Sharris v. Commonwealth
Sharris v. Commonwealth
Opinion
**586 General Laws c. 123, § 16 ( f ), provides for the dismissal of criminal charges when an individual is found incompetent to stand trial. The statute requires mandatory dismissal of charges at the time when the individual would have been eligible for parole if he or she had been convicted and had been sentenced to the maximum statutory sentence. See id . The statute also provides courts with the discretion to dismiss criminal charges "prior to the expiration of such period." Id .
**587 The defendant, 1 who is now seventy-four years old, was charged with murder in the first degree and interfering with a fire fighter in 1994, when he was fifty-one years old. At that time, he was deemed incompetent to stand trial. Since then, he continually has been deemed incompetent, and at this point, the Commonwealth has conceded that he is permanently incompetent. The nature of the defendant's mental impairment, a form of alcohol-induced dementia, is such that it is permanent, degenerative, and not amenable to any form of treatment. Additionally, his physical condition is deteriorating, and he is now physically frail, nourished through a feeding tube, and bedridden. It is likely that his physical condition also will continue to worsen. Due to the level of medical care he requires, in August, 2015, the defendant was released on bail, with conditions, so he could be placed in a hospital setting. He is civilly committed to the Department of *664 Mental Health (DMH), and is being cared for in an unlocked wing of a public hospital operated by the Department of Public Health (DPH).
Although G. L. c. 123, § 16 (
f
), does not explicitly exclude murder in the first degree from its provisions for dismissal, it does so effectively, because the statute is based on the date of parole eligibility, and there is no parole eligibility date for the offense of murder in the first degree. The defendant contends that the charges against him nonetheless should be dismissed, either under the provision allowing discretionary release or on constitutional grounds. Beginning in 2001, through May, 2016, the defendant has filed motions to dismiss, and motions for reconsideration, arguing that G. L. c. 123, § 16 (
f
), violates his right to substantive due process because it restricts his fundamental right to liberty and is not narrowly tailored to achieve compelling State interests. See
Commonwealth
v.
Calvaire
,
For the reasons that follow, we conclude that maintaining pending charges against an incompetent defendant in those rare circumstances, such as here, where a defendant will never regain competency, and where maintaining the charges does not serve the compelling State interest of protecting the public, is a violation **588 of the defendant's substantive due process rights. 2
1. Background . The essential facts are uncontested. On December 25, 1994, the defendant was arrested for the beating death of his father; he also was charged with attempting to obstruct fire fighters who were responding to smoke coming from the house where the defendant and his father lived. In January, 1995, a grand jury indicted the defendant on one charge of murder in the first degree and one charge of interfering with a fire fighter.
Prior to his arraignment, the defendant was examined for competency to stand trial, pursuant to G. L. c. 123, § 15 ( a ). In December, 1994, he was found to be incompetent to stand trial and committed to Bridgewater State Hospital (Bridgewater) for a period of six months. See G. L. c. 123, § 16 ( b ). Since then, he repeatedly has been reexamined and recommitted, for most of that period pursuant to G. L. c. 123, § 16 ( c ), and remains incompetent.
Following a competency examination of the defendant in February, 2013, the director of forensic services at Bridgewater filed a report concluding that the defendant was then incompetent to stand trial, and in his opinion would never be competent; the director has reaffirmed that conclusion in subsequent reports. In April, 2014, Bridgewater filed a petition for authorization for medical treatment of the defendant. That motion was allowed. In May, 2014, Bridgewater filed a motion that the defendant be treated by DMH. The Commonwealth's motion for an independent medical examination was allowed, and the defendant's medical records were produced to the Commonwealth. Thereafter, in June, 2014, an evidentiary hearing, at which testimony was taken, was conducted on Bridgewater's motion that the defendant be treated at a DMH facility. The hearing was continued, and the motion was denied on July 31, 2014. On the same day, the Commonwealth's petition for a renewal *665 of the defendant's commitment, under G. L. c. 123, § 8, and request that all subsequent hearings be conducted in accordance with G. L. c. 123, §§ 7, 8, was allowed, and the defendant was civilly committed to Bridgewater for one year.
In July, 2015, the Commonwealth filed a motion to extend the defendant's prior commitment, originally ordered under G. L. c. 123, § 16 ( b ), and seeking that all subsequent hearings proceed **589 under G. L. c. 123, §§ 7, 8. In August, 2015, upon a motion by Bridgewater, the defendant was transferred to the custody of DMH and held on bail. He was transferred to a joint DMH-DPH facility, where both DPH and DMH services are offered and where DPH operates hospital wards. On September 15, 2015, a competency hearing was held in the Brockton Division of the District Court Department. The defendant was found incompetent and was civilly committed to Bridgewater for one year, pursuant to G. L. c. 123, § 8. After a judge of the District Court visited the defendant at his bedside in the DPH hospital, the judge allowed Bridgewater's motion that DMH hold the defendant for one year. The Commonwealth "does not dispute ... [the] assessment [by the director of forensic services at Bridgewater]" that the defendant "will never be competent to stand trial." At a hearing before a Superior Court judge in December, 2015, the Commonwealth conceded that the defendant will never be competent to stand trial.
During the course of his commitment to Bridgewater, the defendant repeatedly exhibited violent and assaultive behavior against health care staff, other patients, and correction officers. In addition to physical assaults, he was frequently verbally combative and engaged in numerous outbursts of yelling. He made sexually inappropriate comments and gestures towards female staff. In 2005, he attempted to strangle his roommate and thereafter was placed in a single-occupancy room.
In the last three years of the defendant's time at Bridgewater, however, his doctors noted that the defendant demonstrated "sustained improvement in his aggressive behavior" and that he was no longer engaging in the sexually aggressive speech and behavior he had previously exhibited. The most recent competency evaluation in the record, from 2015, indicated that the defendant's "infrequent aggression without injury" is typical for a person with the defendant's level of dementia, and that his behavior was "not at the level of seriousness of assaults in previous years." "[H]is last serious assault of another patient occurred in November 2011." Between 2012 and June, 2015, the defendant committed four assaults that caused no serious injuries or did not result in any injury.
The improvement in the defendant's behavior was partially attributable to his worsening physical and mental condition. According to the evaluations in the record, over the past twenty-two years, the defendant has been examined by eight forensic psychologists **590 and psychiatrists. Their general consensus is that the defendant suffers from Korsakoff syndrome, which is a form of substance-induced persisting dementia caused by the defendant's prior alcohol use. The defendant's medical records indicate that he began exhibiting symptoms of mental impairment and certain physical difficulties at least as early as 1992, and doctors suspected that these were related to brain damage from alcohol abuse. He also has a history in the records, from at least 1985 onward, of a head injury. In addition, he has an ongoing seizure disorder, and brain scans have shown noticeable abnormalities. During his commitment to Bridgewater, the defendant's cognitive and physical capacities have significantly *666 deteriorated, and they are not expected to improve.
Since 2013, the defendant "has become progressively physically weaker, and currently is bedridden and very weak physically." According to his most recent medical records, the defendant has a permanent feeding tube implanted in his stomach through which he receives all of his nutrition and medications, cannot walk on his own, and spends his time either in a hospital bed or a geriatric chair. He is so weak that an average adult could hold both of his hands with one hand, and he would not be able to pull away. The Commonwealth agreed that the defendant has been "physically frail" since at least 2015. In 2015, in the most recent medical evaluation in the records, the director of forensic services at Bridgewater opined that the defendant could "be managed in a less secure setting, such as a facility of [DMH], a medical unit at the [Lemuel] Shattuck Hospital, or a long-term care facility."
In August, 2015, the Commonwealth did not dispute Bridgewater's motion for the release of the defendant, on bail and with conditions, pursuant to G. L. c. 123, § 17 ( c ) ; Bridgewater's motion to transfer the defendant to the custody of DMH, so that he could be treated at a DMH facility, particularly for management of his feeding tube, was allowed. Shortly thereafter, the Commonwealth assented to Bridgewater's motion to amend the special conditions of release so that the defendant could be moved to the medical unit of a DPH hospital ward, in a jointly operated facility, so that he could receive more appropriate medical care; that motion was allowed.
Since the motion to hold the defendant in the DPH hospital ward, under DMH custody, was allowed, the defendant has been held on that ward. He remains civilly committed to the custody of DMH, and DMH continues to follow his care, which is provided **591 day-to-day by DPH staff. DMH has indicated that, if the charges are dismissed, it could seek the defendant's placement in a long-term care facility that could more appropriately manage his care.
2. Prior proceedings . In May, 2001, citing due process considerations, the defendant moved pursuant to G. L. c. 123, § 16 ( f ), to dismiss the charges. In August, 2002, a Superior Court judge denied the motion; he determined that the defendant had not been denied due process and that G. L. c. 123, § 16 ( f ), is not applicable to charges of murder in the first degree. In March, 2013, the defendant filed another motion to dismiss, again pursuant to G. L. c. 123, § 16 ( f ). In April, 2013, a different Superior Court judge denied that motion. The judge concluded that the statute is not applicable to charges of murder in the first degree and that, even if it is, he did not believe it was in the interest of justice to dismiss the charges. In July, 2015, the defendant again moved to dismiss the indictments. That motion was denied in March, 2016, by a third Superior Court judge. In April, 2016, the defendant filed a motion for reconsideration of his motion to dismiss; he argued that the denial of his motion resulted in a violation of substantive due process. The motion was denied one week later. The judge concluded that due process is satisfied by the provisions of G. L. c. 123, § 16 ( c ), which requires annual reviews of competency for defendants who have been found incompetent to stand trial.
In May, 2016, the defendant filed a petition in the county court seeking relief pursuant to G. L. c. 211, § 3, from the denial of his motion for reconsideration. The defendant argued that review under G. L. c. 211, § 3, was appropriate, because he is permanently incompetent to stand trial, and would never have an adverse final
*667
judgment from which to appeal. The single justice concluded that the defendant had other avenues by which to seek relief and denied the motion without a hearing. In September, 2016, the defendant appealed to this court, pursuant to S.J.C. Rule 2:21, as amended,
3.
Discussion
. The defendant argues that due process prohibits the Commonwealth from maintaining pending criminal charges indefinitely against a defendant who is permanently incompetent, and, therefore, that there must be some means of obtaining dismissal of a charge of murder in the first degree. The defendant contends that his charges may be dismissed either pursuant to G. L. c. 123, § 16 (
f
), which contains provisions for both mandatory dismissal and dismissal in the interest of justice, or by the
**592
inherent power of the courts to remedy violations of due process. See
Department of Mental Retardation
v.
Kendrew
,
The defendant argues, first, that the court should conclude that a sentence of life in prison without the possibility of parole is unconstitutional when applied to permanently incompetent defendants, and should sever that portion of the murder statute, as applied to incompetent defendants, which prohibits parole. Severance of the statute in such a manner would result in eligibility for parole for permanently incompetent defendants charged with murder in the first degree in a similar manner to those incompetent defendants who are charged with murder in the second degree.
3
See
Diatchenko
v.
District Attorney for the Suffolk Dist
.,
The Commonwealth contends, however, that there is no due process violation, and that G. L. c. 123, § 16 (
f
), is narrowly tailored to serve the compelling State interest of protecting public safety. In this view, the Legislature implicitly excluded defendants charged with murder in the first degree by hinging the dismissal of charges on eligibility for parole.
4
Such an exclusion is justified, the Commonwealth suggests, because murder in the first degree is different in kind from other crimes. See
**593
G. L. c. 277, § 63 (no statute of limitations
*668
for murder). See also
Commonwealth
v.
Francis
,
Although the language of G. L. c. 123, § 16 (
f
), read in conjunction with G. L. c. 265, § 1, excludes defendants charged with murder in the first degree from being eligible for dismissal of charges under that provision, substantive due process requires a statute affecting a fundamental right to be narrowly tailored to achieve compelling government interests. See
Calvaire
,
a.
General Laws c. 123, § 16 (
f
)
. General Laws c. 123, § 16 (
f
), is intended to ensure that criminal defendants who are incompetent to stand trial are not left facing the indefinite pendency of criminal charges.
5
See
Calvaire
,
"Our primary duty in interpreting a statute is 'to effectuate the intent of the Legislature in enacting it.' "
Sheehan
v.
Weaver
,
Taken in conjunction with the provisions on murder in the first degree that exclude anyone convicted under G. L. c. 265, § 1, from eligibility for parole, G. L. c. 123, § 16 ( f ), implicitly excludes dismissal of charges for which a defendant who is convicted and sentenced to the maximum sentence would never be eligible for parole. This is so because, where it is not possible to compute the date on which a person would become eligible for parole on a charge, the charge cannot be dismissed on that date, and a court cannot, in the interest of justice, dismiss the charge prior to that date.
Here, the most serious crime with which the defendant was charged is murder in the first degree. If he had been convicted of that offense, he would have been sentenced to the mandatory sentence of life in prison without the possibility of parole. Under the plain language of G. L. c. 265, § 1, therefore, a defendant charged with that offense is never eligible for dismissal of pending charges in accordance with G. L. c. 123, § 16 ( f ).
b.
Substantive due process
. The defendant contends that the plain meaning of G. L. c. 123, § 16 (
f
), as discussed
supra
, violates the due process clauses of art. 12 of the Massachusetts Declaration of Rights and the Fourteenth Amendment to the United States Constitution when applied to permanently incompetent defendants charged with murder in the first degree. We analyze his claim on substantive due process grounds. See
Calvaire
,
i.
The defendant's liberty interest
. In August, 2015, on a motion by Bridgewater that was unopposed by the Commonwealth, the defendant was released on bail, on conditions, and was transferred from the custody of Bridgewater to the custody of DMH, pursuant to G. L. c. 123, § 17 (
c
), so that he could receive more appropriate medical care. He remains civilly committed pursuant to G. L. c. 123, §§ 7, 8, in continuation of his commitment under G. L. c. 123, § 16 (
c
). The defendant claims, however, that his liberty interest is impaired by the pendency of criminal charges against him. Although he is able to reside in an unlocked medical unit at Lemuel Shattuck Hospital, the pending charges prevent him from being able to seek care in a long-term care facility that could better suit his medical and mental health needs. Furthermore, pending criminal charges may cause "anxiety, forfeiture of opportunity, and damage to reputation, among other conceivable injuries."
Williams, petitioner
,
In
Jackson
v.
Indiana
,
"We hold, consequently, that a person charged by a State with a criminal offense who is committed solely on account of his incapacity to proceed to trial *670 cannot be held more than the reasonable period of time necessary to determine whether there is a substantial probability that he will attain that capacity in the foreseeable future. If it is determined that this is not the case, then the State must either institute the customary civil commitment proceeding that would be required to commit indefinitely any other citizen, or release the defendant. Furthermore, even if it is determined that the defendant probably soon will be able to stand trial, his continued commitment must be justified by progress toward that goal. In light of differing [S]tate facilities and procedures and **596 a lack of evidence in this record, we do not think it appropriate for us to attempt to prescribe arbitrary time limits. We note, however, that petitioner Jackson has now been confined for three and one-half years on a record that sufficiently establishes the lack of a substantial probability that he will ever be able to participate fully in a trial." (Footnote omitted.)
The Court declined, however, to decide whether due process requires dismissal of criminal charges against an incompetent person. See
ibr.US_Case_Law.Schema.Case_Body:v1">id
*671
**597
Nonetheless, in a series of opinions related to the right to a speedy trial under the Sixth Amendment to the United States Constitution, the United States Supreme Court has determined that a defendant's liberty interest may be restricted simply by the pendency of criminal charges, even where the defendant is not held in custody.
Klopfer
v.
North Carolina
,
In other cases involving the essentially indefinite commitment of incompetent defendants, we have held that a defendant's liberty interests during the pendency of a criminal trial are fundamental rights. See
Foss
v.
Commonwealth
,
ii.
Strict scrutiny analysis
. To satisfy strict scrutiny, a statute "must be narrowly tailored to further a legitimate and compelling governmental interest and
*672
be the least restrictive means available to vindicate that interest."
Commonwealth
v.
Weston W
.,
In
Calvaire
,
In its opposition to the dismissal of charges in this case, the Commonwealth relies on the compelling government interest of public safety. It describes in detail the defendant's history of violence prior to his father's murder and during his commitment to Bridgewater. There is considerable evidence from competency evaluations, however, including the opinion of the director of forensic services at Bridgewater, that the defendant is now too physically weak to pose a danger to public safety. Since 2013, the defendant "has become progressively physically weaker, and currently is bedridden and very weak physically." He has a permanent feeding tube, cannot walk on his own, and spends his time either in a hospital bed or a geriatric chair. He is so weak that another person could control both of his hands with one hand, and he would not be able to pull away. The Commonwealth has acknowledged that the defendant was "physically frail" as of at least 2015; while it opposes the dismissal of the pending charges, it did not oppose Bridgewater's motion in August, 2015, to transfer the defendant to DMH for a period of one year, as it had in prior years.
In addition to its assertion that incompetency is not evidence of a lack of guilt, the Commonwealth contends that the charges should not be dismissed because dismissal would prevent the district attorney from being notified of the defendant's location or any hearing related to his competency. This argument is unavailing. Pursuant to G. L. c. 123, § 16 (
d
), the district attorney must continue to be notified of any hearings conducted pursuant to any section of G. L. c. 123 for a person who was initially committed under G. L. c. 123, § 16 (
b
).
7
The requirement of notification includes any future hearings on petitions for civil commitment or an extension of
*673
civil commitment pursuant to G. L. c. 123, §§ 7, 8. See
Matter of E.C
.,
The Commonwealth also emphasizes that the Legislature has legitimate reasons for treating charges of murder in the first degree differently from other offenses. See G. L. c. 277, § 63 (no statute of limitations for murder). See also
Francis
,
Furthermore, notwithstanding the exclusion of defendants charged with murder in the first degree from eligibility for dismissal of charges under G. L. c. 123, § 16 ( f ), the Commonwealth contends that other statutory provisions provide additional safeguards to prevent indefinite commitment and afford incompetent defendants an alternative avenue for dismissal of charges. General Laws c. 123, § 17 ( c ), allows a court to release a defendant, with or without bail, at any stage of a criminal proceeding, 8 and G. L. c. 123, § 17 ( b ), permits a defendant to request a hearing that could result in dismissal of charges if there is insufficient evidence to support a conviction on those charges. 9
The slim possibility that a judge in his or her own discretion might decide to release a particular defendant charged with
**601
murder on bail pursuant to G. L. c. 123, § 17 (
c
), however, does not address the fundamental liberty interest at issue here. See
Klopfer
,
General Laws c. 123, § 17 ( b ), as the Commonwealth notes, does allow incompetent defendants to petition for a hearing to have their charges dismissed, if they can "establish a defense of not guilty to the charges pending against [them] other than the defense of not guilty by reason of mental illness or mental defect." This statute permits incompetent defendants to request a hearing at any time on the ground that they did not commit the crime charged; that the Commonwealth never had or no longer has sufficient evidence to *674 prove that they committed the charged crime; or that a defense other than mental illness or mental defect, such as self-defense, applies. Furthermore, incompetent defendants could seek to disprove the elements that elevate murder from murder in the second degree to murder in the first degree. If, at a hearing on a motion under G. L. c. 123, § 17 ( b ), a defendant is able to demonstrate that the act was not committed with deliberate premeditation or extreme atrocity or cruelty-depending on how the defendant was charged-the most severe crime of which the defendant could be convicted should the defendant later become competent would be murder in the second degree. Defendants who are convicted of murder in the second degree are eligible for parole after a period of from fifteen to twenty-five years that is determined by the sentencing judge. See G. L. c. 265, § 2 ; G. L. c. 279, § 24. Accordingly, incompetent defendants who face a charge of murder in the second degree qualify for dismissal of charges pursuant to G. L. c. 123, § 16 ( f ).
The existence of this alternative avenue for dismissal of charges in specific circumstances does not, however, prevent a conclusion that G. L. c. 123, § 16 (
f
), violates substantive due process in the circumstances in this case.
10
Because it is undisputed that the defendant will never become competent, allowing
**602
charges that can never be resolved at a trial to remain pending indefinitely is inconsistent with his right to substantive due process. Compare
Calvaire
,
General Laws c. 123, § 16 ( f ), therefore satisfies the requirement of substantive due process only insofar as it is understood to allow the dismissal of charges, in the interest of justice, in circumstances such as these, where the defendant will never regain competency and does not pose a risk to public safety.
3. Conclusion . The matter is remanded to the county court for entry of an order allowing the defendant's petition pursuant to G. L. c. 211, § 3, and remanding the matter to the Superior Court for entry of an order allowing the defendant's motion to dismiss.
So ordered .
Although the petitioner commenced this action by filing a petition in the county court, for convenience, we refer to him as "the defendant."
We acknowledge the amicus briefs submitted by the Massachusetts Association of Criminal Defense Lawyers and the district attorney for the Northern District.
At the time of the defendant's arrest, defendants convicted of murder in the second degree were eligible for parole after fifteen years. After the United States Supreme Court's decision in
Miller
v.
Alabama
,
All other offenses which permit a life sentence also have a statutory parole date that follows a fixed number of years; for no offense is this period greater than that for a conviction of murder in the second degree. See G. L. c. 127, § 133A ; G. L. c. 279, § 24.
General Laws c. 123, § 16 ( f ), provides:
"If a person is found incompetent to stand trial, the court shall send notice to the department of correction which shall compute 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. For purposes of the computation of parole eligibility, the minimum sentence shall be regarded as one half of the maximum sentence potential sentence. Where applicable, the provisions of [G. L. c. 127, §§ 129, 129A, 129B, and 129C,] shall be applied to reduce such period of time. On the final date of such period, the court shall dismiss the criminal charges against such person, or the court in the interest of justice may dismiss the criminal charges against such person prior to the expiration of such period."
Very few State courts have addressed this issue. This may be a result of statutes in many States having been modified in light of
Jackson
v.
Indiana
,
Of those, twenty States require dismissal of charges of murder in the first degree after a defendant has been incompetent for a specific period of time. See Ala. R. Crim. P. 11.6 ;
Other States exclude murder in the first degree-and, in some instances, other serious crimes-from their dismissal provisions, often explicitly. See
General Laws c. 123, § 16 ( d ), provides:
"The district attorney for the district within which the alleged crime or crimes occurred shall be notified of any hearing conducted for a person under the provisions of this section or any subsequent hearing for such person conducted under the provisions of this chapter relative to the commitment of the mentally ill and shall have the right to be heard at such hearings."
General Laws c. 123, § 17 ( c ), provides:
"Notwithstanding any finding of incompetence to stand trial under the provisions of this chapter, the court having jurisdiction may, at any appropriate stage of the criminal proceedings, allow a defendant to be released with or without bail."
General Laws c. 123, § 17 ( b ), provides:
"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."
The Legislature recently enacted a criminal justice reform bill that allows a prisoner who suffers from a terminal illness or permanent incapacitation "that is so debilitating that the prisoner does not pose a public safety risk" to be released on medical parole. See G. L. c. 127, § 119A, inserted by St. 2018, c. 69, § 97. This compassionate release program is available to all prisoners, including those convicted of murder in the first degree.
Reference
- Full Case Name
- Stanley v. SHARRIS, Jr. v. COMMONWEALTH.
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