Commonwealth v. Fontanez
Commonwealth v. Fontanez
Opinion
**22 The Commonwealth appeals from the judgment of a single justice of this court denying its petition for relief pursuant to G. L. c. 211, § 3. The Commonwealth petitioned the single justice to vacate a Superior Court judge's order allowing the criminal defendant's motion in limine to exclude prior recorded testimony. The single justice denied the petition without a hearing, **23 stating, "This is not an exceptional circumstance requiring the exercise of the [c]ourt's extraordinary power, and in any event, the Commonwealth has not shown that the trial judge abused his discretion." We reverse.
Background . For purposes of our review, the undisputed facts are as follows. The defendant was indicted for armed assault with intent to murder, G. L. c. 265, § 18 ( b ), and assault and battery by means of a dangerous weapon causing serious bodily injury, G. L. c. 265, § 15A ( c ) (i). The alleged victim was stabbed in a bar in Springfield and, when presented with a photographic array, identified the defendant as the culprit. The defendant filed a motion to suppress that and other out-of-court identifications. He also moved to remain out of view during eyewitness testimony at the hearing on his motion. The defendant's motion to remain out of view was allowed, and during witness testimony *711 the defendant sat behind the judge's bench. He did not see the witnesses, and the witnesses did not see him. After the hearing, the defendant's motion to suppress identification was denied as to three witnesses, including the victim, and allowed as to one witness. The victim subsequently died for reasons unrelated to the stabbing.
The Commonwealth moved in limine to introduce at trial a transcript of the victim's testimony from the suppression hearing, and the defendant filed a motion in opposition. In a written decision, a judge, other than the judge who ruled on the defendant's motion to suppress, concluded that admitting the transcript in evidence would violate the defendant's right to face-to-face confrontation under art. 12 of the Massachusetts Declaration of Rights because the defendant sat out of view during the suppression hearing. Accordingly, the judge allowed the defendant's motion to exclude the victim's prior testimony and denied the Commonwealth's motion to admit the testimony.
Pursuant to G. L. c. 211, § 3, the Commonwealth petitioned a single justice of this court to vacate the judge's order excluding the victim's prior testimony. 1 The single justice denied the petition without a hearing, stating, "This is not an exceptional circumstance **24 requiring the exercise of the [c]ourt's extraordinary power, and in any event, the Commonwealth has not shown that the trial judge abused his discretion." The Commonwealth appealed from this decision to the full court.
Discussion
. "In reviewing the single justice's determination to deny the Commonwealth's petition brought under G. L. c. 211, § 3, this court looks to whether 'the single justice abused his or her discretion or made a clear error of law.' "
Commonwealth
v.
Ruiz
,
A single justice faced with a G. L. c. 211, § 3, petition performs a two-step inquiry. We address each step in turn.
1. Step 1: Whether to review petition's merits . First, the single justice must decide, in his or her discretion, whether to review "the substantive merits of the ... petition."
*712
Commonwealth
v.
Baldwin
,
In criminal cases, defendants' petitions under G. L. c. 211, § 3, are often denied on the ground that the defendant has an adequate alternative remedy, namely, a direct appeal as of right after trial in the event he or she is convicted. Petitions brought by the Commonwealth present a different situation because, in most circumstances where it receives an adverse ruling in the trial court, the Commonwealth has no other avenue to obtain appellate review either through interlocutory avenues or after trial. Even if the Commonwealth has no other remedy, however, it is
not
automatically entitled to review as of right under G. L. c. 211, § 3. See
Commonwealth
v.
D.M.
,
*713
Exceptional circumstances might exist if, for example,
**26
the Commonwealth's petition involves a novel question of law, a systemic issue that will have an effect not just on the current case but on numerous other cases, or a lower court ruling that, if allowed to stand, would have a truly crippling effect on the Commonwealth's case. On the other hand, we routinely uphold single justice denials of the Commonwealth's petitions where there are no novel, systemic, or case-determinative issues, or other aspects that make the petitions exceptional. See, e.g.,
Commonwealth
v.
Hernandez
,
Here, both sides agree that the Commonwealth had no alternative avenue to obtain review of the judge's allowance of the defendant's motion in limine. We turn, therefore, to whether the Commonwealth's claim is "exceptional" for purposes of G. L. c. 211, § 3. We conclude that the single justice abused his discretion in determining that there were no exceptional circumstances here.
The Superior Court judge's decision appears at first to be "a routine ruling on a relatively routine evidentiary matter."
Hernandez
,
However, on closer inspection the petition is more than just routine: the judge's decision to exclude the now deceased victim's testimony effectively forecloses the Commonwealth's ability to prosecute a serious crime. This is not a situation where the excluded evidence will merely weaken the prosecution. The victim's prior testimony is key evidence that is critical to the Commonwealth's ultimate success or failure in prosecuting the case. "The Commonwealth, not unreasonably, does not want to proceed to trial without it ...."
Commonwealth
v.
Tahlil
,
**27
Commonwealth
v.
Williams
,
At the suppression hearing, the victim described his earlier identification of the assailant and identified a photograph of the assailant. If this testimony is admitted at trial, then police officers involved in administering the photographic array may testify that the victim identified the defendant. See Mass. G. Evid. § 801(d)(1)(C) (2019) (prior identification not hearsay where "declarant testifies and is subject to cross-examination about" identification). See also
Commonwealth
v.
Clemente
,
Admittedly, there is some other evidence on which the prosecution could conceivably rely. Surveillance video footage captured the incident, and there were two other witnesses to the stabbing. However, witnesses at the hearing described the video recording as being of poor quality. And it is highly unlikely that either of the other witnesses to the incident would be permitted to identify the defendant at trial. One of them never identified the defendant to the police, but rather described the assailant as male and gave a clothing description. See
Commonwealth
v.
Crayton
,
We observe also that this case implicates fundamental constitutional rights, involves important competing legal principles, and arises from an unusual fact pattern. We do not suggest that every confrontation issue is suitable for review pursuant to G. L. c. 211, § 3. Here, however, the judge analyzed the interaction in these unusual circumstances between the confrontation right and waiver doctrine, as well as whether conflicting constitutional protections were implicated. The importance of these fundamental constitutional concerns weighs in favor of reviewing the petition's merits. Cf.
D.M.
, 480 Mass. at 1006,
Because the Commonwealth does not have an alternative remedy, and because the Commonwealth's petition presents an exceptionally important matter, the single justice abused his discretion in determining that the Commonwealth's petition did not require the court's consideration of the merits.
2. Step 2: Reviewing petition's merits . When review of a petition is appropriate, the single justice moves to the second step and reviews the petition's merits.
*715
The single justice "must then correct" the challenged trial court ruling if it was wrong.
D.M.
,
Prior recorded testimony is admissible as an exception to the rule against hearsay where the declarant is unavailable at trial as a matter of law, and where "the prior testimony was given by a person ... in a proceeding addressed to substantially the same issues as in the current proceeding, with reasonable opportunity
**29
and similar motivation on the prior occasion for cross-examination of the declarant by the party against whom the testimony is being offered."
Commonwealth
v.
Fisher
,
Similarly, under the Sixth Amendment to the United States Constitution and art. 12, "[a]dmitting prior testimony does not violate the defendant's confrontation rights when the declarant is unavailable, as a matter of law, to testify and 'the defendant has had an adequate prior opportunity to cross-examine the declarant.' "
Commonwealth
v.
Caruso
,
*716 Applying this constitutional rubric, the judge concluded that **30 the victim was unavailable and that the defendant had had an adequate opportunity to cross-examine the victim at the earlier suppression hearing. 5 We agree.
The victim was unavailable to testify at trial because he was deceased. See
Commonwealth
v.
Rosado
,
We agree with the judge that "the issue was [the victim]'s identification of [the defendant], regardless of whether it consisted of attacking the procedure the police utilized or attacking [the victim]'s credibility, which, in fact, defense counsel attempted to do." Cf.
Hurley
,
Although the defendant technically examined the victim on direct rather than on cross-examination at the suppression hearing, the purpose of calling the victim as a witness was to discredit his out-of-court identification. See
Commonwealth
v.
Bresilla
,
The judge's conclusions should have led him to decide that the transcript was admissible because it satisfied the hearsay exception for prior recorded testimony and the constitutional restraints
**32
on that exception. However, the judge excluded the victim's prior testimony because the defendant and the victim "did not meet face to face in the prior proceeding." Article 12 provides defendants with the right to confront face to face at trial the witnesses against them.
Commonwealth
v.
Amirault
,
In an affidavit supporting his motion to remain out of view, the defendant expressly waived his right to be present at the suppression hearing. See Mass. R. Crim. P. 18 (a),
We disagree with the judge's conclusion that the defendant "cannot be
*718
deemed to have freely waived one constitutional right because he properly chose ... to exercise another" by sitting out of view. Even if we were to decide that there is a right to sit out of view at a hearing on a motion to suppress, which we decline to do here, exercising that right would not prevent the defendant from waiving his right to face-to-face confrontation. "[T]he right to confront witnesses is not absolute."
Amirault
,
The defendant suggests that he needed to sit out of view to challenge the constitutionality of various out-of-court identifications. He analogizes, as did the judge, to cases in which a defendant waived the right under the Fifth Amendment to the United States Constitution against compelled self-incrimination in order to assert the right to be free from unreasonable searches and seizures under the Fourth Amendment to the United States Constitution. See
Simmons
v.
United States
,
Finally, to the extent the judge was influenced by the defendant having chosen to remain out of view "on his counsel's advice," we observe that the "right to face-to-face confrontation" is not on the "very short list of rights ... that must be waived personally by a defendant and cannot be waived by his counsel."
Amirault
,
Conclusion . For the foregoing reasons, the judgment of the single justice is set aside, and the case is remanded to the county court for entry of a judgment vacating the order allowing the defendant's **34 motion in limine to exclude the victim's prior recorded testimony.
So ordered .
We have considered a preliminary procedural question not addressed by the parties: whether, instead of petitioning pursuant to G. L. c. 211, § 3, the Commonwealth should have sought leave to appeal from the single justice pursuant to Mass. R. Crim. P. 15 (a) (2), as amended,
Both sides proceeded in the county court and in the full court as if Mass. R. Crim. P. 15 did not apply. The single justice also considered the underlying ruling to be a ruling in limine and not a suppression ruling. We shall do the same.
It is for these reasons, when the Commonwealth appeals from single justice denials of its petitions under G. L. c. 211, § 3, that we routinely remind the Commonwealth in our orders allowing its appeals to proceed pursuant to S.J.C. Rule 2:21, as amended,
"The Commonwealth should be mindful ... as it pursues this appeal, that the fact that it has no other remedy does not automatically entitle it to consideration of the substantive merits of its claim. See Commonwealth v. Richardson ,454 Mass. 1005 , 1005-1006,907 N.E.2d 642 (2009) [, S . C .,469 Mass. 248 ,13 N.E.3d 989 (2014) ]; Commonwealth v. Cook ,380 Mass. 314 , 319,403 N.E.2d 363 (1980). It will first be incumbent on the Commonwealth to demonstrate that this is the type of 'rare case' and 'exceptional circumstance' that requires the exercise of the court's extraordinary power of general superintendence; more specifically, that the single justice abused his discretion in declining to employ the court's extraordinary superintendence power in these circumstances. See Commonwealth v. Barros ,460 Mass. 1015 , 1016,955 N.E.2d 295 (2011) ; Commonwealth v. Richardson , supra . This being an appeal from the single justice's decision, and not a de novo review of the petition or second bite at the apple, it will not be enough for the Commonwealth simply to repeat the same arguments to this court that it pressed unsuccessfully before the single justice. Commonwealth v. Samuels ,456 Mass. 1025 , 1027 n. 1,926 N.E.2d 1141 (2010). See Commonwealth v. Barros , supra at 1017,955 N.E.2d 295 . The full court will reach the substantive merits only if it first determines that the case presents the type of extraordinary situation requiring consideration of the merits under G. L. c. 211, § 3, and that the single justice abused his discretion in ruling otherwise."
Based on the motion decisions and hearing transcript, the only other evidence is an anonymous tip to police that the defendant stabbed the victim and identifications placing the defendant at the bar on the night of the incident. We do not comment on the admissibility of this evidence.
The defendant asks us to require also that the prior testimony be from a hearing at which the Commonwealth bore and satisfied a burden of proof. We have stated that, for prior recorded testimony to be admissible, the trier of fact must have "a satisfactory basis for evaluating the truth of the prior statement."
Commonwealth
v.
Hurley
,
The defendant also argues that we should require "a direct accusation against the defendant" at the prior proceeding that "matches the risk to follow at trial." Otherwise, a defendant might avoid at the earlier hearing issues relevant to trial, not realizing that the hearing testimony will later be admitted. Our inquiry into whether "the defendant had reasonable opportunity and similar motivation on the prior occasion for cross-examination of the declarant" addresses this concern.
Commonwealth
v.
Caruso
,
The judge also concluded that the victim's prior testimony was not unreliable. However, if prior testimony meets the above-mentioned requirements for unavailability, see Mass. G. Evid. § 804(a) (2019); the prior recorded testimony exception to the rule against hearsay, see Mass. G. Evid. § 804(b)(1) ; and the confrontation clause, then it is for the jury, not the judge, to decide whether the out-of-court declarant's testimony is reliable. The judge's approach is understandable considering our decision in
Arrington
,
We do not mean to suggest that there must be cross-examination at the prior proceeding for the prior recorded testimony exception to apply. "Actual cross-examination at the prior [proceeding] is not required, but the party against whom the testimony is now offered must have had an adequate opportunity to exercise the right to cross-examine if desired."
Commonwealth
v.
Canon
,
The defendant asserts that a waiver of the right to confrontation should always require a knowing and voluntary act by the defendant. We decline to adopt such a rule.
Reference
- Full Case Name
- COMMONWEALTH v. Rafael FONTANEZ.
- Cited By
- 24 cases
- Status
- Published