Commonwealth v. Fernandes
Commonwealth v. Fernandes
Opinion of the Court
**2*700Until recently, we provided only limited guidance regarding legal instructions furnished to grand juries. We had held, for example, that "it is the duty of the district attorney in appropriate instances to advise [the grand jury] concerning the law," Attorney Gen. v. Pelletier,
As reflected in this plurality opinion and in the separate opinions that follow, six Justices are of the view that it is generally advisable for prosecutors to instruct grand juries on the elements of lesser offenses and defenses whenever such instructions would help the grand jury to understand the legal significance of mitigating **3circumstances and defenses.
Because this case fails to satisfy the standards for dismissal set forth in this plurality opinion and in Justice Cypher's concurring opinion, five Justices (those who subscribe to this opinion and Justice Cypher's opinion) agree that, here, the indictment should not have been dismissed.
Background. The evidence presented to the grand jury was as follows. On the evening of May 7, 2014, the defendant banged on her neighbors' door and asked for help. The neighbors followed the defendant to her home and discovered the victim (the defendant's fiancé) on the floor in the kitchen covered in blood. His carotid artery had been cut; efforts to resuscitate him failed. When asked what had happened, the defendant responded, "[H]e hit me, so I hit him."
Later that night, the defendant gave a recorded interview to police in which she stated that, on the night of the killing, both she and the victim had been drinking when he became "physical." The victim began choking and beating the defendant; he then pulled out "knives and guns." At one point it appears that both had knives, and that the victim was choking the defendant. When the defendant tried to protect herself, the victim told her that he had been stabbed and that he felt dizzy. The defendant observed the stab wound to the victim's neck. After being unable to find her cellular telephone (cell phone), she went to the neighbors' house for help. The detective who interviewed the defendant stated that he could "see the bruises" on her.
Witnesses testified to seeing bruises on the defendant at various times during the *702relationship. The defendant told one witness that the victim had put a gun to the defendant's mouth on multiple occasions, and she told police that the victim had been abusive toward her.
Prior proceedings. The defendant initially was arraigned in the District Court on a charge of manslaughter. Over the course of a year, four different grand juries heard evidence pertaining to the homicide, the last of which issued indictments against the defendant charging her with murder and assault and battery with a dangerous weapon.
Discussion. 1. Standard. The grand jury are an investigatory body with a dual function: "determining whether there is probable cause to believe that a crime has been committed and ... protecting citizens against unfounded criminal prosecutions." Lataille v. District Court of E. Hampden,
The role of a grand jury is vastly different from that of the petit jury. "[A] grand jury indictment depends only on the existence of **6evidence sufficient to warrant a finding of probable cause to arrest [the defendant]" (quotations omitted), Commonwealth v. Maggio,
"Because of ... the availability of an unprejudiced petit jury at trial, the safeguards deemed necessary to protect an accused before a petit jury are not implicated to the same degree in grand jury proceedings." Commonwealth v. McLeod,
In considering the claim that the Commonwealth's failure to provide the grand jury with instructions on the legal significance of the mitigating evidence prevented that body from properly evaluating the evidence, the starting point is the general principle that "[t]he extent of the [prosecutor]'s obligation to instruct the [g]rand [j]ury ... must be defined with reference to the role of that body," Walczak,
The treatment of exculpatory evidence withheld from the grand jury is particularly instructive in determining whether a prosecutor has an obligation to instruct the body on certain possible defenses. See Hogan,
It stands to reason, then, that the same is true for instructions regarding exculpatory evidence; that is, the integrity of the grand jury proceedings would be impaired by the lack of instructions only where providing them "would likely have affected the grand jury's decision to indict." Clemmey,
Any showing by the defendant that a grand jury might have determined that a lesser charge was more appropriate would not by itself render the entire prosecution unwarranted, nor does it negate probable cause for the offense as charged, see Moran,
*705This is so for two interrelated reasons. First, as discussed supra, the role of the grand jury is limited. They are no more than an investigatory and accusatory body. See Lataille,
Second, as a general rule, "[t]he Commonwealth is not required to present evidence of so-called defenses or otherwise disprove such matters before the grand jury." Commonwealth v. Silva,
The dissent and Justice Cypher's concurrence represent very different views of the function of the grand jury and what it means for that function to be impaired. Those views -- which occupy different ends of the spectrum of possible resolutions to this issue -- are unnecessarily extreme in comparison to the more moderate, and more appropriate, approach laid out supra.
In his dissent, Chief Justice Gants contends that the "relevant inquiry is ... whether the grand jury's decision to return an indictment for murder, rather than manslaughter, was 'probably influenced' by the absence of legal guidance." Post at ----, 130 N.E.3d 696. Thus, in the dissent's view, the integrity of the process was impaired here because the omitted instructions on the excessive use of force in self-defense probably would have led to a charge of manslaughter. See post at ----, 130 N.E.3d 696. This view is flawed for a number of reasons.
First, and foremost, it does not comport with our case law. As explained supra, the conclusion that the grand jury process is impaired only if the omitted legal instructions likely would have **10resulted in a no bill is based on prior holdings of this court pertaining to withheld exculpatory evidence. And these prior decisions have held *706that the failure to present exculpatory evidence impairs the integrity of the process only where the omitted information "would likely have affected the grand jury's decision to indict," Clemmey,
Citing to dicta in the concurring opinions in Walczak, the dissent reasons that "[b]ecause mitigating evidence tends to cast doubt on the Commonwealth's proof regarding an essential element of a crime for which the Commonwealth seeks an indictment, it is exculpatory as to that crime." Post at ----, 130 N.E.3d 696, citing Walczak at 822-823,
Moreover, the dissent relies on Walczak as support for its **11position that mitigating evidence should receive the same treatment as exculpatory evidence when determining impairment, post at ----, 130 N.E.3d 696, but this reliance is misplaced. The majority in Walczak,
In addition, the dissent's view conflates the roles of the grand jury and the petit jury. The duty of the grand jury is to determine whether there is probable cause to believe the crime alleged in the indictment has been committed.
Further, although the dissent purports to limit its rule to requiring instructions on mitigating evidence in murder cases, see post at ----, ----, 130 N.E.3d 696, where the failure to provide instructions might result in an indictment for murder rather than manslaughter, see post at ----, 130 N.E.3d 696, there exists no principled reason for such a restriction. Taken to its logical conclusion, the dissent's rule would appear also to require prosecutors to provide grand juries instructions for all lesser included offenses in all criminal cases to avoid impairing the integrity of the grand jury process. See Noble,
The dissent agrees, as does Justice Lowy in his concurrence, that, as a matter of best practices, instructions on both defenses and mitigating circumstances should be provided to grand juries, including instructions that might possibly affect the decision whether to indict for manslaughter as opposed to murder. See note 1, supra. However, the operative question on a motion to dismiss an indictment is whether the integrity of the grand jury proceedings has been impaired, not whether a prosecutor has conformed to the best practices, and the question whether the proceedings have been impaired is determined only by asking whether, had there been appropriate instructions, the grand jury would have returned no indictment at all. See, e.g., Mayfield,
At the other end of the spectrum from the dissent, the concurrence by Justice Cypher suggests that the integrity of the grand jury process should be considered impaired only where the prosecutor intentionally withholds instructions and providing them probably would result in a complete exoneration. Post at ----, 130 N.E.3d 696. This position, like that of the dissent, is not supported by our case law.
It is true that the intent of the prosecutor presenting the case to the grand jury is an important factor in determining whether **13dismissal of an indictment is required in circumstances like this. In reviewing grand jury proceedings where false information was provided, or exculpatory evidence was withheld, we have required a showing that the conduct of the prosecutor was intentional and done for the purpose of obtaining an indictment. See Clemmey,
However, reviewing grand jury proceedings where instructions on the law have been withheld does not lend itself to an inquiry regarding intentionality. For example, in Walczak,
Therefore, the relevant question is not whether the prosecution intentionally withheld the instructions, but instead whether the failure to give such instructions, regardless of intent, results in an indictment where otherwise the grand jury would have returned a no bill. It is the result of the omission of the instructions, not the motive behind it, that determines whether the process has been impaired to the point that a dismissal is necessary.
This approach does not, as Justice Cypher contends, "establish another mechanism to dismiss an indictment." Post at ----, 130 N.E.3d 696. Instead, it does no more (or less) here than to undergird the court's duty to review grand jury proceedings where there is a claim that the integrity of the proceedings has been impaired, Mayfield,
2. Application. In this case, the Commonwealth presented sufficient evidence to the grand jury for them to find probable cause to believe that the defendant committed murder.
When coupled with instructions from the judge at trial, the evidence presented may result in a petit jury finding the defendant guilty only of voluntary manslaughter (or not guilty of any offense).
The requisite showing is particularly difficult to make here for at least two reasons. First, the exculpatory evidence was weakened substantially by the contrasting evidence of the defendant's violent temper and controlling behavior toward -- and physical abuse of -- the victim, including a prior occasion in which the defendant stabbed the victim.
Contrary to the dissent's assertion, this approach does not necessarily ask prosecutors to "distinguish between evidence of lawful self-defense and evidence of excessive use of force in self-defense," post at ----, 130 N.E.3d 696. Prosecutors would be well advised to err on the side of presenting exculpatory and mitigating evidence, as well as instructions that give legal meaning to that evidence.
Given that the purpose of the grand jury is to determine probable cause and not *711guilt, the process here appears to have worked as designed. That is, the grand jury determined that there was sufficient evidence to establish probable cause to believe that the defendant committed the crime alleged in the indictment: murder. At trial, a petit jury will weigh the mitigating and exculpatory evidence, along with all the other evidence, to determine whether the defendant is guilty beyond a reasonable doubt of murder or voluntary manslaughter, or not guilty of any offense. See Colon-Cruz,
Conclusion. Because the integrity of the grand jury process was not impaired, the order dismissing the indictment against the defendant must be vacated and the case remanded to the Superior Court for further proceedings consistent with this opinion.
So ordered.
In Commonwealth v. Grassie,
The committee found that practices varied among districts. Some interviewees reported that the assistant district attorneys in their offices instruct grand juries on affirmative defenses or mitigating circumstances only where required to do so under our case law; others go beyond the requirements we have established. Id. at 34.
One of the best practices that the committee proposed, no. 5(B), is to "consider instructing the grand jury [where the defendant is not a juvenile] on the elements of lesser offenses and/or defenses, where such instructions would be in the interest of justice or would assist the grand jurors to understand the legal significance of mitigating circumstances and defenses." Id. at 13. Although we decline to hold that the integrity of grand jury proceedings are impaired whenever substantial exculpatory evidence is unaccompanied by instructions, we strongly encourage district attorneys making grand jury presentments to adopt this and the other best practices outlined in the report.
The words "mitigating" and "exculpatory" appear throughout this opinion to distinguish between evidence that would reduce the gravity of an offense (mitigating evidence) and that which would exonerate a defendant altogether (exculpatory evidence).
The grand jury were presented with evidence that the police found two firearms in the residence.
On the victim's cellular telephone (cell phone), police discovered a photograph of the victim's arm with a stab wound.
The fourth grand jury received the evidence presented to the prior grand juries in the form of exhibits, including transcripts of the prior proceedings. After being presented with some additional evidence, the fourth grand jury voted to indict the defendant.
Even where the integrity of the proceedings are determined to have been impaired, indictments are usually dismissed without prejudice unless the Commonwealth has engaged in willful misconduct. See Commonwealth v. O'Dell,
In his dissent, Chief Justice Gants quotes the phrase "probably influenced" from Mayfield,
Justice Lenk reasoned that because an indictment for murder has added significance for juveniles who would lose the protections attendant with proceeding in the Juvenile Court, juvenile defendants facing potential murder charges are entitled to extra safeguards at the grand jury stage. Commonwealth v. Walczak,
In his dissent, Chief Justice Gants cites to his own concurrence in Walczak as support for the proposition that mitigating and exculpatory evidence should receive the same treatment. See post at ----, 130 N.E.3d 696. However, as stated, the majority of the court in Walczak did not accept that proposition with respect to adult defendants; there was simply no majority consensus on that point, one way or the other, in that case. See Walczak,
Although the grand jury could return an indictment on a lesser (or greater) offense, see Vasquez v. Hillery,
Justice Lowy's concurring opinion misses the mark for essentially the same reasons. Moreover, his prediction that this approach will prove unwieldy and unworkable is unwarranted. Just as prosecutors are able to meet the various obligations that are currently imposed on them by cases such as O'Dell, Mayfield, Clemmey, and Walczak, prosecutors who present evidence before grand juries will be able to meet the fundamental and fairly straightforward obligations that this approach would require of them, namely, to discern where substantial exculpatory evidence they have presented gives rise to a defense that could reasonably result in a no bill, and to instruct the grand juries accordingly.
Murder is the unlawful killing of a human being with malice aforethought. See Commonwealth v. Kane,
The defendant's assertion that she acted in self-defense does not necessarily absolve her from culpability. Although the use of self-defense negates the element of malice, see Connolly v. Commonwealth,
In fact, the other indictment issued by this same grand jury was for the previous instance of the defendant's assault and battery of the victim with a knife.
There is no merit to the dissent's concern that the rule announced today will likely have the unintended consequence of discouraging prosecutors from providing instructions because they will know there will rarely be consequences for failing to do so. Post at ----, 130 N.E.3d 696. First, the duty of the prosecution is "not that it shall win a case, but [instead, to see] that justice shall be done." Commonwealth v. Keo,
Concurring Opinion
**17Although I join Justice Cypher's concurrence, I write separately for three reasons. First, in my view prosecutors should instruct a grand jury on affirmative defenses and on mitigation whenever the evidence supports such instructions. It is good practice to do so, and a number of district attorneys' offices follow this approach. I would not require such instructions, however, for the compelling reasons outlined in Justice Cypher's opinion.
Second, I believe that Justice Budd's conclusion is unwieldy at best, and perhaps even unworkable. I agree with the dissent that the grand jury in this case "heard substantial evidence ... that the defendant acted in lawful self-defense." Post at ----, 130 N.E.3d 696. How then does a judge rule on what Justice Cypher is calling a "Fernandes motion," post at ----, 130 N.E.3d 696, where exculpatory evidence, if believed, would result in a no bill? Does the Commonwealth have to delay its grand jury presentation until the Commonwealth retains an expert on battered woman syndrome? What if the exculpatory evidence is a defendant's statement to police made during custodial interrogation? What if that statement cannot be reconciled with forensic and medical evidence? What if, in a rape case, there is overwhelming evidence that the alleged victim was too impaired to consent and the defendant's own statement, inconsistent with a video recording of the incident, is that he was too impaired to recognize the victim's impairment? See Commonwealth v. Blache,
Third, once this court intrudes on grand jury practice, absent insufficient evidence or impairment of the grand jury, we alter the function of the grand jury and detract from its historic role. The grand jury are not an adjudicatory body. The more the grand jury's vote becomes an adjudication, the less the grand jury act as an investigatory body and a shield.
CYPHER, J. (concurring in part and dissenting in part, with whom Lowy, J., joins).
**18I agree with the court that the evidence presented to the grand jury supports the indictment for murder and that the lack of instruction on mitigating circumstances did not impair the integrity of the grand jury.
*712I would, however, stop there and not establish another mechanism to dismiss an indictment. I do not agree with the dissent, which would hold that in all cases where the Commonwealth seeks an indictment for murder and there is substantial evidence of mitigating circumstances or defenses (except lack of criminal responsibility) the grand jury must be instructed on the effect of mitigating circumstances and defenses.
I write separately because I do not think that it is proper or necessary for the court to intrude further into grand jury practice. I am of the view that although it may be best practice to instruct grand juries on the elements of lesser offenses and defenses, a new rule would result in delay, add nothing to the assurances of a fair trial, and be an encroachment on the traditional grand jury practice and function.
As the United States Supreme Court observed when discussing whether to adopt a change to grand jury practice to determine whether indictments were supported by competent evidence,
"[n]o persuasive reasons are advanced for establishing such a rule. It would run counter to the whole history of the grand jury institution, in which laymen conduct their inquiries unfettered by technical rules. Neither justice nor the concept of a fair trial requires such a change. In a trial on the merits, defendants are entitled to a strict observation of all the rules designed to bring about a fair verdict. Defendants are not entitled, however, to a rule which would result in interminable delay but add nothing to the assurance of a fair trial."
Costello v. United States,
It has been long-settled law that the Commonwealth is not required **19to present evidence of so-called defenses or otherwise disprove such matters before the grand jury, Commonwealth v. Silva,
The grand jury committee referenced in Justice Budd's opinion consisted of prosecutors and defense attorneys who worked diligently to review the grand jury practices of the various district attorneys and the Attorney General. Ante at note 1. The committee developed six proposed "best practices" for prosecutors when making grand jury presentments. See Supreme Judicial Court Committee on Grand Jury Proceedings: Final Report to the Justices, at 11-14 (June 2018). One of the best practices *713the committee proposed is no. 5(B), advising prosecutors to "consider instructing the grand jury [where the defendant is not a juvenile] on the elements of lesser offenses and/or defenses, where such instructions would be in the interest of justice or would assist the grand jurors to understand the legal significance of mitigating circumstances and defenses." Id. at 13. Best practices are, however, just that. After hundreds of years of grand jury practice, there is nothing in the record or in the report of the committee that indicates that there is a problem in the Commonwealth with instructions to the grand jury. See Walczak, supra at 844-856,
To better understand my position, it is helpful to review briefly some of the fundamental principles that have guided grand jury practice in Massachusetts. In his concurring opinion in Commonwealth v. Grassie,
The institution of the grand jury is one of the oldest in our criminal justice system, dating back to the rule of King Henry II
**20in 1164. Simmons, Re-Examining the Grand Jury: Is There Room for Democracy in the Criminal Justice System?,
Notwithstanding their historic and important role, the grand jury have a limited function -- they are an investigatory and accusatory body only. See Matter of R.I. Select Comm'n Subpoena,
*714Commonwealth v. Goldstein,
A finding of probable cause, however, requires considerably less evidence than that which is required to support a finding of guilt by the petit jury. Commonwealth v. O'Dell,
**21Commonwealth v. Hanright,
Grand jury proceedings are not conducted in accordance with the same standards applied to protect a defendant's rights at trial. Grand juries are not strictly bound by the rules of evidence. A grand jury may rely on hearsay in determining whether there is probable cause to indict, Commonwealth v. Washington W.,
Traditionally, this court has maintained a limited role in reviewing grand jury proceedings. We have not, however, permitted the grand jury to become a mere arm of the prosecution. Although the general rule is that a court should not inquire into the adequacy or competency of the evidence upon which an indictment is based, we have held that "at the very least the grand jury must hear sufficient evidence to establish the identity of the accused ... and probable cause to arrest him" (citation omitted). Commonwealth v. McCarthy,
We also have exercised a greater supervisory role -- on a case-by-case basis -- over the substance of grand jury proceedings in circumstances where the integrity of the grand jury has been impaired. Stevenson,
As noted, the purpose of the grand jury is to determine probable cause, not guilt and degrees of guilt. See Rex,
A requirement that the grand jury be instructed on mitigation or defenses is "a significant departure from the historic and practical nature of the grand jury[;] it calls on the grand jury to perform more than an accusatory or investigative function, and it needlessly and unfairly burdens police and prosecutors to develop murder cases before learning about a defendant's case through reciprocal discovery. It is more consonant with public justice to sort out these issues at a subsequent trial." Walczak,
This court has held consistently that any perceived error at the grand jury stage can be cured by the petit jury at trial. See Commonwealth v. McLeod,
**23See also Clemmey,
Much like the case in Walczak, the question here is not whether the integrity of the grand jury was impaired by prosecutorial misconduct that unfairly resulted in an indictment. Rather, the question is whether the failure to instruct the grand jury on potential mitigating factors in the adult defendant's killing of her boyfriend impaired the integrity of the grand jury. A petit jury, which determine guilt, normally would be instructed to return a verdict for the highest crime proved beyond a reasonable doubt against the defendant. See Commonwealth v. Dickerson,
Failing to instruct a grand jury about defenses or the impact of mitigating evidence, for which a prosecutor has no legal duty, has not and should not be analyzed under an impaired integrity standard. The impaired integrity standard suggests the presence of intentional prosecutorial misconduct that could result in sanctions. Commonwealth v. Salman,
**24Here, there is probable cause to support the defendant's indictment for murder and assault and battery with a deadly weapon. The evidence presented to the grand jury shows that the victim died of a stab wound to the neck. The defendant, who was the last person with the victim, ran for help and said to a neighbor, "Well, he hit me, so I hit him." That same neighbor witnessed a clean knife in the kitchen sink. A witness testified that the defendant had admitted to stabbing the victim on a previous occasion. The Commonwealth also presented significant mitigating evidence, comprising testimony from witnesses who observed bruises on the defendant, including on the night of the killing; testimony from the defendant regarding the victim's abusive behavior toward her during their relationship; and the defendant's statement that she acted in self-defense.
"The only question for the grand jury should be whether the evidence was sufficient to support a decision to arrest for murder. Any inquiry and decision beyond that is in the nature of an adjudicatory decision and appropriately should be reserved for the petit jury." Walczak,
GANTS, C.J. (dissenting, with whom Lenk, J., joins).
The grand jury in this case heard substantial evidence that the defendant killed the victim in self-defense or used excessive force in self-defense. But the prosecutor provided the grand jury with no legal guidance that would have enabled them to understand the legal significance of this evidence in deciding whether to return an indictment for murder, an indictment for manslaughter, or no indictment at all. The plurality contends that the absence of any such instructions does not require the dismissal of the murder indictment without prejudice because instructions would likely not have resulted in the grand jury issuing a no bill. I believe that the relevant inquiry is not whether the omitted legal instructions likely would have resulted in a no bill, but whether the grand jury's decision to return an indictment for murder, rather than manslaughter, was "probably influenced" by the absence of legal guidance. Commonwealth v. Mayfield,
*717Because I conclude that the grand jury's decision to indict this defendant for murder was probably influenced by the lack of legal instructions concerning self-defense and the excessive use of force in self-defense, I believe that that the indictment should be dismissed **25without prejudice so that a properly instructed grand jury may consider the evidence. Therefore, I respectfully dissent.
Discussion. 1. The grand jury process. After presenting evidence to a grand jury, a prosecutor offers the grand jury a proposed indictment charging the defendant with a specific crime. The grand jury must then evaluate the presented evidence and decide whether there is probable cause to believe that the defendant committed the crime charged. In doing so, the grand jury must determine whether there is probable cause supporting each required element of the crime. See Commonwealth v. Moran,
Here, the prosecutor presented the grand jury with an indictment charging murder. The language of some indictments sets forth all of the elements of the crime charged, and therefore provides the grand jury with legal guidance regarding the required elements for which probable cause must be found. Compare, e.g., G. L. c. 277, § 79 (form indictment for breaking and entering in nighttime with intent to commit felony) with Commonwealth v. Cabrera,
**26But this reasonable understanding, based on the language of the standard murder indictment, is legally incorrect: a required element of the crime of murder is that the defendant committed the killing with malice. See Commonwealth v. Sires,
*718Commonwealth v. Williams,
Moreover, the language of the indictment does not inform the grand jury that lawful self-defense is a complete defense. This **27means that even if there is probable cause to believe (1) that the defendant committed an assault and battery against the victim; (2) that, in doing so, the defendant intended to kill the victim; and (3) that the assault and battery caused the victim's death, the defendant may not be indicted for any homicide offense if the grand jury conclude that the defendant committed the killing in lawful self-defense (or, more precisely, conclude that there is not probable cause to believe that the defendant was not acting in lawful self-defense when she killed the victim). See Commonwealth v. Little,
2. Exculpatory evidence. The grand jury in this case heard substantial evidence to support a finding that the defendant acted in lawful self-defense or, alternatively, that she used excessive force in self-defense. The grand jury learned that the defendant was engaged to be married to the victim, that she immediately reported the stabbing to her neighbors, that she appeared hysterical following the stabbing, and that, when asked what had happened, she told her neighbor that "he hit me, so I hit him." The grand jury further learned that the defendant, soon after the victim was stabbed, informed police officers that the victim had threatened her with a gun and choked her immediately prior to the stabbing. And the grand jury heard substantial evidence in support of this self-defense claim: police officers located a gun on the couch at the residence; an officer noticed fresh bruises on the defendant's face and *719arm; the defendant had previously disclosed that the victim was physically abusive and had placed a gun in her mouth on multiple occasions; and the victim, days before the killing, had sent text messages to the defendant saying "I'm going to fucking kill you" and "You're dead."
The significance of this exculpatory evidence is reflected in the fact that the Commonwealth, which was familiar with the circumstances of this case and with the law of murder and manslaughter, decided to charge the defendant with manslaughter in its complaint.
3. Impairment of the integrity of the grand jury. If the Commonwealth had sought an indictment for murder without disclosing any of the above-described surrounding circumstances to the grand jury (which, to the Commonwealth's credit, did not take place here), I believe there can be no doubt that the prosecutor would have impaired the integrity of the grand jury by failing to **28present to them exculpatory evidence " 'likely to affect the grand jury's decision,' as well as evidence the withholding of which would cause the presentation to be seriously tainted." See Commonwealth v. Clemmey,
I believe that the prosecutor's obligation to furnish the grand jury with exculpatory evidence likely to affect the grand jury's decision includes the obligation to provide instructions enabling them to understand the legal significance of that evidence.
In reaching the contrary conclusion that instructions need to be provided only where they would likely result in a no bill, the plurality makes five errors.
a. Overstatement of existing case law. First, the plurality contends that my definition of what probably influences a grand jury's decision to indict "does not comport with our case law." Ante at ----, 130 N.E.3d 696. In fact, however, a majority of this court has never decided whether instructions on mitigating circumstances and defenses are necessary where the Commonwealth seeks to indict an adult defendant for murder and where there is substantial evidence that the defendant acted in self-defense or used excessive force in self-defense. See Commonwealth v. Grassie,
b. Oversimplification of grand jury's decision. Second, the plurality treats the grand jury's decision as binary: whether to indict the defendant for a crime or to return a no bill. The indictment presented *721to a grand jury, however, does not charge a generic crime -- it charges a specific crime, with specific required elements. See Commonwealth v. Fryar,
The plurality's oversimplified approach to the grand jury's role leads it to conclude that a lack of instructions "would likely have affected the grand jury's decision to indict," Clemmey,
Furthermore, an indictment for manslaughter as opposed to murder is likely to yield more favorable plea options for a defendant, as the Commonwealth will no longer possess the threat of a life sentence as a negotiating tool. "In today's criminal justice system," where "the negotiation of a plea bargain, rather than the unfolding of a trial, is almost always the critical point for a defendant," Missouri v. Frye,
c. Distinction between mitigating and exculpatory evidence. Third, the plurality *722contends that grand jury proceedings are not impaired where omitted instructions relate to evidence that is "merely mitigating and not wholly exculpatory." Ante at ----, 130 N.E.3d 696. I agree with the plurality that mitigating evidence is evidence that might reduce the gravity of the offense, while exculpatory evidence is evidence that might absolve the defendant from guilt altogether. See ante at note 2. But when it comes to the Commonwealth's duty to disclose evidence to a grand jury considering an indictment for murder, I believe that this is a distinction without a meaningful difference.
Because mitigating evidence tends to cast doubt on the Commonwealth's proof regarding an essential element of a crime for which the Commonwealth seeks an indictment, it is exculpatory as to that crime, and may cause a grand jury to conclude that only **32a lesser crime is supported by probable cause.
d. Grand jury's role in the criminal process. Fourth, the plurality's opinion fails to honor the constitutional and statutory role of the grand jury. See Jones v. Robbins,
But the grand jury are not a mere rubber stamp required to approve any indictment brought by the Commonwealth. The prosecutor controls which indictment to present to the grand jury, but the grand jury control whether to return that indictment. See Vasquez,
The grand jury cannot perform their constitutional or statutory role of determining probable cause if they are deprived of important exculpatory evidence or of the legal guidance they need to understand that exculpatory evidence. "In contrast to a reviewing court's evaluation of the sufficiency of the evidence, which views the evidence in the light most favorable to the prosecution, a grand jury need not view the evidence in so favorable a light in deciding probable cause." Walczak,
It is true, as the plurality acknowledges, that prosecutors are required to provide the grand jury with legal instructions when **34the grand jury so requests. See ante at ----, 130 N.E.3d 696, citing Commonwealth v. Noble,
Equally troubling is the fact that the plurality, by requiring instructions only on complete defenses, asks prosecutors to do the **35impossible: clearly distinguish between evidence of lawful self-defense and evidence of excessive use of force in self-defense. See ante at note 11 (prosecutors obligated "to discern where substantial exculpatory evidence they have presented gives rise to a defense that could reasonably result in a no bill, and to instruct the grand juries accordingly"). As the plurality acknowledges, however, exculpatory evidence showing that the defendant acted in lawful self-defense necessarily overlaps with exculpatory evidence showing that the defendant used excessive force while acting in self-defense. See Commonwealth v. Johnson,
4. Implications of proposed standards. The plurality declares that, unless the defendant is a juvenile, prosecutors have no obligation to instruct the grand jury on the elements of the charged offense and lesser offenses even where there is powerful exculpatory evidence that likely would make a difference in the grand jury's determination to return an indictment for murder rather than manslaughter. Yet, the plurality then "strongly encourage[s] district attorneys making grand jury presentments"
*725to consider instructing the grand jury "on the elements of lesser offenses and/or defenses, where such instructions would be in the interest of justice or would assist the grand jurors to understand the legal significance of mitigating circumstances and defenses." Ante at note 1, quoting Supreme Judicial Court Committee on Grand Jury Proceedings, Final Report to the Justices, at 13 (June 2018) (Grand Jury Report). I, too, strongly encourage district attorneys to provide these instructions, but I do so because I recognize that failing to provide instruction where there is substantial exculpatory evidence may impair the integrity of the grand jury.
**36The plurality's approach -- encouraging prosecutors to provide legal instructions where there is substantial exculpatory and mitigating evidence but not penalizing a failure to do so unless instructions would likely have resulted in a no bill -- is unlikely to have its intended effect. Previously, we had left to another day the question whether an adult defendant indicted for murder could have his or her indictment dismissed due to a lack of legal instructions on mitigating circumstances and defenses. See Grassie,
Moreover, if prosecutors come to the grand jury unprepared to furnish legal instructions, grand jurors will be less able to fulfill their constitutional function, and the risk that a prosecutor will inadvertently misstate the law in answer to a grand juror's question will be greater. And that error itself creates a risk that the indictment will be dismissed. After our decision in Grassie,
**37My conclusion that the integrity of the grand jury proceedings was impaired and that the murder indictment must therefore be dismissed does not mean that the Commonwealth may not again obtain a murder indictment. In the absence of egregious prosecutorial misconduct, which has not been alleged here, the remedy would be a dismissal without prejudice. See O'Dell,
The obligation to provide guidance regarding the legal significance of mitigating or exculpatory evidence imposes only a modest burden on prosecutors. See Walczak,
The burden on prosecutors is even less when one recognizes that a prosecutor should already be prepared to provide appropriate legal instructions if a grand juror were to ask about the legal significance of exculpatory or mitigating evidence. See Noble,
Furthermore, when presenting before the grand jury, the prosecutor need not provide legal guidance "with the same degree of precision that is required when a petit jury [are] instructed on the law" (citation omitted). Walczak,
Nor can it fairly be said that imposing this obligation constitutes an unwarranted intrusion on the discretion of a prosecutor. The grand jury is "an integral part of the *727court," and judges have a "duty to prevent interference with [grand jurors] in the performance of their proper functions, to give them appropriate instructions, and to assist them in the performance of their duties" (citation omitted). Matter of Pappas,
There is little reason to fear that application of my proposed standard will yield a floodgate of motions to dismiss indictments, or will otherwise significantly burden Superior Court judges. No doubt, comparable fears were aired when this court allowed defendants to challenge the sufficiency of the evidence of probable cause in McCarthy,
First, as already noted, a prosecutor's obligation to provide guidance regarding the legal significance of important exculpatory or mitigating evidence is triggered only in that fraction of cases where such evidence exists.
Second, such motions to dismiss are unlikely to prevail. So long as prosecutors provide the grand jury with proper legal guidance where necessary, there is little risk of error warranting dismissal of the indictment. In fact, the risk of error will be diminished if prosecutors initiate such legal instructions themselves rather than wait for a legal question from the grand jury, which they may be less prepared to answer.
Third, in the absence of egregious prosecutorial misconduct, the allowance of a motion to dismiss will result only in the dismissal of the indictment without prejudice; the Commonwealth may seek the same indictment from a different grand jury by presenting the same evidence and furnishing the required legal guidance. See O'Dell,
Finally, the Commonwealth contends that the Superior Court judge improperly relied on Walczak to dismiss the murder indictment because our decision in *728Walczak obligated the Commonwealth to provide legal instructions only in future juvenile murder cases where there was substantial evidence of mitigating circumstances or defenses presented to the grand jury. See Walczak,
In fact, the importance of such legal guidance to the interests of justice was demonstrated in the Walczak case. Without legal instruction, the grand jury indicted the juvenile for murder. See Walczak,
Conclusion. I would hold that the integrity of the grand jury proceedings was impaired by the Commonwealth's failure to provide legal instructions concerning self-defense and the excessive use of force in self-defense. Because the grand jury's decision to return an indictment for murder was "probably influenced" by the absence of this legal guidance, see Mayfield,
I agree with the distinction between mitigating and exculpatory evidence set forth in Justice Budd's opinion -- the former term refers to evidence that, if believed, could reduce the gravity of the offense, while the latter refers to evidence that, if believed, could absolve the defendant from guilt altogether. See ante at note 2.
Unless, of course the grand jury request further instruction.
I recognize, as does the plurality, see ante at ----, 130 N.E.3d 696, that the statutory form of an indictment for murder, G. L. c. 277, § 79, is sufficient to charge murder in the first degree under any theory, and "encompasses lesser included offenses such as murder in the second degree and manslaughter." Commonwealth v. DePace,
The plurality does not address whether it would have impaired the integrity of the grand jury for the prosecutor in this case not to present the above-described evidence of the victim's abuse of the defendant. The plurality therefore implicitly assumes that legal instructions would not have been necessary even if the substantial evidence of self-defense and excessive use of force in self-defense was required to be presented to the grand jury.
I note, as the court did in Commonwealth v. Walczak,
The plurality contends that the language in Commonwealth v. Mayfield,
It is perhaps for this reason that we have always included mitigating evidence within the over-all rubric of exculpatory evidence, and imposed obligations on the prosecutor to reveal both. Cf. Commonwealth v. Bly,
The plurality acknowledges that such evidence "could have been seen as exculpatory," but goes on to conclude that the grand jury's decision to indict the defendant was probably not affected by a lack of instructions because the "exculpatory evidence was weakened substantially by the contrasting evidence of the defendant's own violent temper and controlling behavior toward -- and physical abuse of -- the victim." Ante at ----, ----, 130 N.E.3d 696. Although evidence of the defendant's previous actions may have been relevant to the grand jury's probable cause determination, the evidence of self-defense presented to the grand jury was significant enough that the grand jury should have been allowed to evaluate it in light of the law governing self-defense.
The plurality also cites to out-of-State cases to argue that a complete exoneration was not likely here because "[t]he mere existence of some evidence that could suggest self-defense does not negate probable cause." Ante at ----, 130 N.E.3d 696, quoting Yousefian v. Glendale,
According to the report, two out of twelve offices provide individual instructions as to the elements of the offense charged in every case. Supreme Judicial Court Committee on Grand Jury Proceedings, Final Report to the Justices, at 33 (June 2018) (Grand Jury Report). Four offices describe the elements of common crimes at the outset of the grand jury's term; two rely on the language of the indictment to describe the elements; two provide instructions only when required under Walczak,
I note that the argument in my concurring opinion in Walczak -- that legal instruction should be required where there is evidence of mitigating circumstances that is so substantial that its omission would impair the integrity of the grand jury, regardless of whether the defendant is a juvenile or an adult -- was joined by two other Justices, and that a fourth Justice, Justice Lenk, declined to address whether the holding in Walczak should extend to adult murder cases. Walczak,
Reference
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- COMMONWEALTH v. Stephanie A. FERNANDES.
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