DUFFLY, J.
The defendant was arrested following the recovery of a weapon in the glove box of a motor vehicle after it was searched by police. A complaint issued in the Boston Municipal
The Commonwealth's motion for reconsideration of the sanctions orders was denied. Thereafter, the Commonwealth sought and was granted leave by a single justice of this court to file an interlocutory appeal with the Appeals Court. The Appeals Court reversed the order in an unpublished memorandum and order pursuant to its rule 1:28. Commonwealth v. Sanford, 76 Mass.App.Ct. 1122 (2010). We granted the defendant's application for further appellate review. We hold that the order must be vacated; we conclude also that the matter must be remanded for further proceedings.
Background. The factual background for the arrest that led to the discovery order and sanctions is drawn from the police report. The charges against the defendant stem from a motor vehicle stop conducted after police officers observed a suspect clutching his left side enter a vehicle with its windows tinted in violation of Massachusetts law. Inside the vehicle, the suspect was observed passing something back and forth with another suspect. When the officers approached and asked the defendant, who was in the driver's seat, to produce his driver's license, they detected a strong odor of freshly burnt marijuana emanating from the vehicle and the defendant's person. At some point, the officers searched the vehicle and found in the glove box a Star nine millimeter handgun with the hammer in the cocked position and the weapon's serial number obliterated. Detective
Our summary of the relevant proceedings is drawn from the decision of the judge who ordered exclusion of the firearm and ballistics evidence following a nonevidentiary hearing. At a point prior to the pretrial conference of this case, conducted on October 12, 2006, the defendant filed a motion to preserve all evidence in possession of the Commonwealth, including the weapon; to notify defense counsel prior to any destructive testing; and to allow his ballistics expert to observe the ballistics testing of the weapon.
On December 4, 2006, defense counsel called the ballistics unit of the Boston police department and spoke to an officer
On December 19, 2006, defense counsel sent a letter to Camper, to which he attached a copy of the motion, instructing Camper not to test the weapon outside of the expert's presence. At around this time the defense expert, Danas, also made several attempts to arrange a time for the testing, as the prosecutor had suggested. However, Danas was told by Camper that the gun was still at the fingerprint laboratory and therefore could not yet be test-fired. Danas was assured that he would be notified once the weapon was back at the ballistics unit and ready for testing.
On January 31, 2007, the prosecutor reported to the motion judge that ballistics testing still had not occurred because the gun remained with the fingerprint unit. The judge ordered that the fingerprinting be concluded and again instructed the Commonwealth to arrange a time to conduct the ballistics test with Danas present. The judge set a third compliance date of March 9, 2007.
It was not until March 8, 2007, that the defendant's ballistics expert was contacted by someone at the ballistics unit who arranged with Danas to be present to witness the test of the weapon, which he said was scheduled to take place the following day. However, when Danas arrived at the test site on March 9, he learned that a test of the weapon had already occurred. Danas and defense counsel were provided with a report dated February 21, 2007, reflecting results of ballistics testing that had been performed the same day, about which neither Danas nor defense counsel had been notified. Danas requested, and was permitted, to inspect the handgun and to witness Camper's second test-fire of the handgun.
Thereafter, the defendant filed a motion for sanctions against the Commonwealth seeking dismissal of the charges or, in the alternative, exclusion of all firearm and ballistics evidence, based on two theories: (1) police misconduct attributable to the Commonwealth; and (2) discovery violation. At a hearing on the motion, defense counsel argued that the Commonwealth's
The judge found that, in direct violation of two discovery orders, the ballistics unit of the Boston police department test-fired the weapon outside of the presence of the defense expert and, as a result, "potential exculpatory evidence may have been altered or destroyed." On this basis, the judge concluded that the Commonwealth's failure to comply with the discovery order compromised the defendant's right to a fair trial, entitling the defendant to the exclusion from trial of "all evidence of the firearm and all testimony regarding ballistics testing."
Discussion. "We review the judge's sanctions order for abuse of discretion or other error of law." Commonwealth v. Carney, 458 Mass. 418, 425 (2010). Sanctions for failure to abide by a discovery order are codified in rule 14 (c), which includes as a possible sanction the exclusion of evidence.
As a preliminary matter, we note that there are a number of procedural avenues, in addition to a pretrial motion for sanctions pursuant to rule 14 (c), for addressing a claim that the Commonwealth has lost or destroyed exculpatory evidence. Such claims have been advanced, for example, by way of a pretrial motion for suppression, see, e.g., Commmonwealth v. Neal, 392 Mass. 1, 4 (1984) (Neal); a pretrial motion for dismissal of the indictments, see, e.g., Commonwealth v. Willie, 400 Mass. 427 (1987); a motion to dismiss during trial, see, e.g., Commonwealth v. Lam Hue To, 391 Mass. 301, 302 (1984); and appeal from conviction, see, e.g., Commonwealth v. Charles, 397 Mass. 1, 3, 13-14 (1986). Underlying such claims for remedial action is the Commonwealth's constitutional duty to disclose to the defendant, prior to trial, all material, exculpatory evidence in its possession or control, see Commonwealth v. Williams, 455 Mass. 706, 714 (2010), and cases cited, and the defendant's due process right to a fair trial, see, e.g., Commonwealth v. Henderson, 411 Mass. 309, 310 (1991). The standards by which we consider whether a judge has abused his or her discretion in excluding evidence based on the alleged loss or destruction by the Commonwealth of potentially exculpatory evidence are similar, regardless of the vehicle in which the claim was
1. The Williams framework. As we recently clarified in Commonwealth v. Williams, supra, there are two avenues by which to seek a remedy of suppression or exclusion on a claim that potentially exculpatory evidence has been lost or destroyed by the government.
If a defendant is unable to meet this threshold burden, he "may be independently entitled to a remedy" of exclusion if the loss or destruction of evidence was due to the bad faith or reckless acts of the Commonwealth. Id. at 718. In such a case, the judge may infer properly the exculpatory nature of the destroyed evidence, in essence shifting to the Commonwealth the burden to show that the lost or destroyed evidence was not exculpatory. See Arizona v. Youngblood, 488 U.S. 51, 58 (1988) (where police lose or destroy evidence in bad faith, "the police themselves by their conduct indicate that the evidence could form a basis for exonerating the defendant").
2. The Neal standard. The defendant claims that the handgun retrieved by police from the glove compartment of the vehicle
We recognize that "[w]here evidence [is] lost or destroyed, it may be difficult to determine the precise nature of the evidence." Commonwealth v. Williams, supra at 716, quoting Commonwealth v. Willie, supra at 433. Thus, the defendant was not required to prove that, had his expert observed the initial test-fire, he would have uncovered such exculpatory evidence (i.e., that the gun was not operable without significant alteration); he was, however, required to make an evidence-based showing of a reasonable possibility that the handgun was inoperable before the initial ballistics test was conducted.
The record before the motion judge included a report prepared by Danas, the defense expert, of the second ballistics test conducted by Camper and observed by Danas.
On the basis of these unexplained assertions, the judge could not permissibly make a determination that a reasonable possibility existed that, had Danas been present at the initial test-fire, potentially exculpatory evidence would have been uncovered.
The judge's findings are unclear on the question of the level of the Commonwealth's culpability, and specifically whether it acted in bad faith or in reckless disregard of the court's order. The judge noted, "Negligence and inadvertence are less culpable than bad faith, but they are nevertheless culpable and must be accounted for in the balancing procedure," suggesting, but
Conclusion. Because the record was not sufficiently developed either as to the likely exculpatory nature of the unobserved first test firing or the level of culpability that might warrant the shifting of the burden to the Commonwealth, and thus provided inadequate support for the judge's findings, the order for sanctions is vacated and the case is remanded for further proceedings consistent with this opinion. The judge may consider affidavits submitted by the parties, or conduct an evidentiary hearing if requested to do so.
So ordered.