and the mini-trial type of preliminary hearing,” which allows consideration only of evidence that would be admissible at trial. 4 W.R. LaFave, J.H. Israel, N.J. King, & O.S. Kerr, Criminal Procedure § 14.3(a), at 326 (3d ed. 2007).
The State of New York once imposed a heightened “prima facie case” standard at probable cause hearings,* ****
“Comparing New York’s [former ‘prima facie case’] standard with those of many other jurisdictions, it will be*111 found that New York require[d] much more in the way of proof to hold a person for a grand jury than do the laws of many other states and the federal law. This does not, in practice, really benefit a defendant, but rather leads to confusion and comer-cutting. Very often there may be sufficient evidence for the issuance of a warrant of arrest or for an arrest without a warrant, but not enough evidence for a prima facie case. This may cause an arrested person to be held for a considerable time while the case is being investigated so that a complaint which spells out a prima facie case can be prepared. . . . Meanwhile, the defendant’s main interest is in obtaining his release from custody. . . . One objective of the procedure proposed here is to promote promptness of the hearing as a matter of practice as well as requiring such promptness as a matter of law. ... In effect, if the evidence was sufficient for the issuance of a warrant of arrest or for an arrest without a warrant — all other things being equal — it should be sufficient to hold a person for the action of the grand jury.”
Staff Comment, Proposed New York Criminal Procedure Law § 90.60, at 137-138 (1967), now codified at N.Y. Crim. Proc. Law § 180.60 (McKinney 1975). See 1969 N.Y. Sess. Laws 2345, 2348 (McKinney), Commission on Revision of the Penal Law and Criminal Code, Memorandum in Support and Explanation of Proposed Criminal Procedure Law (S. Int. 4624, A. Int. 6579) (“[t]o predicate reasonable cause as sufficient for the first screening process is hardly shocking, especially since most jurisdictions never require any more than that at any stage prior to trial”).
It is important to note that, if we were to revisit our decision in Myers and join the Federal courts and the substantial majority of State jurisdictions in setting a traditional probable cause standard at these hearings and allowing probable cause to be based on reliable hearsay, the probable cause hearing would still differ meaningfully from a clerk-magistrate’s issuance of an arrest warrant or complaint. While the probable cause standard would be the same, the judicial screening of probable cause would be performed by a judge, not a clerk-magistrate, and would be adversarial in nature, with the defendant having the opportunity to cross-examine prosecution witnesses and call his
Because no party in this case asked us to revisit our decision in Myers, and because the issue was not briefed by the parties or any amicus, I do not suggest that we should do so here. However, I suggest that the standard of proof and the requirement of admissible evidence we established in Myers need to be revisited in an appropriate case, because our present interpretation of the law governing probable cause hearings is resulting in criminal defendants being denied the opportunity to have a timely judicial determination whether there is probable cause to believe them guilty of a crime. Until we revisit Myers, for all practical purposes the only determination of probable cause after arrest will be made by a grand jury at a time determined by the prosecutor that, depending on the nature of the case, may be many months after the defendant’s initial appearance.
As addressed ante at note 2, the type of hearing in question has been called by several different names in our cases. For ease of reference, I follow the court’s choice in terminology and refer to these hearings as “probable cause hearings.” However, it should be noted that the type of hearing being addressed is distinct from a “determination of probable cause for detention” as described in Mass. R. Crim. P. 3.1,
It is difficult to decipher precisely what is the standard of proof to bind a defendant over for trial at a probable cause hearing. We declared in Myers v. Commonwealth,
The Federal equivalent to the Massachusetts probable cause hearing under G. L. c. 276, § 38, is called a “preliminary hearing," and a defendant at such a hearing is bound over for “further proceedings” if the magistrate judge “finds probable cause to believe an offense has been committed and the defendant committed it.” Fed. R. Crim. P. 5.1(a), (c) (2009).
A Federal defendant who is in custody is entitled to a preliminary hearing within fourteen days of initial appearance unless the defendant is indicted or agrees to the filing of a criminal information before that date. Fed. R. Crim P. 5.1(a), (c) (2009).
See, e.g., People v. Nagle,
See 1969 N.Y. Sess. Laws 2345, 2347 (McKinney), Commission on Revision of the Penal Law and Criminal Code, Memorandum in Support and Explanation of Proposed Criminal Procedure Law (S. Int. 4624, A. Int. 6579) (noting under old Criminal Code, standard to be applied at these hearings was “very cloudy, but most judges requirefd] a legally sufficient or prima facie case”).
Chief Justice Ireland’s concurrence complains that I have “stakefd] out” a position on a significant legal issue without the issue having been raised, briefed, or argued, and that I should not discuss the issue until it is squarely raised in a case before us. See post at 113 (Ireland, C.J., concurring). In general, I agree that we should await full briefing until we decide an issue, which is why, rather than suggest that we should decide this issue in the case before us, I suggested supra “that the standard of proof and the requirement of admissible evidence we established in Myers needs to be revisited in an appropriate case.” To the extent that the concurrence suggests it is inappropriate to recognize that our present interpretation of the law governing probable cause hearings is proving to be dysfunctional because it results in criminal defendants being denied the opportunity to have a timely judicial determination whether there is probable cause to believe them guilty of a crime, I disagree, especially where, as here, the issue is likely to continue to elude review unless someone on the court expresses a willingness to revisit our decision in Myers. Even with such a willingness expressed, the issue is not easily presented on appeal. In the rare case where a defendant is granted a probable cause hearing, it would be unlikely that a defendant would claim on appeal that the directed verdict standard is too demanding a standard of probable cause and that the traditional probable cause standard is more appropriate. A prosecutor arguably could challenge the standard in the unusual case where a probable cause hearing is conducted and no probable cause is found under the Myers standard, but why would her office bring such an appeal if it may foreseeably result in more (and more timely) probable cause hearings, albeit under a traditional probable cause standard? Because a judicial fix of the dysfunction may be unlikely, the Legislature may need to step in to make the repair, as it did in New York State. See Staff Comment, Proposed New York Criminal Procedure Law § 90.60, at 137-138 (1967), now codified at N.Y.
Concurrence Opinion
(concurring). I agree entirely with the court. I write separately only to register my concerns about the concurring opinion that challenges the probable cause standard set forth in Myers v. Commonwealth,
I do not think this court does its best work when we make up our minds and stake out our positions on significant legal issues like this, before the issues have even been raised by the parties, brought before us, and briefed and argued for our consideration.
Of course there are times when we might need to address an issue that was not raised and preserved in the trial court; or when we might discuss an issue that is not absolutely necessary to the disposition of the appeal; or when we might decide the occasional moot case, where the issues are important and would otherwise escape appellate review. But even then we should be chary about discussing and deciding issues without the benefit of hearing both sides.
That said, and even though I was one of the counsel of record for the prevailing petitioner in the Myers case, I am not averse to revisiting that decision if and when it becomes appropriate to do so. I will wait to hear the arguments from both sides, however, and from any amici who might have information to contribute, before I reach any conclusions about whether the Myers standard should be retained or changed.
I note that none of the eleven attorneys who submitted affidavits in support of the defendant’s petition pursuant to G. L. c. 211, § 3, stated that he or she was concerned with the standard set forth in Myers v. Commonwealth,
For example, the concurrence states that a “substantial majority of jurisdictions” does not use the directed verdict standard set forth in Myers v. Commonwealth, supra at 850. Ante at 109 & n.5. I point out that the court in the Myers case based the directed verdict standard on a study by the American Bar Association and on the draft of a model code. Myers v. Commonwealth, supra at 850 n.7, citing F. Miller, Prosecution: The Decision to Charge a Suspect With Crime (“this ‘directed verdict’ definition of probable cause is the most common screening standard practised in other States which have probable cause hearings”), and Graham & Letwin, The Preliminary Hearing in Los Angles, 18 UCLA L. Rev. 636, and American Law Institute, A Model Code of Pre-Arraignment Procedure (Tent. Draft No. 5) § 330.5(3) (“[Probable] cause to hold the defendant for trial exists . . . when the evidence introduced at the preliminary hearing would support a guilty verdict”). This seeming discrepancy presumably would have been vetted fully if the directed verdict standard was before the court. In addition, according to a memorandum of law that the defendant submitted in support of his petition for extraordinary relief pursuant to G. L. c. 211, § 3, many of the jurisdictions cited by the concurrence as having rejected the directed verdict standard have statutes or rules that, unlike the Commonwealth, have a very short time frame (fourteen days) for holding a probable cause hearing, or require the prosecution to demonstrate good cause or extraordinary circumstances to justify delay or continuance. The degree to which the rejection of a directed verdict standard is related to the existence of these rules and statutes would also have been vetted if the issue was properly before this court.
