Commonwealth v. Willie
Commonwealth v. Willie
Opinion of the Court
The defendant, Joseph S. Willie, was indicted on October 26, 1984, for rape and for indecent assault and battery on a retarded person. On March 26,1985, the defendant filed a motion for dismissal of the indictments for failure of the Commonwealth to preserve “all physical evidence in this case in suitable condition for testing to determine the presence of any substances therein material to the case.” Hearings were held on May 7, 1985, and June 3,1985. On June 13, 1985, the
The incident allegedly occurred on July 15, 1984. The Superior Court judge found the following facts. On July 15, 1984, Robert E. Pino, assistant chemist for the laboratory of the Department of Public Safety, received from a State trooper the alleged victim’s underpants, a blanket, two bed sheets (one, a fitted sheet), two pillow cases, and a Johnson rape kit. Upon finding stains on the fitted sheet and the underpants,
After blood and saliva samples of the alleged victim and a blood sample of the defendant were sent to the laboratory, Pino and his associate conducted ABO tests.
On February 22,1985, what remained after the ABO testing, together with the blood samples of the alleged victim and the defendant, were sent to the Federal Bureau of Investigation (F.B.I.) laboratory in Washington, D.C. Special Agent Randall S. Murch, attempted PGM analysis
If the PGM testing on the extracts had been successful, the semen depositor would have been identified as either PGM 1, PGM 2-1 or PGM 2, unless the reading was masked by a vaginal secretion of the alleged victim. A semen deposit classified as PGM 2-1 or PGM 2 would tend to show that the defendant was not the depositor, since the defendant’s semen
No portion of the extracts remained after the FBI testing. On April 19, 1985, the defendant’s expert, John Abbott, a qualified serologist, received the items which had originally been delivered to Pino, except that the underpants and the fitted sheet had portions cut out which had been the extracts made by Pino.
Acid phosphatase testing by Abbott indicated the possible presence of semen on the periphery of one of the cut-outs of the underpants and the periphery of the cut-out of the fitted sheet. The testing on the underpants was negative for the presence of the semen-specific protein, P-30, and thus inconclusive as to the presence of semen through this technique. The P-30 test on the fitted sheet showed large amounts of P-30 on the areas surrounding the cut-outs of the sheet, proving the presence of semen. Abbott’s ABO testing revealed that the semen depositor was a group “O” secretor. There was insufficient material to draw a valid conclusion on blood grouping in relation to any stains on the underpants.
It is more probable than not that, had semen been deposited on the materials on July 15, 1984, and the extracts frozen until the date of Abbott’s PGM testing, more conclusive results would have been obtained in terms of PGM typing and subtyping, than were obtained by the F.B.I. laboratory, unless the deposits upon the extracts tested by Abbott (as well as upon the extracts made by Pino) were made well before July 15, 1984, in which case they would have degraded during the period before they were frozen.
The defendant claims that the unfrozen portion of the sheet was discoverable evidence that was intentionally not preserved.
An analysis of the prejudice to the defendant necessarily involves an inquiry into the exculpatory nature of the evidence. Where evidence is lost or destroyed, it may be difficult to determine the precise nature of the evidence. While the defendant need not prove that the evidence would have been exculpatory, he must establish “a ‘reasonable possibility, based on concrete evidence rather than a fertile imagination,’ that access to the [material] would have produced evidence favorable to his cause.” Commonwealth v. Neal, 392 Mass. 1, 12 (1984).
In Commonwealth v. Charles, supra, this court found that reversal of the defendant’s convictions was not warranted where the Commonwealth’s loss of a tape recording was neither intentional nor in bad faith and where there was merely conjecture, contradicted by the record regarding the exculpatory nature of the evidence. Id. at 14.
Because we adhere to the balancing test espoused in Commonwealth v. Charles, supra, and answer Question 1 in the negative, we need not address Question 2.
2. Questions 3 and 4. The answer to Question 3 depends on findings of fact which must be made by the trial judge.
Similarly, we leave it to the trial judge to determine in the first instance the remedy to be applied if, in applying the test, he rules that some sanction is required. Normally, the remedy for suppression of exculpatory evidence is a new trial unless the Commonwealth’s actions are so egregious that retrial would be unfair to the defendant, in which case dismissal may be appropriate. See Commonwealth v. Light, 394 Mass. 112, 114 (1985); Commonwealth v. Lam Hue To, 391 Mass. 301, 310-312 (1984). Loss or destruction of evidence can engender similar sanctions. Where, as in the present case, the inquiry is made prior to trial, the trial judge has more options to provide a remedy which will be consonant with justice. For example, if a defendant has been denied the opportunity to refute possibly inculpatory evidence as a result of the Commonwealth’s conduct in appropriate circumstances, a judge might exclude or limit the use of the Commonwealth’s evidence.
3. Conclusion. Thus, we answer Question 1 in the negative and decline to answer the other reported questions. We remand this case to the Superior Court for further proceedings consistent with this opinion.
So ordered.
The first test that Pino conducted was an acid phosphate test, which determines whether seminal fluid is present. The test was positive with regard to not only the sheet and the underpants, but also the vaginal smear slides obtained from the alleged victim.
Pino conducted microscopic examinations of the extracts and smear slides for the presence of sperm cells.
An ABO test is a blood grouping test to determine into which of the basic blood groups an individual will be classified. It is used to determine whether semen has been deposited by a secretor of a given blood group.
PGM tests attempt to determine the presence of the enzyme phosphoglucomutase. The semen depositor is classified as one of three subgroups: PGM 1, PGM 2-1, or PGM 2. Vaginal secretion is also classified in this way and a classification of PGM 2-1, as found in this case, could mask a semen secretion of PGM 1 or PGM 2-1.
If the tests performed were conclusive, or if John Abbott, the defendant’s expert, were able to perform conclusive tests, the results would have produced evidence that was strongly inculpatory, exculpatory, or noncommittal.
The judge’s finding was as follows: “It is more probable than not that, had semen been deposited on July 15, 1984, on the extracts from the fitted sheet tested by Mr. Abbott in late April, 1985, and had those extracts been frozen from July 15,1984, until the date of Mr. Abbott’s PGM testing, more conclusive results, in terms of PGM typing and sub-typing, than were obtained by the F.B.I. Laboratory on the extracts tested by them would have been obtained. This disregards the possibility that the deposits upon the extracts tested by Mr. Abbott (as well as upon the extracts made by Mr. Pino) were made well before July 15, 1984, in which case they would have degraded during the period before they were frozen, if frozen on July 15, 1984.”
The Commonwealth concedes that this evidence was constructively lost. We, therefore, do not decide if the Commonwealth’s obligation to preserve evidence includes an obligation to preserve it in other than its natural state, such as by freezing and drying. See Commonwealth v. Jewett, 17 Mass. App. Ct. 354, 360, S.C., 392 Mass. 558 (1984) (Commonwealth has no duty to take extraordinary measures to preserve evidence in absence of specific request to take such measures or showing that Commonwealth should have known possibly exculpatory evidence would be lost unless such measures were taken).
In Commonwealth v. Charles, supra, the court cited United States v. Bryant, supra, as support for this court’s adoption of the balancing test applied above. As the context and the citation itself makes clear we were not following Bryant in all aspects but merely relying upon it as support for the balancing test. In Commonwealth v. Shipps, supra, Bryant was cited as support for the proposition that the Commonwealth cannot perform destructive testing in order to avoid disclosing exculpatory evidence. In that case, Bryant was also cited as an example of a case that employed a balancing test.
It is unclear whether the holding in United States v. Bryant, supra, places upon the government a burden of proof or merely a “burden of explanation” or of coming forward with some evidence to refute the defendant’s assertions. See United States v. Bryant, supra at 651. See also United States v. Augenblick, 393 U.S. 348, 355-356 (1969); Campbell v. United States, 365 U.S. 85, 96 (1961).
Even assuming that Bryant, supra, imposes a burden of proof on the government, it is doubtful that the Court of Appeals for the First Circuit would adopt such a test. With regard to lost or destroyed evidence, the First Circuit employs a balancing test weighing three factors: materiality, prejudice, and “was the government acting in good faith when it destroyed the evidence.” United States v. Arra, 630 F.2d 836, 849 (1st Cir. 1980), quoting United States v. Picariello, 568 F.2d 222, 227 (1st Cir. 1978). Even in a case involving what appeared to be intentional destruction of tape recordings by the government, the First Circuit stated that convictions will not be overturned without “some reason to believe that the tapes might
We need not decide whether the exculpatory nature of the evidence in this case was merely conjecture.
Concurring in Part
(concurring in part and dissenting in part). The court fails to focus adequately on the distinction between the nondisclosure of exculpatory evidence, see Commonwealth v. Gallarelli, 399 Mass. 17 (1987), which involves the concepts of fair trial and due process, see United States v. Agurs, 427 U.S. 97 (1976), and the destruction or loss of evidence which involves a problem of the same genre, but in a markedly different way. As Judge J. Skelly Wright put it in United States v. Bryant, 439 F.2d 642, 644 (D.C. Cir. 1971) (Bryant I): “Beside the carefully safeguarded fairness of the courtroom is a dark no-man’s-land of unreviewed bureaucratic and discretionary decision making. Too often, what the process purports to
Bryant I previously has been cited with approval by this court in cases relied upon in the court’s present opinion. See Commonwealth v. Shipps, 399 Mass. 820, 835 (1987); Commonwealth v. Charles, 397 Mass. 1, 14 (1986); Commonwealth v. Neal, 392 Mass. 1, 12 (1984). In Charles, supra, we stated: “The loss of evidence presents special problems.”
Accordingly, I would answer the reported questions as follows: Question 1; “Yes.” Question 2; no answer. This is a matter for the trial judge to determine. Question 3; if the judge answered Question 2 in the negative, the answer must be determined under the test set forth in Commonwealth v. Neal, supra.
Charles was written by the author of the majority opinion in this case. I am somewhat surprised, therefore, that he now states for the court that we “decline” to adopt the Bryant I standard. Ante at 431.
The findings of the judge make it clear that the State chemist received the materials on July 15, 1984, but the defendant’s request for preservation did not come to the chemist’s attention until at least August 1, 1984. Thus, it seems to me that whether the Commonwealth met its burden is a question not for report but for the trial judge to decide. On this ground I agree that we should not address Question 2. Similar reasons should pertain to a declination by this court to answer Question 3.
I agree with the court’s conclusion that, in this case, if a sanction is warranted, an appropriate sanction might “exclude or limit the use of the Commonwealth’s [scientific] evidence.” Ante at 434. I note that the Commonwealth also concedes that if a sanction is warranted, this type of remedy would be “fitting and appropriate.”
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