SPINA, J.
In June, 2011, allegations of misconduct at the William A. Hinton State Laboratory Institute in Jamaica Plain (Hinton drug lab) surfaced regarding work performed by Annie Dookhan, a chemist who had been employed in the forensic drug laboratory since November, 2003. Following an internal review, the Department of Public Health launched a formal investigation of the matter in December, 2011. The investigation concluded that "Dookhan failed to follow [Hinton drug l]ab protocols for the transfer and documentation of samples for testing, and subsequently created a false record of said transfers." After being placed on paid administrative leave, Dookhan resigned from her position, effective March 9, 2012. A more extensive investigation of the Hinton drug lab was initiated in August, 2012, by the State police. As a result of this investigation, it has been alleged that, among other things, Dookhan deliberately and repeatedly falsified drug testing results, tampered with evidence, and forged signatures on documents. Although the full scope of Dookhan's purported misconduct is not yet
The three cases now before us concern the validity of certain procedures that have been adopted by the Superior Court Department of the Trial Court (Superior Court) to handle postconviction matters in criminal cases where a defendant has been convicted of a drug offense and the drugs at issue were analyzed at the Hinton drug lab. In October, 2012, the Chief Justice of the Superior Court assigned specific judges in seven counties to preside over special "drug lab sessions" that would deal with these postconviction matters. The first round of hearings focused on incarcerated defendants who had filed motions to stay the execution of their sentences in cases where the lead offense was a violation of the Controlled Substances Act, G. L. c. 94C, and Dookhan was the primary or confirmatory chemist.
On November 9, 2012, this court issued an order to facilitate the expeditious handling of matters relating to the alleged
On November 26, 2012, in accordance with the provisions of Mass. R. Crim. P. 47, 378 Mass. 923 (1979),
The three present cases originated in Essex County. Each arose as a consequence of the implementation of the procedures established by the Chief Justice of the Superior Court for handling postconviction matters in the special drug lab sessions. Following proceedings in the Superior Court with regard to each case, which will be discussed in greater depth in subsequent portions of this opinion, the Commonwealth filed petitions in the county court pursuant to G. L. c. 211, § 3, challenging those procedures. On March 13, 2013, a single justice held a hearing on the Commonwealth's petitions. She then reserved and reported three questions to the full bench:
We shall proceed to analyze and answer each question in the context of the individual case in which it arose.
The essential facts are not disputed. On the evening of April 2, 2009, a former girl friend of Shubar Charles contacted the New Bedford police department to report that, while at her home for a birthday celebration, Charles had held a firearm to her face and threatened to kill her. The ensuing police investigation suggested that Charles could be located in Lynn. When officers from the Lynn police department converged on an apartment on North Common Street, tenants informed them that Charles had gone into a back bedroom and had been "waving around" a small handgun. Officers discovered Charles alone in the back bedroom. They searched him and found in his pants pocket twenty individual baggies of a white powdery substance that they believed to be cocaine. A further search of the bedroom uncovered, among other things, a loaded firearm. Charles was arrested and taken to the Lynn police station. During booking,
On June 5, 2009, Charles was indicted on charges of possession of a class B controlled substance (cocaine) with intent to distribute, as a subsequent offense, G. L. c. 94C, § 32A (b); possession of a firearm without a firearm identification card, G. L. c. 269, § 10 (h); unlawful possession of ammunition, G. L. c. 269, § 10 (h); and possession of a firearm after having been convicted previously of three violent crimes or three serious drug offenses, G. L. c. 269, § 10G (c) (two counts). Dookhan was the primary chemist who analyzed the substance in the baggies; she was not involved in the examination of firearm evidence. On a certificate dated December 28, 2009, Dookhan certified that the substance was cocaine.
On October 18, 2010, Charles pleaded guilty to reduced charges of possession of a class B controlled substance with intent to distribute, G. L. c. 94C, § 32A (a); unlawful possession of ammunition, G. L. c. 269, § 10 (h); and unlawful possession of ammunition after having been convicted previously of one serious drug offense, G. L. c. 269, § 10G (a). As part of the plea bargain, the Commonwealth agreed to enter a nolle prosequi on the remaining offenses. Charles was sentenced to concurrent terms of from four to seven years in the State prison for his convictions of possession of a Class B substance with intent to distribute and being a felon in possession of ammunition; he was sentenced to a concurrent term of two years in the house of correction for his conviction of unlawful possession of ammunition.
On December 13, 2012, Charles filed a motion to stay the execution of his sentences pursuant to Mass. R. Crim. P. 31,
On January 31, 2013, a special magistrate held a hearing on Charles's motion to stay the execution of his sentences. Defense counsel claimed that but for the drug indictment, Charles would not have agreed to the guilty pleas because the evidence with respect to the drug charge was the strongest. Given that Dookhan was the primary chemist on the case, defense counsel argued that there was a "great likelihood" that Charles's motion for a new trial would be successful. Further, while acknowledging that Charles had a criminal history, defense counsel asserted that Charles was "a much different person [now]," and he outlined the positive steps that Charles planned to take if released. The special magistrate allowed Charles's motion to stay execution of his sentences, subject to enumerated conditions.
On February 13, the Commonwealth filed with the judge a motion to stay his order, which was allowed, but only for two days. On February 14, the Commonwealth filed a petition in the county court pursuant to G. L. c. 211, § 3, seeking to extend the stay of the judge's order. In its petition, the Commonwealth challenged the authority of both the judge and the special
We turn our attention to the first of these questions, which arose from the circumstances presented in Charles's case, and consider whether a judge of the Superior Court, or a special magistrate appointed by the Chief Justice of the Superior Court pursuant to Mass. R. Crim. P. 47, has the authority to allow a defendant's motion to stay the execution of his sentence, then being served, pending disposition of the defendant's motion for a new trial. At the outset, the Commonwealth argues that a Superior Court judge does not have such authority because, pursuant to Mass. R. Crim. P. 31(a), a stay of the execution of a defendant's sentence is permissible only at the judge's discretion where an appeal is pending, and no appeal is pending in this case. See note 7, supra. Although we agree with the Commonwealth's reading of rule 31, we conclude that, in accordance with Commonwealth v. McLaughlin, 431 Mass. 506, 520 (2000) (McLaughlin), quoting Mariano v. Judge of Dist. Court of Cent. Berkshire, 243 Mass. 90, 92 (1922), a judge has the inherent power to stay sentences for "exceptional reasons permitted by law."
It has long been recognized that the inherent powers of courts are those that are "essential to the performance of their functions, to the maintenance of their authority, and to their capacity to determine the rights of parties according to law." Blankenburg
Judges must exercise their inherent authority "as necessary to secure the full and effective administration of justice." O'Coin's, Inc. v. Treasurer of the County of Worcester, 362 Mass. 507, 514 (1972). See State Realty Co. of Boston v. MacNeil Bros. Co., 358 Mass. 374, 379 (1970), quoting Link v. Wabash R.R., 370 U.S. 626, 630-631 (1962) (inherent power enables courts "to manage their own affairs so as to achieve the orderly and expeditious disposition of cases"). The boundaries of inherent judicial authority have been established on a case-by-case basis as challenges to the exercise of a particular power have arisen. See, e.g., First Justice of the Bristol Div. of the Juvenile Court Dep't v. Clerk-Magistrate of the Bristol Div. of the Juvenile Court Dep't, supra at 397-398, and cases cited. In McLaughlin, supra at 514-520, this court considered the inherent authority of a trial judge in the specific context of a stay of the execution of a defendant's sentence.
The defendant in McLaughlin was found guilty of involuntary manslaughter and arson of a dwelling house, and not guilty by reason of insanity of two charges of murder in the first degree;
Here, unlike in McLaughlin, exceptional circumstances warranted the judge's exercise of his inherent power to stay the execution of Charles's sentences pending the disposition of his motion for a new trial. The magnitude of the allegations of serious and far-reaching misconduct by Dookhan at the Hinton drug lab cannot be overstated. The alleged misconduct may have compromised thousands of cases. Dookhan's role as the primary chemist in Charles's case raises significant questions regarding the veracity of the drug analysis, which purportedly served as the basis for his guilty pleas, and may be dispositive of his motion for a new trial.
With regard to special magistrates, the Commonwealth argues that they have no authority to allow a defendant's motion to stay the execution of his sentence, then being served, pending disposition of the defendant's motion for a new trial. We agree that special magistrates have no such authority, but we conclude that they are empowered to make proposed findings of fact and conclusions of law on a motion to stay the execution of sentence. Those findings and conclusions, in turn, shall be reviewed by a judge, who will make the ultimate decision whether to allow or deny the motion to stay.
Rule 47 of the Massachusetts Rules of Criminal Procedure permits the appointment of special magistrates to preside over certain criminal proceedings in the Superior Court. These special magistrates occupy a separate and distinct position from clerks of courts who are designated as magistrates pursuant to G. L. c. 221, § 62B. See Reporters' Notes to Rule 47, Mass. Ann. Laws Court Rules, Rules of Criminal Procedure, at 1759 (LexisNexis 2012-2013). The powers of special magistrates are delineated in rule 47. They have the authority "to preside at arraignments, to set bail, to assign counsel, to supervise pretrial conferences, to mark up pretrial motions for hearing, to make findings and report those findings and other issues to the presiding justice or Administrative Justice, and to perform such other duties as may be authorized by order of the Superior Court." Mass. R. Crim. P. 47. The responsibilities of a special magistrate are "quasi-judicial" in nature. See Reporters' Notes to Rule 47, supra. Given their position and limited powers, special magistrates do not have inherent judicial authority akin to that which can be exercised by Superior Court judges.
Pursuant to each Order of Assignment issued by the Chief Justice of the Superior Court in accordance with rule 47, the five special magistrates were appointed "to preside over criminal proceedings in connection with cases relating to the [Hinton
Although somewhat more circumscribed, the role of a special magistrate appointed pursuant to Mass. R. Crim. P. 47 is similar in many respects to that of a master appointed pursuant to Mass. R. Civ. P. 53, as amended, 423 Mass. 1408 (1996). A master is "appointed by the court to hear evidence in connection with any action and report facts." Mass. R. Civ. P. 53(a)(i), as amended, 386 Mass. 1237 (1982). With regard to a matter not tried before a jury, "the court shall accept the master's subsidiary findings of fact unless they are clearly erroneous, mutually inconsistent, unwarranted by the evidence before the master as a matter of law or are otherwise tainted by error of law." Mass. R. Civ. P. 53(h)(1), as amended, 386 Mass. 1237 (1982). See Berish v. Bornstein, 437 Mass. 252, 268 (2002). See also Pollock v. Marshall, 391 Mass. 543, 554 & n.9 (1984). A court is to review the ultimate findings of fact by a master in light of the independent inferences that the court can draw from the subsidiary findings. See id. at 555. See also Bishay v. Foreign Motors Inc., 416 Mass. 1, 12 (1993), quoting Mass. R. Civ. P. 53(h)(1) ("The court may draw its own inferences from the master's subsidiary findings"). "To the extent that the master's ultimate findings are conclusions of law, they are subject to independent judicial review." Pollock v. Marshall, supra, citing Lucey v. Hero Int'l Corp., 361 Mass. 569, 571 (1972). In our view, this scope of review is the appropriate one to be applied to the proposed findings and conclusions of a special magistrate who has heard a defendant's motion to stay the execution of his sentence. The judge then shall enter an order allowing or denying the stay.
Whether considered by a special magistrate or a Superior
In the context of a pending appeal, the practice of granting a stay of execution of sentence "is grounded in rudimentary notions of justice" because a "conviction may be reversible, but the time spent in prison is not." Commonwealth v. Levin, supra at 512-513. See Commonwealth v. Hodge (No. 1), supra at 855-856. This rationale is no less important here, notwithstanding the fact that there is no pending appeal. The allegations of misconduct at the Hinton drug lab have given rise to serious concerns about defendants who may be incarcerated as a consequence of tainted convictions. Thus, a defendant's motion to stay the execution of his sentence should be decided in an expeditious manner.
In this case, we conclude that the judge did not abuse his
Second, defense counsel described to the judge how, notwithstanding Charles's criminal history, he had matured while incarcerated, having participated in various programs that were offered at the State prison, and he did not pose a security risk. Defense counsel informed the judge that, if released, Charles would live with his brother, and he would pursue two available employment opportunities as well as further education. The judge evaluated the possible security risk posed by Charles and
We answer the first reported question as follows: In exceptional circumstances, a judge of the Superior Court does have the authority to allow a defendant's motion to stay the execution of his sentence, then being served, pending disposition of the defendant's motion for a new trial, but a special magistrate appointed by the Chief Justice of the Superior Court pursuant to Mass. R. Crim. P. 47 does not have such authority.
The essential facts are not disputed. On December 16, 2009, Hector Milette was indicted on charges of trafficking in one hundred grams or more of cocaine, G. L. c. 94C, § 32E (b) (3) (three counts); and trafficking in fourteen grams or more of cocaine, G. L. c. 94C, § 32E (b) (1). The charges arose from Milette's role as a middleman in the sale of purported drugs to a confidential informant on three separate dates in August, 2009, and from the seizure of a plastic bag containing a white substance found during a search of Milette's residence in Haverhill on October 20, 2009. Dookhan was the primary chemist who analyzed the substances from the three August sales. On two certificates dated November 12, 2009, and on a third certificate dated December 7, 2009, she certified that the substances were cocaine. Dookhan was not involved in the analysis of the substance discovered during the execution of a search warrant at Milette's home. That sample was examined separately by another chemist at the Hinton drug lab, who certified that it was cocaine.
On October 22, 2012, Milette filed a motion to stay the execution of his sentences pursuant to Mass. R. Crim. P. 31, which the Commonwealth opposed. He also filed a motion for a new trial pursuant to Mass. R. Crim. P. 30, raising claims pertaining to the alleged misconduct at the Hinton drug lab. In his motion for a stay, Milette asserted that his new trial motion likely would be successful because (1) Dookhan had signed three of the four certificates of drug analysis that served as the bases for his indictments; and (2) it was reasonably possible that the charges against him would be dismissed because Dookhan's misconduct had tainted the evidence in numerous cases that she had handled. Milette further asserted that he already had served nearly thirty-seven months of a sixty-month sentence, and that, if released, he would not present a security risk. In its opposition, the Commonwealth challenged, among other things, the authority of a trial judge to stay the execution of a defendant's sentence prior to the disposition of his motion for a new trial.
On November 13, a judge of the Superior Court held a hearing on Milette's motion to stay the execution of his sentences. Defense counsel argued that Milette had pleaded guilty to the drug charges "primarily because of the drug certifications," that he had put "great faith" in the analyses, and that now there were numerous questions concerning Dookhan's veracity and her actions during the testing procedures.
On February 6, 2013, Milette filed a motion for reconsideration pursuant to Mass. R. Crim. P. 13(a)(5), as appearing in 442 Mass. 1516 (2004), which was heard by a special magistrate on February 12.
On February 13, the Commonwealth filed an objection to the special magistrate's ruling, in accordance with the procedure set forth in the Order of Assignment. That same day, the Regional Administrative Justice of the Superior Court modified Milette's conditions of release to include home confinement, except for emergency medical care and court appearances.
On February 27, the Regional Administrative Justice held a
In a written memorandum of decision, the second judge vacated the stay of execution of sentences entered by the special magistrate on February 12, and he ordered Milette back into custody to resume serving the remainder of his State prison sentences. The judge concluded that both he and the special magistrate had the authority to issue a stay of execution and to set conditions of release. Moreover, recognizing the extensive evidence that had come to light regarding Dookhan's malfeasance at the Hinton drug lab, the judge stated that such a change in circumstances since November 13 warranted reconsideration of a judge's initial denial of Milette's motion for a stay of the execution of his sentences. However, in light of the proceedings in Commonwealth vs. Charles, No. SJ-2013-0066, and the perceived absence of any meaningful difference between that case and this one, the judge declined to uphold the order of the special magistrate allowing Milette's motion for reconsideration and granting the stay.
Meanwhile, on February 21, the Commonwealth had filed a petition in the county court pursuant to G. L. c. 211, § 3, seeking to stay the order of the special magistrate.
We turn our attention to the second of these questions, which arose from the circumstances presented in Milette's case, and examine whether a special magistrate has the authority to reconsider and allow a motion to stay the execution of a defendant's sentence where a judge of the Superior Court previously had denied the same motion.
As a general matter, Massachusetts courts have recognized that "it is within the inherent authority of a trial judge to `reconsider decisions made on the road to final judgment.'" Herbert A. Sullivan, Inc. v. Utica Mut. Ins. Co., 439 Mass. 387, 401 (2003), quoting Franchi v. Stella, 42 Mass.App.Ct. 251, 258 (1997). See Commonwealth v. Cronk, 396 Mass. 194, 196 (1985) ("While the Massachusetts Rules of Criminal Procedure do not expressly permit a judge to rehear a matter, no policy prohibits reconsideration of an order or judgment in appropriate circumstances"). Although a judge is not obligated "to reconsider a case, an issue, or a question of fact or law, once decided, the power to do so remains in the court until final judgment or
As we discussed in Part I, supra, neither the position nor the authority of a special magistrate is coextensive with that of a trial judge. The Order of Assignment, when read in conjunction with Mass. R. Crim. P. 47, does not permit a special magistrate to reconsider a judge's decision on a defendant's motion to stay the execution of his sentence. We recognize that, once a judge has ruled on such a motion, a change in circumstances may arise that would warrant a reevaluation of the original decision. Where modification of the original decision is in order, the judge shall determine the procedure to be followed and make the necessary ruling. In those instances when the judge's decision would benefit from an evidentiary hearing on the changed circumstances, a special magistrate is empowered to make proposed findings of fact and conclusions of law on the motion for reconsideration. Those findings and conclusions, in turn, shall be reviewed by a judge, who will make the ultimate determinations whether to allow or deny the motion for reconsideration and, then, whether to modify the original decision.
Here, we need not consider further the underlying merits of
We answer the second reported question, "No."
The essential facts are not disputed. Following the commencement of the special drug lab sessions, procedures were put in place in the Superior Court for the taking of guilty pleas after the allowance of a defendant's motion for a new trial. Pursuant to Mass. R. Crim. P. 47 and the Order of Assignment, special magistrates were authorized, in appropriate circumstances, to conduct guilty plea colloquies with defendants. Standardized written forms were prepared for use by the special magistrates in the taking of a defendant's guilty plea.
In accordance with the Superior Court procedures, a defendant would appear before a special magistrate asking to change his plea to guilty of the charges against him. The special magistrate would inform the defendant that he had a right to appear before a Superior Court judge, who would conduct a plea colloquy by asking questions about the voluntariness of the defendant's decision and his understanding of the consequences of his guilty plea. The special magistrate also would inform the defendant that, as a special magistrate, he could conduct the
If the defendant consented to proceeding before a special magistrate, the special magistrate would conduct an oral colloquy to determine whether the defendant was entering his guilty plea voluntarily and with a full understanding of its consequences.
The district attorney for the Eastern District (district attorney) has refused to participate in guilty plea proceedings before a special magistrate, insisting that such proceedings take place before a judge in order to assure the validity of the plea. Consequently, all of the plea proceedings in the special drug lab sessions held in Essex County have been conducted in this manner. However, special magistrates have conducted guilty plea colloquies in other counties.
On March 1, 2013, the district attorney filed a petition in the county court pursuant to G. L. c. 211, § 3, which the Superior Court opposed. The district attorney sought clarification of the validity of guilty plea proceedings conducted by special magistrates pursuant to the Order of Assignment. On March 13, the single justice held a hearing on the petition, after which she reserved and reported the three questions set forth at the beginning of this opinion.
We turn our attention to the third of these questions and consider (1) whether it is appropriate for this court to answer the question set forth in part (b) regarding the validity of plea colloquies conducted by special magistrates, where, under the terms of the protocol established by the Superior Court, neither side can be required to submit over its objection to a plea colloquy
General Laws c. 211, § 3, provides that "[t]he supreme judicial court shall have general superintendence of all courts of inferior jurisdiction to correct and prevent errors and abuses therein if no other remedy is expressly provided...." This court's superintendence powers are discretionary and will be exercised only in "the most exceptional circumstances." Costarelli v. Commonwealth, 374 Mass. 677, 679 (1978). See Planned Parenthood League of Mass., Inc. v. Operation Rescue, 406 Mass. 701, 706 (1990). Generally speaking, a party seeking review under G. L. c. 211, § 3, must demonstrate both a violation of the party's substantive rights and the unavailability of adequate relief through the ordinary appellate process. See id., quoting Dunbrack v. Commonwealth, 398 Mass. 502, 504 (1986). However, we have said that where "a systemic issue affecting the proper administration of the judiciary has been presented, resolution of the issue by this court is appropriate." Simmons v. Clerk-Magistrate of the Boston Div. of the Hous. Court Dep't, 448 Mass. 57, 61 (2006). See Messing, Rudavsky & Weliky, P.C. v. President & Fellows of Harvard College, 436 Mass. 347, 351 (2002). See also A Juvenile v. Commonwealth (No. 1), 380 Mass. 552, 555-556 (1980) (resolving question of proper transfer practice between Boston Juvenile Court and Superior Court). In the past, we have exercised our general superintendence powers to resolve, among other things, "important issues with implications for the effective administration of justice" and "matter[s] of public interest that may cause further uncertainty within the
It is undisputed that the allegations of serious and far-reaching misconduct by Dookhan at the Hinton drug lab have raised significant concerns about the administration of justice in criminal cases where a defendant has been convicted of a drug offense and the drugs at issue were analyzed at that facility. Although the full scope of the misconduct is not yet known, thousands of cases may have been compromised. In response to this burgeoning crisis, the Superior Court took action by developing and implementing procedures, across several counties, to review and resolve affected cases, including allowing special magistrates to conduct guilty plea colloquies. The allegations of misconduct at the Hinton drug lab, and the implications of such misconduct on defendants who have been convicted of drug offenses, present exceptional circumstances warranting this court's exercise of its superintendence powers. It is incumbent on us, at the early stages of this unfolding situation, to address uncertainties regarding the propriety of the procedures that have been implemented by the Superior Court. Notwithstanding the fact that special magistrates have not conducted guilty plea colloquies in Essex County, they have conducted such colloquies in other counties. We conclude that the legality of these proceedings presents a systemic concern that this court should resolve now through the exercise of its general superintendence powers under G. L. c. 211, § 3.
With regard to the second part of the third reported question, the district attorney contends that the procedure enabling special magistrates to conduct guilty plea colloquies in special drug lab sessions calls on special magistrates to act beyond the scope of their authority. Thus, in the district attorney's view, the validity of these guilty pleas has been rendered uncertain. We disagree and conclude that the procedure passes legal muster.
"[W]hat is wanted from [a guilty plea] colloquy is the basic assurances that the defendant, represented by counsel, with whom he has consulted, is free of coercion or the like, understands the nature of the crime charged, knows the extent of his guilt, recognizes the basic penal consequences involved, and is aware that he can have a trial if he wants one" (footnotes omitted). Commonwealth v. Nolan, 19 Mass.App.Ct. 491, 498-499 (1985). The protocol implemented by the Superior Court provides these
We answer both parts of the third reported question, "Yes."
These matters are remanded to the single justice for further proceedings, consistent with this opinion, as appropriate.
So ordered.