Town of Sudbury v. Massachusetts Bay Transportation Authority

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by Jessica G. Kelly

Case Focus

The long-standing “prior public use doctrine”—a common law doctrine which arose in the 1800s—states that “public lands devoted to one public use cannot be diverted to another inconsistent public use without plain and explicit legislation authorizing the diversion.” Town of Sudbury v. Massachusetts Bay Transportation Authority, 485 Mass. 774, 775 (2020) (Sudbury).  In a much anticipated decision, the Supreme Judicial Court (SJC) held that the prior public use doctrine did not apply to “diversion of land devoted to one public use to an inconsistent private use.” In Sudbury, the SJC declined to extend the doctrine to land transactions between public agencies and private entities. 

As the defendants in the underlying case, the Massachusetts Bay Transportation Authority (MBTA) and NSTAR Electric Company d/b/a Eversource Energy (Eversource) urged, the SJC reasoned that application of the prior public use doctrine to public to private transactions would have broad, adverse implications for real estate and housing development in the Commonwealth, including creating significant uncertainty in developments that benefit the public.

Background

The case began in 2017, after the MBTA entered into an option agreement with Eversource to install an electric transmission line underneath approximately nine miles of a former MBTA railroad right of way (ROW), a portion of which traveled through the Town of Sudbury (Town). The MBTA originally acquired the ROW through a railroad company indenture and through eminent domain for purposes of mass transportation services. The ROW had not, however, been used as a railroad for over forty years. The option agreement would generate $9.3 million for the MBTA over twenty years. 

The Town challenged the agreement as violating the prior public use doctrine, arguing that the ROW could not be changed to an electrical utility use absent legislative approval. The Town took the position that Eversource’s proposed utility line was actually a subsequent public use, because utilities have a public purpose and, therefore, fell within the doctrine.

In granting the defendants’ Motion to Dismiss, the Land Court (Piper, J.) concluded that the Town’s standing was on the “precipice of adequacy,” but that Eversource was not a public entity, the proposed use at issue was a subsequent private use, and, therefore, the prior public use doctrine did not apply.

The Court’s Analysis

The SJC affirmed. The SJC first held that the Town had standing based on the limited portions of publicly-owned land abutting or within the ROW, but only to the extent the Town had a legally cognizable interest in the ROW remaining in its “current, disused, and overgrown condition.”

The SJC next addressed whether the prior public use doctrine applied to the option agreement. The Town argued that the Land Court erred because (1) even though Eversource is a private corporation, the proposed use of the ROW for electrical transmission lines is a public use; and (2) the Land Court’s narrow reading of the prior public use doctrine defeats the purpose of protecting “public land acquired for a particular public use” from being diverted to a different use without legislative approval.

The SJC agreed with the Land Court that, “the proposed use of the MBTA ROW to construct and operate underground transmission lines is not a public use.” The Court focused on the character of the use, noting that Eversource is privately owned and operated, will pay taxes and can earn a profit on the project. That Eversource is subject to public regulation and oversight did not convert the privately owned utility into a public entity.    

The SJC also agreed with the Land Court that the prior public use doctrine could not be extended to protect public land from any subsequent inconsistent use. The Court explained that the doctrine originally developed, not just to protect public land, but to resolve disputes over inter-governmental transfers between public agencies, political subdivisions and/or state-sponsored corporations that may have conflicting claims to authority over the use of public land, especially parkland. As examples, the SJC cited to a dispute between a town and State agency over whether property acquired for parkland could be converted to a transportation use, Brookline v. Metropolitan Dist. Comm’n, 357 Mass. 435, 435 (1970), and a dispute between a town and county commissioners concerning the relocation of a public way over land previously appropriated for school and library use, Needham v. County Comm’rs of Norfolk, 324 Mass. 293, 295-297 (1940), among others. 

The SJC concluded that the “doctrine of prior public use prevents the absurd result of public entities, each with the authority to exercise eminent domain, taking and retaking the same property from each other” in perpetuity. Noting that the prior public use doctrine had never been applied to prevent a subsequent private use by a private entity, the SJC expressly declined to extend the doctrine to such circumstances. The Court also cautioned that requiring legislative approval for every diversion of land from public to private use “would lead to numerous deleterious consequences,” such as adding significant uncertainty to development in the Commonwealth and making important collaborations between public and private entities time- and cost-prohibitive.

Implications

The SJC’s decision in Sudbury was a relief to real estate and utility industries, among others. The SJC appeared persuaded by the argument that public/private development projects rely on the ability of public agencies to divert public land to private entities for private uses, and that many such developments further public purposes such as clean energy, public housing, and affordable child care facilities, and generate significant income for the Commonwealth.

It is important to note that the Sudbury decision does not open the floodgates to unfettered transfers of public lands, but simply eliminates the need for legislative approval for those transfers to private entities for private uses. Aggrieved parties may still challenge projects through local zoning, site plan review, utility, environmental, building and conservation procedures. Indeed, the Town of Sudbury’s appeal of the Energy Facilities Siting Board’s decision approving Eversource’s transmission line is currently pending before the SJC, No. SJC-12997. 

Jessica Gray Kelly is a partner at the Boston office of Freeman Mathis & Gary, LLP.  She represents clients in complex commercial litigation, land use disputes, and professional liability matters. She also advises clients on risk reduction and management and dispute resolution. 


Three Years or You’re Out: SJC Limits MassHealth Estate Recovery Claims

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by Meredith A. Fine

Case Focus

In In the Matter of the Estate of Kendall, 486 Mass. 522 (2020) (“Kendall”), the Supreme Judicial Court (“’SJC”) held that MassHealth has three years from a beneficiary’s death to file its claims for reimbursement on estates or the claim is barred.

Background

MassHealth filed a claim against the estate of Jacqueline Ann Kendall more than three years after Ms. Kendall died intestate on August 7, 2014.  At the time of her death, Ms. Kendall owned a one half interest in a house and had received $104,738.23 in MassHealth benefits, which payments were subject to recovery by MassHealth from her estate.

More than three years after her death, on May 24, 2018, an heir filed a Petition for Late and Limited Testacy in the Probate & Family Court, seeking appointment as the personal representative. As required by statute, a copy of the probate petition was mailed to the Division of Medical Assistance (the “Division”), the state Medicaid agency that administers the MassHealth program. MassHealth notified counsel for the probate petitioner it would file a notice of claim in the estate. The estate rejected the claim as untimely.

MassHealth filed objections asserting its rights to present and recover claims under the Massachusetts Uniform Probate Code, G. L. c. 190B (the “Probate Code”), even after the three-year bar on creditor claims established under § 3-108 (4), and the one-year creditor filing deadline established under § 3-803 (a). MassHealth also filed a petition for formal probate requesting the appointment of a public administrator as the personal representative so that the MassHealth claim could be paid.

In April 2019, after a judge of the Probate and Family Court certified a series of questions to the Massachusetts Appeals Court, the SJC transferred the case on its own initiative. The National Academy of Elder Law Attorneys, joined by the Real Estate Bar Association, filed an amicus brief in support of the position taken by Ms. Kendall’s estate.

The SJC’s Decision

Justice Scott L. Kafker, writing for a unanimous Court, held that the Probate Code § 3-108 (4) prohibits the filing of any claims other than expenses of administration in estates after three years from the date of death, and also prohibits the personal representative from paying such late presented claims. In its 21-page decision, the SJC first reviewed the statutory background of the Probate Code and the MassHealth Estate Recovery program and determined that although the Legislature provided MassHealth with various advantages over other creditors, it did not exempt MassHealth from the three-year “ultimate time limit” on the filing and payment of all creditors’ claims against estates established in § 3- 108 of the Probate Code. Kendall, 486 Mass. at 523.

‘Plain and clear language’

In explicating the statutory scheme under well-established principles of statutory construction, the SJC’s 21-page decision emphasized that the three-year time limit is critical to the Commonwealth’s longstanding policy of “promoting a speedy and efficient system for liquidating the estate of the decedent and making distribution to the decedent’s successors” that is embodied in G. L. c. 190B, § 1-102 (b) (3)Kendall, 486 Mass. at 526.

The Court reasoned that the Legislature knew how to exempt MassHealth from requirements that applied to other creditors, but specifically did not include an exemption for the Division from the three-year limit on creditors’ claims set forth in § 3-108 of the Probate Code which “functions essentially as a statute of repose” and has “the effect of placing an ‘absolute time limit’ on liability.” Kendall, 486 Mass. at 528 (“Where the Legislature intended for differential treatment for MassHealth in the probate process, it did so expressly.”).

The Court continued, “The three-year ultimate time limit is a critical provision ensuring the orderly settlement and liquidation of estates in a relatively expeditious manner. We conclude that if the Legislature intended to create an exception for MassHealth to this ultimate time limit, it would have done so expressly in that particular provision.”  Id. Indeed, the language of the Probate Code establishing the ultimate time limit and limiting the powers of the personal representatives in late and limited testacy is “plain and clear.”  Id.

The Court gave significance to the fact that creditors, including MassHealth, have the power to open estates in order to preserve claims, “provided that the petition for an appointment of a personal representative was filed prior to the expiration of the ‘ultimate time limit’ of § 3-108.” Kendall, 486 Mass. At 531. However, the Court rejected MassHealth’s argument that limiting the time to file claims would violate federal Medicaid rules. “Nothing in the Federal law requires, as MassHealth claims, that MassHealth go beyond the bounds of State law to recover the maximum possible extent of its benefits.” Id. at 533 (citing to Daley v. Secretary of the Executive Office of Health & Human Servs., 477 Mass. 188, 204 n. 15 (2017), describing how state has limited right to recover probate assets consistent with federal Medicaid law).

The Court also acknowledged but dismissed MassHealth’s argument about unfairly shifting an undue burden to the Division to track the status and receipt of notice of the deaths of beneficiaries who are not in long-term care facilities. The Court observed that most estates will be settled quickly, and that MassHealth with due diligence should be aware when benefits to its clients cease and can cross-match this information with public death records or undertake direct inquiry to ascertain a beneficiary’s status as MassHealth’s Estate Recovery Unit already takes steps to do.

In addressing MassHealth’s argument that heirs would wait out the three-year period to avoid reimbursing MassHealth, the Court pointed out that the Legislature had already examined that possibility and deemed the scenario unlikely and the associated risk low. “The Legislature’s risk assessment and overall cost-benefit analysis is entitled to respect.” Id. (quoting from official comment to G. L. c. 190B § 3-803).

Conclusion

The SJC has answered:  The Massachusetts Uniform Probate Code is clear that more than three years from the date of death, a personal representative has the power only to sign title documents and pay estate administration expenses, and MassHealth is not exempt from the three-year “ultimate time limit” for bringing creditors’ claims against estates. Indeed, if MassHealth’s arguments prevailed, estates would never close.  And, personal representatives of estates would never be freed from their duties and personal liability, and the estate’s interest in assets, such as real estate, would never be fully released. In Kendall, the Court affirmed that the obligation of timely filing estate claims rests squarely on the shoulders of the creditor, in this case MassHealth, as the Legislature intended. At some point, estates must close.

Meredith A. Fine, Esq., has offices in Gloucester and Ipswich, where her practice focuses on real estate, litigation, and business counseling. She can be reached through her website, capeannlegal.com. Winning the Kendall case was the highlight of her career to date but not as exciting as the NY Mets winning the World Series in 1969.


Giver Gants: A Tribute to Chief Justice Ralph D. Gants

by Hon. Karen F. Green

Voice of the Judiciary

[1]When I think of Ralph Gants, I think “giver.” Ralph made this world a better place by giving everything he had to everyone and everything he touched. From my perspective, that’s his lasting legacy.

Ralph’s predisposition to give all that he had was reflected in his impressive resume. I suspect that you are familiar with that, so I would like to focus on the man I knew behind the resume. 

I knew Ralph both personally and professionally for more than thirty-five years. Our personal friendship remained constant as our professional paths repeatedly crossed.

We first met in 1984, when we were both working for Bill Weld as Assistant U.S. Attorneys. Ralph was handling a high-profile arson case. He also had fallen hopelessly in love with my best friend, Debbie Ramirez. Unfortunately, Debbie had not yet been bitten by the same bug. Ralph enlisted my assistance in helping Debbie to appreciate his finer qualities. Suffice it to say that he did not need much. Ever a zealous advocate, Ralph gave it his all, Debbie fell hard, and my husband, Mark, and I smiled widely as the two joyously wed three years later.  

Mark and I had children and Debbie and Ralph had children, first, Rachel, and then, Michael. Life whirred as the four of us sought mightily to balance our personal and professional lives. Debbie, our friend, Joy Fallon, and I started a tradition of walking on Saturday mornings and sharing birthdays together. I still fondly remember a 1993 call I received from Ralph suggesting that I take his wife away. It’s not nearly as bad as it sounds. Rachel was about a month old and the ever-thoughtful Ralph thought Debbie could use a long girls’ weekend for her birthday. Debbie, Joy and I headed to Florida, where we did nothing but enjoy each other’s company, while Ralph assumed full responsibility for Rachel.

Eventually, each of us left the U.S. Attorney’s Office. Debbie entered academia and Ralph and I went to the DPS, that is, the “dreaded private sector.” I got to work with Ralph again, first as a fellow member of Governor-Elect Weld’s transition team, and later, defending corporate clients in federal criminal investigations. I was struck by his intellect, tenacity, and pragmatism. When I wrestled with a particularly thorny problem, I called Ralph, we talked, and the path forward seemed obvious. It was never about Ralph and always about solving the problem.

Debbie, Joy and I continued to walk on Saturdays whenever we could. In 1997, Mark was nominated to the Land Court. He requested Ralph’s help in the confirmation process.  As always, Ralph immediately stepped up to the plate. Several months later, Ralph’s nomination to the Superior Court was confirmed. We celebrated with him and Debbie then, when Ralph was appointed to the SJC in 2008, and again when he was named Chief Justice in 2014. With family and friends, we also cheered when Ralph threw the first pitch at Fenway Park after his swearing in.

Fast forward more years. After Mark’s 2017 appointment as Chief of the Appeals Court, he and Ralph worked closely together on a myriad of challenges, including the pandemic confronting the court system. I continued to admire Ralph’s capacity to dig in and to solve whatever problem came his way. And Debbie and I talked, on our walks, about how we never would have predicted, when we were still in law school, that life would turn out the way it did. 

Others have already described Ralph, now affectionately known as RDG, as a brilliant jurist and empathetic leader. He certainly was. The Ralph I knew was a leader who listened carefully and put the interests of others before his own. He had high standards that he applied most rigorously to himself. He cared deeply about the rule of law and equal access to justice. He was a judge’s judge who wrote clear and concise opinions on significant legal issues that others could follow. He got things done by working hard and collaboratively with others. He worked to provide equal access to justice right up until the moment he died.

For me, though, Ralph’s most endearing quality was the unconditional love he gave to his family while shouldering all of his other responsibilities. One of the best measures of a man’s character is the way he treats those closest to him. When his own Dad died swimming at age 90, Ralph immediately flew to New York to take care of his mother. He then personally moved her and all of her belongings to Massachusetts. When Helaine’s health declined, Ralph visited her nearly every weekend at the assisted living facility he found for her. At Helaine’s memorial service, Ralph lovingly delivered a tribute to her that made me cry.

Together with Debbie, Ralph also saw his children through serious medical challenges when they were younger. By his daily example, he showed Rachel and Michael what it means to be a “giver” rather than a “taker.” Today, both are paying it forward by giving their best to others.  Rachel spent the past summer at the Harvard Legal Aid Bureau assisting tenants threatened with evictions and took the Bar exam in October. Michael returned to Massachusetts from Stanford Business School in September and, like his father, is now focused on helping his mother.  

Ralph was an equally thoughtful and caring friend. He, Debbie, Mark, and I shared many happy moments, as well as a few sad ones, over the years. We were fellow travelers in life. We traveled along the same roads not only to judges’ conferences, but also to swim at the beach, to ski in New Hampshire (including during one very scary snowstorm), to bicycle in Italy, and to learn about civil and human rights in places like Israel and Alabama. Ralph took the time to get to know our parents and children, to share in our traditions and celebrations, and to provide a listening ear and comforting words when they were most needed. Whenever I called to request his help, he quickly responded, no matter what else he had on his plate.

And Ralph made me laugh. When Ralph was still in the DPS, I laughed when he delivered an impassioned closing argument in defense of Sweeney Todd at a mock trial at a Boston theater. I recall being struck then by the obvious care that Ralph had devoted to crafting Todd’s defense and the skill with which he had delivered his remarks. Ralph cracked a joke as I nervously joined him in a waiting room outside the White House Counsel’s Office in 2003 that instantly put me at ease. And, in 2013, he sang and danced with a tambourine so unabashedly before all of the patrons at an Italian restaurant that I laughed so hard, I cried. (No, Ralph was not impaired at the time, he rarely drank; he was just once again giving it his all.)

Like many others, I will miss Ralph’s friendship and unfailing kindness, as well as his keen intellect and extraordinary leadership. To paraphrase the poet, Mary Oliver, Ralph died “not simply having visited this world,” but “hav[ing] made of [his] life something particular, and real.” 

Let us honor his memory by continuing to be “givers,” rather than “takers” and by continuing to ensure equal access to justice. And just as Ralph would, let us hold ever close to us the people we love.

[1] “These remarks were originally given orally by Judge Karen F. Green on November 10, 2020.  They have been edited minimally for formatting purposes.

Karen F. Green is an Associate Justice of the Massachusetts Superior Court. She handles serious felonies in criminal trial sessions and complex civil disputes in the Business Litigation-1 Session. She also is a member of the Executive Board of the American Bar Association’s Center for Human Rights, the Advisory Board of UMass Law School’s Justice Bridge, and a Criminal Justice Task Force chaired by Professor Deborah Ramirez of Northeastern Law School. Prior to her 2016 appointment to the bench, Judge Green was a litigation partner at WilmerHale.


First Degree Murder Appeals: From Docket to Disposition

by Francis V. Kenneally

Voice of Judiciary

Managing the first degree murder caseload of the Supreme Judicial Court is a challenge – interesting and usually enjoyable, but definitely a challenge. For reasons tied to the cases of Nicola Sacco and Bartolomeo Vanzetti, which began almost 100 years ago, appeals from convictions of first degree murder are different from any other type of case, criminal or civil.  Moreover, both because of these differences and the seriousness of the crime and sentence involved, there are a number of different players, individual and institutional, that have strong interests in how these appeals are handled. The following discusses the unique aspects of first degree murder appeals, how they have contributed to a backlog of pending first degree murder appeals in the full court, and the court’s recent efforts to address some of the historic issues affecting its first degree murder docket.

Appeals from first degree murder convictions are entered directly in the SJC; in contrast to almost all other types of appeals, the Appeals Court does not have concurrent jurisdiction with the SJC to hear first degree murder appeals. See G. L. c. 211A, § 10. The statute governing appellate review of first degree murder convictions, G. L. c. 278, § 33E, directs the SJC to consider the “whole case,” and – unlike virtually all other appeals – review is not limited to issues that have been properly preserved. Rather, § 33E provides that “the court may, if satisfied that the verdict was against the law or the weight of the evidence, or because of newly discovered evidence, or for any other reason that justice may require (a) order a new trial or (b) direct the entry of a verdict of a lesser degree of guilt.” See, e.g., Commonwealth v. Dowds, 483 Mass. 498, 513 (2019) (In the unique circumstances of this case, a “verdict of murder in the second degree is more consonant with justice than is a verdict of murder in the first degree.”).

This special, fulsome “33E review,” as it is called, has led the court to schedule longer oral arguments than is regularly allowed in any other appeal – twenty minutes per side versus fifteen. And it is this statutory duty to review the whole case combined with other provisions in 33E, particularly those governing motions for a new trial, that makes managing the first degree murder docket so challenging. Apart from any other post-conviction motion for a new trial, 33E draws a critical distinction between motions filed before the direct appeal is finally decided by entry of the appellate rescript 28 days after the appellate decision is released, and motions filed post-rescript. As to new trial motions filed before the appellate rescript, the motion must be filed with the Supreme Judicial Court for the Commonwealth, which, with rare exception, remands the motion to the Superior Court for disposition. The goal – certainly of defense counsel – is to have any appeal from the denial of such a motion in the Superior Court joined with the direct appeal of the underlying conviction because, if it is, the combined appeals both get the benefit of 33E review. And even if the appeals are not combined, an appeal from a denial of a new trial motion that is filed before entry of the appellate rescript in the direct appeal receives direct review by the full court. Commonwealth v. Raymond, 450 Mass. 729, 729-30 n. 1 (2008).

The landscape, however, changes dramatically if the motion for a new trial is filed after the full court decides the defendant’s direct appeal and the appellate rescript enters. The motion must then be filed in the Superior Court, and if denied, the defendant must apply for leave from a single justice of the Supreme Judicial Court to allow review of the Superior Court’s denial by the full court. A defendant’s desire to litigate fully a motion for a new trial before a decision on the direct appeal is understandable and borne out by the statistics on “so-called” gatekeeper petitions.  From 2014 to 2018, 109 gatekeeper petitions were filed in the Supreme Judicial Court for Suffolk County (the county court), and were reviewed by a single justice.  Of these, 97 were denied, 5 were allowed to be reported for review to the full court, 4 were dismissed, and 3 were withdrawn.  If the single justice denies a gatekeeper petition, there is no appellate review of the denial.  Commonwealth v. Gunter, 456 Mass. 1017, 1017 (2010).

Working together, these statutory provisions can cause lengthy delays in the court’s consideration of first degree murder appeals. For obvious reasons, defendants do not want their direct appeals heard before thoroughly exploring the possibility of filing and litigating motions for a new trial not only to preserve the right of appeal from any denial (and thus avoid the gatekeeper) but also to ensure 33E review. So, historically, at the request of defendants, the court has stayed direct appeals virtually indefinitely while the new trial motion is litigated in the Superior Court. Litigation in the Superior Court may take years for a variety of reasons, including (among others): the trial judge may have retired and reassignment is necessary; Superior Court judges are working to capacity on their current dockets; the parties battle over post-conviction discovery before the motion is finally presented and heard; and, because of some recent appellate decisions, there appears to be an increasing number of evidentiary hearings, which results in scheduling challenges and delays to accommodate the calendars of witnesses – expert witnesses in particular – as well as judges and counsel. As a result, appeals have been stayed for 5, 10, and at times more than 15 years.

Another cause of delay is the frequency of motions for appointment of new counsel filed by defendants or motions to withdraw filed by counsel; not infrequently, these occur multiple times in a single appeal. The Committee for Public Counsel Services must then find new counsel from its limited list of attorneys qualified to handle first degree murder appeals. Each new appointment of counsel, some many years after entry of the appeal, slows the progress of the appeal because new counsel must, at a minimum, become acquainted with a new client, meet with predecessor appellate counsel, speak with trial counsel, review voluminous files and transcripts, and decide whether to file a motion for a new trial.

The confluence of these factors led the SJC, in April 2018, to examine its first degree murder docket, identify areas of concern, and address some of the docket’s unique, systemic problems. The murder docket at the time had 129 pending appeals with the oldest of these entered in 1996. The caseload consisted of 22 appeals that were entered from 1996 to 2010, 60 from 2011 to 2015, and 47 from 2016 to 2018. Undue delay, in some but not all of these appeals, thwarts the judiciary’s obligation to provide justice fairly and efficiently: if there is error requiring a new trial, delay may jeopardize the Commonwealth’s ability to retry the defendant; delay undermines the public perception of the administration of justice, especially by the families of murder victims; and delay has caused defendants to question the fairness of a process that takes so long.

To that end, the Justices appointed retired Supreme Judicial Court Justice Margot Botsford as a special master in April 2018 to help manage the first degree murder docket and devise strategies to resolve long-standing problems. Through regular status conferences with attorneys, the special master implemented individualized case management plans in the oldest cases. These status conferences focused on: (1) the oldest murder cases; (2) newer murder cases; (3) cases in which counsel have appearances in 5 or more murder appeals; and (4) cases where the defendant’s presence was required. At this writing, the special master has held over 170 status conferences.

As part of the case management plan, the full court clerk’s office reviews every Superior Court docket where a motion is pending after remand and sends a monthly report to the Chief Justice of the Superior Court. The report includes information about motions in need of assignment, due dates for the Commonwealth’s responses, scheduled evidentiary hearings, pending motions for a new trial and for discovery, and any motions currently under advisement.

In the meantime, the full court explored the possibility of establishing special time standards in first degree murder appeals by way of a standing order. Before doing so, Chief Justice Gants and Justice Gaziano met in January 2019 with a group of stakeholders that included the special master, defense attorneys, and assistant district attorneys. This meeting provided an opportunity to discuss general concerns about the full court’s first degree murder docket and specific concerns about the adoption of a standing order for the docket.

Following this meeting, in April 2019, the court published a proposed standing order governing first degree murder appeals with a request for comment. After consideration of comments received from the bar and the judiciary, the proposed standing order was revised and adopted by the full court on August 6 with an effective date of September 4, 2019.  See https://www.mass.gov/files/documents/2019/08/07/sjc-standing-order-governing-first-degree-murder-appeals-effective-september-2019.pdf

The standing order imposes time standards designed to remedy undue delay.  Motions for a new trial must be filed “as soon as reasonably practicable but no later than 18 months after entry of the direct appeal.” However, the special master has broad discretion to allow extensions “on a substantial showing of need.” A timely filed motion guarantees that both the direct appeal and the appeal from any denial of the motion for a new trial will be considered together. If a motion for a new trial is not timely filed, there is no longer a presumption, formal or informal, that review of any denial of that motion for a new trial will be considered at the same time as the direct appeal.

To help identify any transcription issues at an early stage of the appeal, the defendant is required to report whether all transcripts necessary for appellate review have been filed with the clerk within 4 months after entry of the appeal. Status conferences, which had previously been scheduled on an ad hoc basis, must be scheduled 6, 9, 12, and 15 months after entry of the direct appeal. At the first status conference, and if necessary thereafter, the special master will discuss with counsel the likelihood that the defendant will be filing a motion for a new trial, and if so, discuss the scheduling of that motion – all to ensure that absent compelling circumstances, any motion will be filed within 18 months of the entry of the direct appeal.  Finally, where a motion to withdraw is allowed and new counsel is appointed, deadlines previously imposed remain in effect despite the change in counsel.  The special master may, however, adjust the deadlines for status conferences, briefs, and new trial motions for good cause.

Whether these case management innovations lead to lasting changes to the full court’s first degree murder docket remains to be seen. It is clear, though, that it will take the concerted effort of many to balance the interests of all stakeholders and promote efficiency without sacrificing fairness.

Francis V. Kenneally is clerk of the Supreme Judicial Court for the Commonwealth.  He serves on the SJC’s Standing Advisory Committees on the Rules of Civil Procedure and on the Rules of Appellate Procedure, and served as co-chair of the SJC’s Appellate Pro Bono Committee.


Categorically Counterintuitive: Pre-Trial Imprisonment Based on Dangerousness

by Reyna M. Ramirez

Case Focus

Dangerousness hearings have huge stakes for defendants: if the Commonwealth proves by clear and convincing evidence that there are no conditions that can assure the safety of the community, a defendant can be incarcerated for up to 120 days in a district court case, or 180 days in a Superior Court case. G.L. c. 276, § 58A. However, pretrial detention based on “dangerousness” is counter-balanced by the presumption of innocence that undergirds our entire criminal justice system, and criminal defendants have recently mounted successful challenges to certain applications of the statute.  This article reviews the challenges, the Supreme Judicial Court’s rulings, and responsive proposed legislation.

“Dangerousness” Hearings Under G.L. c. 276, § 58A

Under General Laws c. 276, § 58A, a court may order pretrial detention of a criminal defendant if the prosecution shows, by clear and convincing evidence, that no conditions of release will reasonably assure the safety of any other person or the community. But the Commonwealth can seek such pretrial detention only if the defendant is charged with: (a) one of several predicate enumerated crimes; (b) a misdemeanor or felony that involves “abuse” (the “abuse clause” of § 58A); (c) a felony that has as an element the use, attempted use, or threatened use of physical force against another (the “force clause”); or (d) a felony that, by its nature, involves a substantial risk that physical force against the person of another may result (the “residual clause”).

The abuse clause defines “abuse” with reference to the definition of abuse contained in Chapter 209A, that is, where the charged crime is against the defendant’s “family or household member,” including somebody who is or has been in a substantive dating or engagement relationship with the defendant, and involves: 1) attempting or causing physical harm; 2) putting others in fear of imminent serious physical harm; or 3) causing another to participate in sexual relations involuntarily through force, threat, or duress (i.e., rape).

The force clause focuses on whether the elements of the charged offense involve the use of force. A “categorical approach” is used to determine whether a non-enumerated felony qualifies as a predicate under the force clause. Commonwealth v. Young, 453 Mass. 707, 712 (2009). This approach assesses the elements of the felony “independent of the particular facts giving rise to a complaint or indictment.” Id. In other words, to determine whether a charge qualifies as a predicate under the force clause, the court asks not whether the defendant’s conduct involved the use of force, but rather whether the elements of the crime necessarily always involve the use of force.

Finally, the residual clause asks whether a felony “by its nature, involves a substantial risk that physical force against the person of another may result.” G. L. c. 276, § 58A.

Commonwealth v. Barnes / Scione v. Commonwealth

In January 2019, the Supreme Judicial Court ruled on the consolidated appeals of David Barnes and William Scione, each of whom had been detained following a finding of dangerousness under § 58A. Scione v. Commonwealth, 481 Mass. 225 (2019). Barnes was charged with statutory rape in violation of G.L. c. 265, § 23A, based on an allegation that he had sexual intercourse with a 15-year-old girl at a hotel after the two met online. Scione, on the other hand, was charged with using an incendiary device in violation of G.L. c. 266, § 102A, based on an allegation that he created a homemade improvised explosive device and placed it at the bottom of the driveway of his former girlfriend’s home (the record indicated that the device could have caused serious harm if it had not failed to explode). Neither of the charged crimes is an enumerated predicate charge under § 58A.

The SJC first ruled that statutory rape under § 23A is not a predicate charge under the force clause. Using the required categorical approach to analyze the elements of statutory rape under § 23A, the SJC observed that the crime requires proof that: (1) the defendant had sexual or unnatural intercourse with (2) a child between 12 and 16 years old where (3) there was a greater than 10-year age difference between the defendant and the child. Thus, force is not a required element of proof for statutory rape. The SJC noted that forcible rape of a child is its own crime under G.L. c. 265, § 22A, and that“[t]he fact that the Legislature saw fit to create two separate statutory rape offenses – one that includes the use of force and one that does not” – supported its decision to find there is no force element with respect to § 23A. Scione, 481 Mass. at 230. Justice Lowy wrote a separate concurrence “because such a counterintuitive result requires further discussion and consideration by the Legislature,” signaling to the Legislature to fix what he termed an “unfortunate” decision mandated “under the law as currently written.” Id. at 239.

The SJC next ruled that statutory rape under § 23A cannot be a predicate charge under the residual clause, because the residual clause is unconstitutionally vague. Scione, 481 Mass. at 230. To reach this conclusion, the SJC relied on the decisions of the United States Supreme Court in Johnson v. United States, 576 U.S. —, 135 S. Ct. 2551 (2015) and Sessions v. Dimaya, 548 U.S. —, 138 S. Ct. 1204 (2018) which, respectively, held that similarly-worded residual clauses in the federal Armed Career Criminal Act and the federal statutory definition of “crime of violence” were each vague because they failed to set out how to determine which crimes triggered the statute’s application. Noting that it had already followed Johnson in interpreting the Massachusetts Armed Career Criminal Act, see Commonwealth v. Beal, 474 Mass. 341 (2016), the SJC ruled that the residual clause of § 58A is unconstitutionally vague under Article 12 of the Massachusetts Declaration of Rights and, therefore, cannot be used to justify dangerousness proceedings in any case.

Turning to Scione’s case, the Court analyzed whether his charge of using an incendiary device under § 102A could trigger a dangerousness hearing under the abuse clause (which, the Commonwealth argued, applied because the alleged victim had previously been in a substantive dating relationship with the defendant). The Court held that, unlike the force clause, the abuse clause does not require use of the categorical approach. The SJC reached this conclusion in part because only one Massachusetts statutory crime—assault and battery on a household member (G.L. c. 265, § 13M)—explicitly includes abuse as an element. Id. at 236. Using statutory interpretation principles to presume that the Legislature intended to act logically, the Court opined that, “had the Legislature intended that only one crime be captured under the abuse clause,” it would have enumerated that crime rather than enact a separate “abuse” clause. Id. Instead, the SJC found, abuse “is best described as a characterization of an action or actions” and, therefore, a judge can look at the details of the defendant’s underlying conduct to determine whether the charge involves abuse. Id. Applying those principles to Scione, the SJC found that his alleged acts of placing a potentially-harmful IED on the property of his former girlfriend indeed involved abuse.

Commonwealth v. Vieira

The SJC’s decision in Barnes paved the way for its October 2019 decision in Commonwealth v. Vieira. 483 Mass. 417 (2019). There, the defendant was charged with indecent assault and battery on a child under 14 years old, in violation of G.L. c. 265, § 13B, based on allegations that he had engaged in sexual activity with a thirteen-year old boy he met online.  Indecent assault and battery on a child under 14 is not an enumerated charge under § 58A, and the Commonwealth sought to treat it as a predicate charge under the force clause.

At the outset of its opinion, the SJC reminded practitioners that “pretrial detention is a measure of last resort,” and that the presumption of innocence always applies. Applying the categorical approach, the SJC observed that indecent assault and battery on a child under § 13B does not have statutory elements, but rather incorporates the common law definition of battery, including to the extent that an assault is simply a threatened or attempted battery. The SJC explained that, at common law, there were three types of battery: (1) harmful battery, involving touching with such violence that bodily harm was likely to result; (2) reckless battery, involving a wanton, willful, or reckless act that results in injury; and (3) offensive battery, requiring “only that the defendant, without justification or excuse, intentionally touched the victim, and that the touching, however slight, occurred without the victim’s consent.” Although the first two types, the SJC found, necessarily involve the use of physical force, offensive battery does not. And, because a court evaluating bail and pretrial detention does not look to whether the charged conduct involves harmful, reckless, or offensive battery, application of the categorical approach means that a statutory crime incorporating all three types of battery does not necessarily always include force. Applying those principles, the SJC concluded that indecent assault and battery under § 14B is not a predicate charge under the force clause of § 58A.

Looking Forward

Two days after the SJC’s decision in Barnes, Governor Charles Baker submitted House Bill No. 66, An Act to Protect the Commonwealth from Dangerous Persons, which sought to change the dangerousness statute to include sex offenses involving children by adding those crimes – along with others – to § 58A’s list of enumerated crimes. This bill retains the force clause but completely removes the unconstitutional residual clause. Adding more enumerated crimes would have the effect of subjecting more individuals to dangerousness hearings and pre-trial detention. However, this approach does not address the issue that battery may not always include force, but commonly does. See, e.g., G.L. c. 265, § 13A (assault and battery). Instead, this legislation only addresses the specifics of the cases the SJC has adjudicated and misses an opportunity to draft legislation that looks forward and targets only the most dangerous of offenses and individuals.

Reyna M. Ramirez is a Partner at Ramirez and Sunnerberg, a criminal defense and prisoners’ rights practice on the South Shore. She is also an Associate at the firm J. W. Carney, Jr. and Associates, where she litigates complex criminal defense cases.


Boston Housing Authority v. Y.A., 482 Mass. 240 (2019): SJC Clarifies VAWA Defenses in Eviction Cases

by Julia Devanthery, Dan Daley, and Lisabeth Jorgensen

Case Focus

Boston Housing Authority v. Y.A., 482 Mass. 240 (2019), is the most recent guidance from the Supreme Judicial Court concerning the application of the federal Violence Against Women Act (VAWA), 34 U.S.C. §§ 12291 et seq., to summary process (eviction) cases. Among other safeguards provided under VAWA, the statute protects victims of domestic violence from eviction from federally subsidized housing so long as the basis for the eviction is a direct result of domestic violence. Boston Hous. Auth. v. Y.A., 482 Mass. 240, 245 (2019); 34 U.S.C. § 12491(b)(1) (2018); 24 C.F.R. § 5.2005(b).

Summary of Case & Applicable Law

In BHA v. Y.A., the housing authority brought a motion to issue execution against one of its tenants who failed to adhere to the payment schedule in a court approved agreement for judgment (the “Agreement”) the tenant had signed. At the hearing, the tenant testified that it was because she was in an abusive relationship. The trial court granted the housing authority’s motion, finding that the tenant’s failure to pay her rent was a substantial violation of a material term of the Agreement under M. G. L. c. 239, § 10. However, the judge did not take into account the tenant’s testimony about domestic violence. On appeal, the tenant—represented by counsel for the first time—argued that the judge failed to consider whether the tenant’s alleged breach of the Agreement was related to domestic violence or whether she was protected from eviction by VAWA.

The application of the VAWA defense to tenants of public housing facing eviction for non-payment of rent after having signed an agreement for judgment was a matter of first impression for the SJC. See BHA v. Y.A., 482 Mass. at 247. In BHA v. Y.A., the SJC held that the trial court should have determined whether the tenant was entitled to VAWA protection from eviction, reversed the housing court’s decision allowing the housing authority to evict the tenant and remanded it “for further inquiry and findings whether domestic violence contributed to Y.A.’s failure to make agreed-upon payments.”  Id. at 248.

Key Holdings

BHA v. Y.A. will have far-reaching implications for victims of domestic violence across Massachusetts and, perhaps, nationally. The holding affirms many core principles that will protect victims and their families from eviction and homelessness.

First, the SJC’s holding that a tenant may raise a VAWA defense to eviction at any time during an eviction proceeding, even after multiple years of nonpayment and signing multiple agreements for payment plans, will help ensure that victims can raise the defense whenever it is safe to do so, or when they learn of their right to do so. See BHA v. Y.A., 482 Mass. at 248. The SJC’s decision confirmed that a tenant in federally financed housing can raise a VAWA defense for the first time in response to a landlord’s claim of a violation of an agreement for judgment.  Id. at 246-247.

Y.A. had never raised the issue of domestic violence before appearing in court for the hearing on the housing authority’s motion for issuance of execution. See BHA v. Y.A., 482 Mass. at 247. The SJC held “that Y.A.’s statement at the hearing that she was in an abusive relationship and that her partner “would take everything” from her was not untimely.” Id. In fact, the SJC held that Y.A. was permitted to raise her VAWA defense on the enforcement of the fifth court agreement between the parties. Id. at 248. So long as the nonpayment is a direct result of domestic violence, the VAWA defense can be raised even in instances of chronic non-payment of rent. Id. at 249. According to BHA v. Y.A., in which Y.A. did not refer to VAWA at all, a tenant is only required to give the judge “reason to believe that domestic violence … might be relevant to a landlord’s basis for eviction.” Id. at 247.  This more flexible approach to raising a VAWA defense is consistent with the fact that most tenants go unrepresented in summary process cases and is very similar to the standards used in cases involving disabled tenants and reasonable accommodations.

Finally, the Court gave significant guidance to both covered housing providers and judges when presented with evidence of domestic violence. The Court held that covered housing providers are not only barred from evicting tenants for reasons directly related to domestic violence, but are also required to relocate a tenant to a safe unit, upon request, where there is a reasonable belief that there is a threat of imminent harm from staying in the same unit. Id. at 244-45. Additionally, it held that judges, upon hearing evidence of domestic violence, are obligated to inquire further in order to fully evaluate the applicability of VAWA and write findings before issuing a decision. Id. at 247.

Practical Lessons

Providing notice to a landlord prior to action for eviction

It is clear from the principles set forth in BHA v. Y.A. that, in a federal housing eviction case, a tenant has the right to raise a VAWA defense to an allegation of a breach of a lease agreement without having sought any VAWA protection from the landlord beforehand. However, as a practical matter, practitioners should advise clients to notify their landlords that domestic violence has affected the tenant’s ability to pay rent or has otherwise caused the tenant to violate the terms of the lease as soon as it is safe to do so. When landlords are informed about domestic violence issues affecting a tenancy, VAWA expressly encourages housing providers to “undertake whatever actions permissible and feasible under their respective programs” to assist domestic violence victims living in their housing units to remain in their housing. See 24 C.F.R. § 5.2009(c). For example, under VAWA, and upon request, a covered landlord is required to relocate a tenant to a safe unit (or may remove a household member from a lease) in order to mitigate the threat of imminent harm from further violence.

The VAWA defense in a court proceeding

In Massachusetts, a defendant normally raises defenses to possession through an answer to the complaint. See Uniform Summary Process Rule 3 and Uniform Summary Process Rule 10(a).  However, as explained above, the VAWA defense may now be raised at any time during an eviction from federally subsidized housing.

Conclusion & Tips for Effective Counseling

Certain safety repercussions need to be considered in counseling a client with a potential VAWA defense. As explained above, the defense can be raised directly with the housing provider pre-eviction, in an answer or in subsequent pleadings, during a hearing, trial, or post-judgment. To qualify for the defense, a practitioner should seek to admit one of the VAWA-approved forms of verification but should also carefully consider whether the client’s testimony is necessary. Advocates should also evaluate the client’s options to impound the file, identifying information, or other specific documents that contain sensitive information about domestic violence. Finally, tenant advocates should counsel the client to seek safety-planning support from a domestic violence service provider before deciding whether to raise the defense, and throughout the case.

Julia Devanthéry is a staff attorney at the ACLU in Southern California in the Dignity for All Project. Julia is the founder of the Housing Justice for Survivors Project at the Legal Services Center of Harvard Law School, where she served as a Lecturer of Law and co-taught and supervised the Housing Law Clinic. Ms. Devanthéry represented the tenant in BHA v. Y.A.

Daniel Daley is a staff attorney at MetroWest Legal Services (MWLS) where he has specialized in housing and eviction cases for the last twenty years. MWLS, based in Framingham, has been providing free civil legal aid to low-income people and victims of crime for over forty (40) years.

Lisabeth Jorgensen is the Civil Legal Aid for Victims of Crime (CLAVC) staff attorney at MWLS, a position funded by the Massachusetts Office for Victim’s Assistance (MOVA). She represents victims of crime in their related civil matters across many sectors, including housing.

*Photo credit to Stan Rowin (https://www.stanstudio.com/) for Daniel Daley’s and Lisabeth Jorgensen’s headshots.


Reid v. City of Boston: Extending the Massachusetts Tort Claims Act’s Interpretive Complexity

by Andrew Gambaccini

Case Focus

The Legislature enacted the Massachusetts Tort Claims Act (“MTCA”), G.L. c. 258, §§ 1 et seq., to replace a crazy quilt of judicially created exceptions to governmental immunity and provide a “comprehensive and uniform regime of tort liability for public employers.” Lafayette Place Associates v. Boston Redevelopment Auth., 427 Mass. 509, 534 (1998). Since its initial enactment, what has developed is a further set of immunity principles, exceptions to those principles, and exceptions to the exceptions to the principles that has led to uncertainty for courts and practitioners, which continues with the decision in Reid v. City of Boston, 95 Mass. App. Ct. 591, rev. denied, 483 Mass. 1102 (2019).

The Evolution of Governmental Immunity in Massachusetts

Historically, the Commonwealth and its political subdivisions enjoyed broad governmental immunity protections based upon common law principles. See Cormier v. City of Lynn, 479 Mass. 35, 37-38 (2018) (citations omitted). Over time, a convoluted landscape of judicial exceptions to governmental immunity developed, triggering a 1973 request from the SJC that the Legislature create a statutory scheme authoritatively detailing the contours of governmental immunity. See Morash & Sons, Inc. v. Commonwealth, 363 Mass. 612, 618-21 (1973). After a few years of legislative inaction, in 1977 the SJC made its intentions clear:  it would abrogate governmental immunity following the 1978 legislative session if the Legislature did not take definitive action. See Whitney v. Worcester, 373 Mass. 208, 210 (1977).

The MTCA followed, allowing for limited governmental tort liability as well as setting out the procedures through which claims were to be presented and pursued. The statutory scheme provides generally that public employers are liable for the negligent or wrongful acts or omissions of public employees acting within their scope of employment, while public employees are shielded from personal liability for negligent conduct. G.L. c. 258, § 2. At the same time, several statutory exceptions to the general waiver of governmental immunity were created. See G.L. c. 258, § 10.

It was not long before case nuances again created interpretive difficulties. In 1982, the SJC applied the “public duty rule” to protect governmental units from liability unless a plaintiff demonstrated that a duty breached was owed to that plaintiff, and not simply to the public at large. See Dinsky v. Framingham, 386 Mass. 801 (1982). Within a short time, the SJC endorsed a “special relationship” exception to the public duty rule, permitting governmental liability where a governmental actor reasonably could foresee both an expectation to act to protect a plaintiff and the injury caused by failing to do so. See Irwin v. Ware, 392 Mass. 745 (1984). When subsequent judicial gloss through the “public duty-special relationship dichotomy” failed to produce “a rule of predictable application[,]” the SJC announced its intention to abolish the public duty rule altogether. Jean W. v. Commonwealth, 414 Mass. 496, 499 (1993) (Liacos, C.J. concurring); see also 414 Mass. at 514-15 (Wilkins, Abrams, J. concurring) and 523-25 (Greaney, J. concurring). The Legislature responded by amending the MTCA, most notably by adding six new § 10 exceptions, (e) through (j), to the general waiver of governmental immunity,modification that has done little to diminish the vexing complexities of governmental liability and immunity.

Reid v. City of Boston

Reid features the latest judicial foray into two of the knottiest statutory exceptions concerning governmental immunity, §§ 10 (h) and 10 (j). Plaintiff Reid received a call from her sister, during which the sister was heard asking someone to stop following her and why that person’s hands were behind his back. Knowing her sister had a troubled relationship with her boyfriend, Reid drove to her sister’s home, where she saw her sister’s boyfriend, Cummings. Reid engaged him in a conversation that was neither heated nor worrisome for Reid. As they spoke, Reid’s sister called 911 and reported that Cummings had threatened to kill her.

Three Boston police officers responded and came upon Reid and Cummings. The officers perceived the two to be speaking calmly, noted no injuries and saw no indication of either being armed, something both Reid and Cummings denied. As the inquiry continued, one officer  approached Cummings from behind, suddenly grabbed him and reached for his waist, intending to frisk Cummings for weapons. Cummings pushed the officer away, drew a firearm from his waistband and opened fire. The officers returned fire. Cummings was killed, one officer was shot in the leg and Reid also was shot in the leg by Cummings.

Reid sued the officers and the City. The Superior Court dismissed the claims against the officers, but the negligence claim against City proceeded to trial. Reid claimed that the attempt to frisk Cummings created a harm that otherwise did not exist, escalating a controlled encounter into a shootout, and that such negligence caused her injury. By special verdict form, the jury found the City liable, concluding the police pre-shooting negligence was a substantial contributing factor in causing Reid’s injury. The City filed a motion for judgment notwithstanding the verdict, arguing that it was immune pursuant both to G.L. c. 258, § 10 (h), which, among other things, immunizes municipalities from claims based upon failure to provide police protection, and § 10 (j), which, in part, forecloses claims against a governmental agency based upon a failure to prevent violence by a third party not originally caused by a government actor. The Superior Court denied the motion and the City appealed.

The Appeals Court affirmed the denial of the motion, turning away both of the City’s § 10 arguments. As to immunity for failure to provide police protection under § 10 (h), the tip of the City’s spear was Ariel v. Kingston, 69 Mass. App. Ct. 290 (2007). Ariel involved a plaintiff who was a passenger in a motor vehicle approaching an intersection where police officers were directing traffic in the vicinity of an accident. Proceeding with a green light, the driver of the plaintiff’s vehicle entered the intersection while contemporaneously an officer waved, against a red light, another vehicle into the intersection, leading to a collision. The Ariel Court determined that the town was immune pursuant to § 10 (h) because controlling traffic was a form of police protection to the public.

Analyzing the § 10 (h) exception in Reid, the Appeals Court stated that, while § 10 (h) “shields municipalities from claims where police officers negligently failed to prevent harm posed by third parties[,]” Reid’s “successful theory of liability was not that the police officers failed to protect her from a threat, but rather that the officer’s affirmative conduct created a danger that did not previously exist.” Reid distinguished Ariel by noting the officers directing traffic were providing police assistance to mitigate a dangerous condition while, in Reid, the officers encountered a calm situation and it only was police action that created the danger.

Concerning immunity for the failure to prevent violence by third parties not originally caused by government actors under § 10 (j), Reid avoided the intensely problematic determination of whether the officers’ actions “originally caused” Reid’s injury, instead drawing on a statutory exception to this immunity. Specifically, the Appeals Court found that subsection § 10 (j) (2)’s exception to immunity applied because the officer’s intervention had “place[d] the victim in a worse position than [s]he was in before the intervention[.]” In broad stroke, Reid concluded that the City could be liable because its officer had engaged in an “affirmative act” that contributed materially to create the danger from which the plaintiff sustained injury.

It long has been difficult to chart a predictable course through the statutory and judicial landscape of governmental immunity. Reid’s interpretation of § 10 (h) adds another layer of complexity to this area of law. While Ariel involved an officer engaging in the affirmative act of waving a car into a police-controlled intersection, there was no municipal liability in that case because the circumstance was “dangerous” however municipal liability existed in Reid because a police response to a 911 call featuring an allegation of domestic assault somehow took place in “calm” conditions. Further, because Reid passed on its opportunity to clarify §10 (j), including, for example, a discussion of factors relevant to determining whether the officers’ actions were the original cause of injury, §10 (j) remains a morass of cascading exceptions to the MTCA’s general waiver of immunity.

Cummings was armed and prepared to shoot. If he had fired before any attempt at a frisk, there seems little doubt that the City could not have been found liable. That Cummings made his choice to shoot after an officer tried to frisk him for purposes of weapon detection and disarmament rendered the City liable for Cummings’ shooting of Reid. In the last analysis, Reid’s interpretation of §§ 10 (h) and 10 (j) leaves the principles of governmental immunity as it found them – a complex, nuanced and often confusing “process of defining the limits of governmental immunity through case by case adjudication.” Whitney, 373 Mass. at 209-10.

Andrew Gambaccini is an associate at Reardon, Joyce & Akerson, P.C., where he focuses his practice in civil rights and the defense of law enforcement officers.


Magazu and the Expansion of Agency Power

lundy_sandyby Sandra E. Lundy

Legal Analysis

May a couple’s childrearing practices, which are not illegal and are deeply rooted in their sincere religious convictions, disqualify them from becoming foster and pre-adoptive parents?  In the closely watched case Magazu v. Department of Children and Families,[i] the Justices unanimously answered “yes.”  Here, I argue that while Magazu may have been correctly decided, the Court’s analysis has troubling implications for the expansion of agency power.

Path to the SJC

Gregory and Melanie Magazu had two biological daughters but wanted a larger family.  Concerns about Melanie’s health led them to apply to become foster and pre-adoptive parents. The couple seemed ideally suited to foster and then adopt a child who was in the Department of Children and Families’ (“DCF”) care – until they revealed that they occasionally used physical punishment on their biological children. Believing as a matter of religious faith in the maxim “spare the rod, spoil the child,” Greg or Melanie, on the few occasions when one of their daughters engaged in “a continuous pattern of disobedience,” would spank the child on the buttocks by hand in the privacy of the girl’s bedroom.[ii]

DCF regulations prohibit the use of corporal punishment on a foster child.[iii]  Accordingly, the Magazus were prepared to enter into a written agreement not to use corporal punishment on any foster child placed in their home and never to physically punish one of their biological children in the presence of the foster child. The couple would not, however, and for religious reasons could not, agree to forego physical discipline of their biological children. Citing their refusal, DCF denied the Magazus’ application to become foster and pre-adoptive parents. The Magazus appealed.  At the administrative hearing, DCF’s witnesses testified that foster children typically have been subjected to abuse and neglect and could be re-traumatized by direct or indirect exposure to corporal discipline.  DCF acknowledged that it had no written policy disqualifying parents who physically discipline their biological children from becoming foster parents, but maintained that such was its unwritten policy and practice.  First the hearing officer, and then a Superior Court judge, affirmed DCF’s denial of the Magazus’ application.  The Supreme Judicial Court transferred the case sua sponte from the Appeals Court.

The Decision

The Justices faced two questions of law.  First, was DCF’s decision arbitrary and capricious, based on an irrational interpretation of its statutory and regulatory authority, and/or ungrounded in substantial evidence, in violation of DCF’s statutory and regulatory mandates?  Second, by conditioning the couple’s receipt of a government benefit on their renunciation of their religious practices, did DCF violate the Magazus’ free exercise rights under the Federal and Massachusetts Constitutions?

The Justices dismissed both claims. The Court deferred–almost without scrutiny–to DCF’s policy of not placing foster and preadoptive children in homes where parents physically discipline their children.  Notwithstanding that the policy was “not . . . articulated in express terms,” the Court held that “such a policy falls squarely within the parameters of the department’s enabling legislation and companion regulations, and is rationally related to the department’s objectives in the placement of foster children.”[iv] The Court next applied the familiar “balancing test” of Wisconsin v. Yoder[v] and Attorney Gen. v. Desilets[vi] to the constitutional claim.  The Court concluded that DCF had substantially burdened the Magazus’ practice of their sincere religious convictions by presenting them with an untenable choice:  the couple could become foster parents by abandoning their religiously-motivated practices, or they could continue their faith-based disciplinary practices and abandon any hope of becoming foster and pre-adoptive parents.  Nonetheless, the Court held that the substantial burden on the Magazus’ constitutional rights was outweighed by the State’s “first and paramount duty,” rooted in its ancient parens patriae authority, to protect children from actual or potential harm.[vii] The decision shut the door on the Magazus’ hopes to foster and adopt children through DCF.

Judging By Unwritten Rules

It is easy to assume that Magazu was correctly decided.  Both common sense and compassion argue for taking every precaution to protect emotionally fragile children from further harm.  Nonetheless, the Court’s reasoning is troubling on at least two fronts.

First, the Court extended unwarranted deference to DCF’s “unwritten” policies and procedures.  A fundamental objective of the Administrative Procedures Act, G. L. c. 30A, which governs DCF’s actions, is to ensure the agency’s objectivity, accountability, transparency, predictability, and uniformity in its application of policies and other practices.[viii] Permitting DCF, or any agency, to rely on unwritten rules severely limits judicial oversight of agency discretion.  How does a court distinguish between a legitimate unwritten policy and post hoc rationalization?  How is a court to know, for instance, when the unwritten rule was adopted, by whom, for what reason, and how it was communicated?

The Court’s deference to DCF’s unwritten policies rested on the thinnest of precedents.  In both cases on which the Court relies, Anusavice v. Board of Registration in Dentistry[ix] and Arthurs v. Board of Registration in Med.,[x] the agency’s position on the unethical or criminal characteristics of the conduct at issue could readily have been foreseen from prior published agency decisions.  Here, the Magazus’ disqualifying conduct was legally permissible: within limits, one may spank one’s child. See, e.g., Commonwealth v. Dorvil; Cobble v. Department of Soc. Services.[xi]  The Magazus had no notice that their lawful conduct would disqualify them to be foster parents.

Justice Cordy’s concurrence, joined by Justices Botsford and Duffly, gives voice to this concern about unfettered deference to unwritten agency policy.”[xii] Justice Cordy begins by acknowledging two stark realities: the increasing need for good Massachusetts foster homes in light of DCF’s growing caseload, and “the highly publicized tragedies of the last two years regarding children under the supervision of the department in foster homes,” including a recent horrific case in the western region where the Magazus reside.[xiii]  He also reiterates the uncontested evidence demonstrating “that in every respect (but for one) [the Magazus] were ideal foster and preadoptive candidates.”[xiv] In light of the department’s woeful record of investigating recent notorious cases of foster placements, where the warning signs of danger were writ large, Justice Cordy wrote that one is “left to wonder . . . whether the high standards and intensive assessment and scrutiny applied to the plaintiffs is the exception rather than the norm,” or “whether the real problem in this case was not so much the department’s concern for child safety, but rather a disagreement with the plaintiff’s beliefs regarding the upbringing of their children.”[xv]  He queries whether, whatever the unwritten licensing standard actually is, it will be uniformly applied.[xvi] If an agency may impose significant burdens on individuals based on unwritten policies, the concurrence suggests, meaningful judicial review of the conduct of State bureaucracies is all but eviscerated.

The Paternalistic State

A second reason for concern in Magazu is the Court’s reliance in the parens patriae doctrine to justify burdening the Magazus’ constitutional rights. The doctrine of parens patriae endows the State with inherent authority to protect the vulnerable, particularly children, from harm. See, e.g., Petition of Catholic Charitable Bureau of the Archdiocese of Boston, Inc., to Dispense with Consent to Adoption.[xvii]  Massachusetts appellate courts have invoked the doctrine in countless child-related cases.

Parens patriae, however, like its kindred “best interests of the child” standard, is a doctrine increasingly criticized as inchoate and infantilizing.[xviii]  Recently, in Guardianship of L.H.,[xix] a case involving substituted judgment for an incompetent adult, Judge Agnes (dissenting) implored courts to “be cautious and critical of signs of paternalism legitimized by the parens patriae doctrine, where State actors purport to have an absolute understanding of what is in the best interests of an individual, whose liberty, dignity and privacy are at issue, and whose voice is muted by the swift and overriding authority of court-appointed  professionals.”[xx]  Judge Agnes’ dissent is particularly cautionary for Magazu, where DCF presented no hard data on actual or prognostic harm, where the prospective foster parents pledged to abide by DCF regulations concerning the discipline of children placed in their care, and where their credentials were otherwise stellar.

Of course, the Magazus are not the only parents ensnared here by parens patriae.  The decision summarily disqualifies an entire class of people whose religious convictions lead them to physically discipline their children from even becoming foster and preadoptive parents.  Regardless of one’s views on the corporal punishment of children, the use of parens patriae in Magazu to preclude any foster child from finding love and care in a loving family invites speculation about just what the limits of parens patriae, if any, may possibly be.

Conclusion

Magazu closes the door to foster parentage to the Magazus and all those similarly situated.  How widely it opens the door to bureaucratic over-reach will be tested in the line of cases that follow.

Sandra E. Lundy is an appellate and domestic relations litigator at Tarlow, Breed, Hart & Rodgers, P.C., Boston.  She is Board Member of the Women’s Bar Association and a former member of the BBA Family Law Section Council. Attorney Lundy received her J.D. from Yale Law School and her Ph.D. from Columbia University.

[i] 473 Mass. 430 (2016).

[ii] Id. at 433.

[iii] See 110 Code Mass. Regs. §§ 7.104 (1) (q) and 7.111(3).

[iv] 473 Mass at 440-441.

[v] 406 U.S. 205 (1972).

[vi] 418 Mass. 316, 321-323 (1944).

[vii] 473 Mass at 445-446.  See also 418 Mass at 321-323.

[viii] See, e.g., G. L. c. 30A, §§ 2-6.

[ix] 451 Mass. 786, 795 (2008).

[x] 383 Mass. 299, 312-313 (1981).

[xi] 472 Mass. 1 (2015); 430 Mass. 385 (1999).

[xii] 473 Mass. at 446-449  (Cordy, J., concurring).

[xiii] Id. at 448.

[xiv] Id. at 447..

[xv] Id. at 448.

[xvi] Id. at 448-449.

[xvii] 392 Mass. 738, 740-741 (1984).

[xviii] See, for example, Charlow, Awarding Custody: The Best Interests of the Child and Other Fictions, 5 Yale L. and Pol’y Rev.  267, 269-273  (1986), available at http://digitalcommons.law.yale.edu/ylpr/vol5/iss2/3.

[xix] 84 Mass. App. Ct. 711 (2014),

[xx] Id. at 734.


SJC Rules State Must Set Annual Greenhouse Gas Emissions Reductions

sanders_dylanby Dylan Sanders

Case Focus

The state’s responsibility to confront climate change is now the subject of Massachusetts case law. In a landmark decision interpreting the state’s Global Warming Solutions Act (“GWSA”), Kain v. Department of Environmental Protection, 474 Mass. 278 (2016), the Supreme Judicial Court ruled that the Department of Environmental Protection (“DEP”) must impose mandatory “volumetric limits” on multiple sources of greenhouse gas emissions – meaning limits on the actual amount of greenhouse gases emitted by those sources – and that those limits must decline on an annual basis. The decision could have far-reaching implications for how the state regulates emissions in many sectors of the economy, with the SJC warning that the “act makes plain that the Commonwealth must reduce emissions and, in doing so, may, in some instances, elevate environmental goals over other considerations.” 474 Mass. at 292.

Background

The GWSA was enacted in 2008, against the backdrop of what the SJC characterized as the “emerging consensus … that climate change is attributable to increased emissions, … [and] that national and international efforts to reduce those emissions are inadequate.” 474 Mass. at 281. Among other provisions, the GWSA required DEP to maintain an inventory of greenhouse gas (“GHG”) emissions in the state and to determine the statewide GHG emissions level as of 1990.

The GWSA also required the state to adopt two types of declining GHG emission limits. One relates to total emissions from all sources, while the other relates to individual sources. First, the Executive Office of Energy and Environmental Affairs (the “Secretary”) was required to adopt limits on the total amount of GHG emissions from all sources for 2020, 2030, 2040 and 2050, with the 2050 limit reducing overall GHG emissions in the Commonwealth by 80 percent from the 1990 level. Second, the GWSA required DEP to adopt annual declining limits on individual sources of GHG emissions, in addition to the end-of-decade limits, specifically by “establishing a desired level of declining annual aggregate emission limits for sources or categories of sources that emit greenhouse gas emissions.” This latter provision, codified at chapter 21N, § 3(d), led to the controversy that was decided in Kain.

DEP agreed that the end-of-decade limits were legally binding caps for statewide GHG emissions. However, with regard to Section 3(d)’s “declining annual aggregate emission limits” for sources of GHG emissions, DEP took the position these were aspirational “targets,” not binding caps, citing the statute’s reference to “desired” levels. Alternatively, DEP contended that several existing regulatory programs fulfilled Section 3(d)’s requirements to limit sources of GHG emissions, and that the agency need not adopt new regulations to comply with the law.

When DEP failed to adopt any new regulations on sources of GHG emissions pursuant to Section 3(d), four teenagers, the Conservation Law Foundation, and the Mass Energy Consumers Alliance sued DEP to compel it to adopt binding caps on sources of GHG emissions that declined annually. (The teenagers, two from Boston and two from Wellesley, were among scores of youth who, concerned about the impact of climate change on their future, had unsuccessfully petitioned DEP to adopt new Section 3(d) rules in 2012.) On cross-motions for judgment on the pleadings, the Superior Court ruled in favor of DEP, on the grounds that the three regulatory schemes cited by DEP fulfilled Section 3(d)’s requirements. After granting direct appellate review, the SJC reversed.

The SJC Decision

At the outset, the SJC acknowledged that DEP has wide discretion in establishing the scope of its authority, but stated that deference to DEP’s interpretation of Section 3(d) “would tend to undermine the [GWSA]’s central purpose of reducing emissions in the Commonwealth.” Id. at 287.

The Court first rejected DEP’s argument that Section 3(d) required only aspirational “targets” for limiting sources of GHG emissions, not binding caps. The Court observed that when the GWSA referred to “limits” elsewhere in the statute, DEP conceded that “limits” referred to binding caps. The Court refused to give the word “limit” a different meaning with regard to the annual limits on sources of emissions in Section 3(d). 474 Mass. at 288.

The Court also pointedly said that “a regulation, by definition, is not aspirational” and expressed doubt that the Legislature would require an agency to promulgate regulations that were merely aspirational. Finally, while DEP had stressed that the term “desired level” necessarily implied that “limits” on emissions were aspirational, the Court disagreed. The Court held that, in the context of the statute’s goal of reducing emissions in the Commonwealth, the term “desired level” meant the level of emissions from a source or category of sources that would be “suitable” to achieve the statewide GHG emissions limits. 474 Mass. at 289.

The SJC next turned to the three regulatory schemes that DEP argued fulfilled Section 3(d)’s requirements to limit sources of GHG emissions, and held that none satisfied the statute’s mandate. The first regulatory scheme limits the rate of leakage of a powerful greenhouse gas from certain electrical switch gear, with the intent of gradually reducing the leakage rate from the equipment.  The Court held that this regulatory scheme did not satisfy Section 3(d) because it established only a declining rate of emissions from sources, not a cap on the actual volume of emissions, and the amount of leaked emissions therefore could increase simply by the installation of additional equipment in a facility or in the state as a whole. 474 Mass. at 295.

As to the second regulatory scheme, the “low emission vehicle” (“LEV”) program, which also “regulates through the imposition of rates, rather than actual caps on emissions,” the SJC held it did not comply with Section 3(d)’s requirement that DEP promulgate declining volumetric emissions limits. 474 Mass. at 299. The LEV program regulates emissions based on the average emissions of each auto manufacturer’s fleet of cars. Thus, like the regulations regarding switch gear emissions, although the average rate of emissions from a vehicle fleet may decline, the total number of vehicles on the road from a manufacturer’s fleet may increase and thus the volume of emissions from those sources may increase as well. Id.

Here and elsewhere, DEP argued that it should be free to use a rate rate-based mechanism rather than a volume-based cap on emissions, because using a cap would potentially limit the actual number of emission sources. Disagreeing, the Court said the GWSA required that new or additional GHG sources must comply with a regulatory scheme that required the reduction of the actual volume of emissions. 474 Mass. at 295.

Finally, the SJC turned to the Regional Greenhouse Gas Initiative (“RGGI”), a regional cap and trade system for carbon dioxide emitted by power plants, pursuant to which the overall cap on emissions from plants in Massachusetts and eight other states is reduced by 2.5 percent each year. Although RGGI imposes an overall cap on carbon dioxide emissions that declines annually through 2020, the SJC held that it nevertheless did not fulfill Section 3(d)’s requirements. The Court observed that RGGI was established by a separate statute, and that the GWSA elsewhere created a separate process by which emission levels associated with the electric sector are set. Id. at 297. These factors, said the Court, indicated the Legislature did not intend for the RGGI program to be part of the Section 3(d) regulations. In addition, the Court noted that under RGGI, a Massachusetts power plant could purchase allowances from another state that would permit the Massachusetts plant to increase emissions. Accordingly, RGGI does not actually require carbon dioxide emissions from power plants located in the Commonwealth to decrease annually.

In ruling that none of the three programs proffered by DEP satisfies Section 3(d)’s requirements, the SJC acknowledged that these schemes may play important roles in achieving greenhouse gas reductions. But the SJC also repeatedly said that, because these regulatory schemes do not actually require annual decreases in the volume of GHG emissions, they simply do not require what Section 3(d) mandates.

Conclusion

The full import of Kain remains to be seen.  At a minimum, it requires DEP to establish annual declining volumetric limits for those sources, or categories of sources, of emissions in the GHG inventory, which will help the state achieve its 2020 and 2050 limits.  Designing programs to achieve those limits is another matter.  Moreover, the Section 3(d) regulations were supposed to take effect no later than January 1, 2013, and to sunset on December 31, 2020. The work at hand now concerns what can best be achieved in the time that remains.

 

Dylan Sanders practices environmental law at Sugarman, Rogers, Barshak & Cohen, P.C., and, together with his colleague Phelps Turner, represented the four teenage plaintiffs in the Kain case.


Massachusetts Leads The Nation On The Attorney-Client Privilege For Law Firms

by Robert M. Buchanan, Jr.

Case Focus

BuchananThe Supreme Judicial Court of Massachusetts has taken intellectual leadership on an issue of nationwide importance for the legal profession.  RFF v. Burns & Levinson, 465 Mass. 702, 703 (July 2013) addressed “whether confidential communications between law firm attorneys and a law firm’s in-house counsel … are protected from disclosure to the client by the attorney-client privilege.”  The SJC ruled firmly that the privilege does apply the first time this issue has been resolved by the highest court in any jurisdiction.

Examples Of The Issue In Practice

The Boston Bar Association filed an amicus brief in the RFF case.  We provided several practical examples of how in-house counsel function in law firms.

Example 1:  Law Firm represents Client A and also represents Client B.  Client B calls Lawyer asking for urgent advice about an affiliate of Client A.  Does Lawyer have a conflict of interest?

Example 2:  Lawyer is preparing for a strategy discussion with Client, which is scheduled to begin in a few hours.  Suddenly Lawyer realized that he may have made a technical or strategic mistake.  What should he do?  Does he need to disclose something to Client?

Example 3:  A real estate developer Client sends a letter accusing Law Firm of malpractice, and at the same time insists that Law Firm continue performing work for the developer.  Should Law Firm continue performing work for this Client?

In each of these three scenarios, the lawyer needs guidance; the law firm’s in-house counsel is in the best position to provide guidance; and the client will benefit if the lawyer obtains proper guidance promptly.

The Facts Of The RFF Case

The RFF case was similar to Example 3.  Real estate lawyers received a demand letter from their client, a real estate developer.  The lawyers faced a difficult set of questions.  Should they argue with the client?  Should they continue to represent the client?  How could they do both at the same time?  The lawyers sought advice from their partner who was “designated to respond to ethical questions and risk management issues.”  RFF, 465 Mass. at 704.

The real estate developer later filed a malpractice action and sought to take depositions.  The Business Litigation Session — in a well-reasoned opinion by Judge Billings, dated November 20, 2012 ruled that the attorney-client privilege protected the lawyers from interrogation about their discussion with in-house counsel.

The SJC’s Analysis

The SJC affirmed, stating a logical series of principles, as the BBA had advocated.

1.         Lawyers in law firms often need advice.

Law firms, like corporations, face a vast and complicated array of regulatory legislation, where the line between permissible and prohibited conduct is not always an instinctive matter.

RFF, 465 Mass. at 708-09, quoting Chambliss, The Scope of In-Firm Privilege, 80 Notre Dame L.Rev. 1721, 1756 (2005).

2.         The attorney-client privilege enables in-house counsel to give advice.

Where a law firm designates one or more attorneys to serve as its in-house counsel on ethical, regulatory, and risk management issues that are crucial to the firm’s reputation and financial success, the attorney-client privilege serves the same purpose as it does for corporations or governmental entities:  it guarantees the confidentiality necessary to ensure that the firm’s partners, associates, and staff employees provide the information needed to obtain sound legal advice.

RFF, 465 Mass. at 704-10.

3.         There is no principled reason to reject the privilege.

Lower courts in some other jurisdictions had ruled that the attorney-client privilege does not apply.  These courts have held that the law firm is impaired by a conflict of interest when the firm represents itself adverse to a current client.  The SJC ruled, to the contrary, that the law firm can’t avoid analyzing what to do, and its analysis should be protected by the attorney-client privilege.  Justice Gants stated the critical distinction as follows:

. . .[A] client is entitled to full and fair disclosure of facts that are relevant to the representation, including any bad news, and to sound legal advice from its law firm.  But a client is not entitled to revelation of the law firm’s privileged communications with in-house or outside counsel where those facts were presented and the sound legal advice was formulated.

RFF, 465 Mass. at 716 (emphasis added).

The Privilege Applies If Four Requirements Are Met

The BBA’s amicus brief proposed a three-part test for applying the attorney-client privilege to in-house counsel.  These three requirements were adopted by the SJC in the passage below.  The SJC also added a fourth requirement, confidentiality, which is consistent with them.  The SJC held:

For the privilege to apply, four conditions must be met.  First, the law firm must designate, either formally or informally, an attorney or attorneys within the firm to represent the firm as in-house or ethics counsel, so that there is an attorney-client relationship between the in-house counsel and the firm when the consultation occurs.  Second, where a current outside client has threatened litigation against the law firm, the in-house counsel must not have performed any work on the particular client matter at issue or a substantially related matter….  Third, the time spent by the attorneys in these communications with in-house counsel may not be billed or charged to any outside client….  Fourth, as with all attorney-client communications, they must be made in confidence and kept confidential.

RFF, 465 Mass. at 723 (emphasis added).

Conclusion

All Massachusetts law firms should review these four requirements.  Although the SJC’s holding is not binding outside Massachusetts, its powerful reasoning should be persuasive in other states as well.  In the long run, this analytical clarity should benefit all U.S. law firms and the clients that they serve.

Robert M. Buchanan, Jr. wrote the Boston Bar Association’s amicus brief, pro bono, in the RFF case.  Mr. Buchanan is Chair of the Ethics Committee at Choate Hall & Stewart, where he is a partner in the Litigation Department and leads the Antitrust practice.