430 Mass. 800 | Mass. | 2000
Convicted of murder in the first degree, the defendant, Roberto Medina, appeals from the denial of his motion for a new trial pursuant to Mass. R. Crim. R 30 (b), 378 Mass. 900 (1979). We affirm.
1. Prior proceedings. On October 4, 1975, after being tried jointly in the Superior Court with Erasmo Soto, the defendant was convicted of murder in the first degree. On May 5, 1980, this court affirmed the defendant’s conviction.
On July 10, 1996, the defendant moved for a new trial pursuant to rule 30 (b), arguing that subsequent decisions of the United States Supreme Court with respect to burden-shifting presumptions in jury instructions, see Yates v. Evatt, 500 U.S. 391 (1991); Francis v. Franklin, 471 U.S. 307 (1985), rendered the judge’s instruction on malice at his trial erroneous and prejudicial. A judge in the Superior Court denied the defendant’s motion, ruling that Francis v. Franklin, supra, did not apply because the killer’s intent was not a pivotal and contested issue at trial and, alternatively, that any error in the instruction was harmless beyond a reasonable doubt in light of the overwhelming evidence that the assailant intended to kill the victim. The defendant timely filed notice of appeal in the Superior Court and, pursuant to G. L. c. 278, § 33E, sought leave of a single justice of this court to bring his appeal before the full court. The single justice denied this motion, ruling that, although Francis v. Franklin, supra, did apply and that, in light of its principles, the malice instruction was erroneous, nevertheless the overwhelming evidence of the killer’s malice rendered the error harmless beyond a reasonable doubt under Yates v. Evatt, supra, and, therefore, that this issue, while “new,” was not “substantial.” See G. L. c. 278, § 33E. The defendant, pro se,
2. Discussion. The decision to deny a motion for a new trial lies within the sound discretion of the judge and will not be reversed unless it is manifestly unjust or the trial was infected with prejudicial constitutional error. See Commonwealth v. Nieves, 429 Mass. 763, 770 (1999), citing Commonwealth v. Hung Tan Vo, 427 Mass. 464, 467 (1998). We conclude that neither ground for reversal is present here.
It is well established that language in jury instructions of any presumption, whether conclusive or rebuttable, that has the effect of shifting from the prosecution to a defendant the burden of proof on an essential element of the crime charged offends the defendant’s Federal constitutional right to due process. See Sandstrom v. Montana, 442 U.S. 510, 519-520, 523-524 (1979), citing In re Winship, 397 U.S. 358, 364 (1970); Commonwealth v. Moreira, 385 Mass. 792, 794 (1982). Inclusion in the jury charge of other language “ ‘that merely contradicts and does not explain a constitutionally infirm instruction will not suffice to absolve the infirmity’ because ‘[a] reviewing court has no way of knowing which of the two irreconcilable instructions the jurors applied in reaching their verdict.’ ” Commonwealth v. Repoza, 400 Mass. 516, 519, cert, denied, 484 U.S. 935 (1987), quoting Francis v. Franklin, supra at 322.
The harmless error analysis mandated by Yates v. Evatt, supra at 404, entails two distinct steps. First, the reviewing court
Importantly, in performing this analysis, the court must avoid assuming that the jury actually considered all the evidence in the record that bears on the ultimate fact presumed. For if “the terms of [a] presumption[] so narrow the jury’s focus as to leave it questionable that a reasonable juror would look to anything but the evidence establishing the predicate fact in order to infer the fact presumed,” then it would be improper for the court’s harmless error review to encompass the entire evi-dentiary record; instead, this review should be limited to evidence bearing on the predicating fact from which, according to the terms of the erroneous instruction, the ultimate fact was to be conclusively presumed. Yates v. Evatt, supra at 405-406. In such a case, a burden-shifting presumption in the instruction would nevertheless be harmless if the facts to be relied on in the presumption “are so closely related to the ultimate fact to be presumed that no rational jury could find those facts without also finding that ultimate fact.” Id. at 406 n.10, quoting Carella v. California, 491 U.S. 263, 271 (1989) (Scalia, J., concurring). See Sullivan v. Louisiana, 508 U.S. 275, 280-281 (1993). This is so because, in these circumstances, making the findings would be “functionally equivalent to finding the element to be presumed,” and it would thus be “ ‘beyond a reasonable doubt’ . . . that the jury found the facts necessary to support the conviction.” Carella v. California, supra at 271 (Scalia, J., concurring), quoting Chapman v. California, supra at 24.
At the defendant’s trial, the judge instructed the jury, in relevant part, as follows:
*804 “The word, ‘malice,’ has been used and it has repeatedly been held by this Court that malice in this connection means every unlawful motive that may be inferred from unlawful killing, and when there are no circumstances disclosed tending to show justification or excuse, there is nothing to rebut the presumption of malice. Malice as here used does not necessarily imply ill will toward the person killed, but has the more comprehensive meaning, including any intent to inflict injury upon another without legal excuse or palliation.”
A reasonable juror
Applying the first step of the Yates analysis, we conclude that reasonable jurors would have understood the malice instruction to limit their consideration of the case to the evidence that bore on the circumstances of the killing, both the manner in which it was committed and whether there was any excuse or justification sufficient to render it lawful, and to preclude their consideration of any further evidence of the defendant’s malice. See Yates v. Evatt, 500 U.S. 391, 404 (1991). Our review of the record on appeal, therefore, is properly limited to the evidence relevant to the predicating fact, the unlawful killing, from which, on the terms of the deficient instruction, the ultimate fact, malice, was to be conclusively presumed.
As we have observed, when testing a conclusive presumption whose terms would likely have narrowed a reasonable juror’s focus to the evidence bearing on the predicating fact, if the evidence that the jury found sufficient to prove that fact (here, the unlawful killing) is so closely bound up with the ultimate fact presumed (here, malice) that they could not reasonably have found the former without also finding the latter, then the presumption was, beyond a reasonable doubt, harmless to the defendant. Id. at 406 n.10. See Sullivan v. Louisiana, 508 U.S. 275, 280-281 (1993). Here, in finding that a killing had occurred and that there were no circumstances (e.g., accident; use of reasonable force in self-defense or defense of another) to excuse or justify it, the jury must have considered and credited evidence concerning the circumstances and manner in which the victim was assaulted and killed.
Various witnesses, for both the Commonwealth and the defense, testified that the victim lay in the street when the blows that resulted in her death were inflicted. The victim’s sister testified that, as she, the victim, and others passed by 26 Walden
Other testimony regarding physical evidence found at the scene, the victim’s condition after the assault, and the likely cause of the victim’s death corroborated the testimony of eyewitnesses concerning the nature of the assault on the victim.
It follows from this evidence that the jury found that the unlawful killing occurred as the victim was lying in the street, incapacitated, when her assailant struck her multiple times with a baseball bat in the area of her head and neck with sufficient force to break the bat in two and to inflict the injuries that were the primary cause of her death. These facts overwhelmingly demonstrate that the victim’s assailant acted with malice.
The defendant argues, however, that the jury, instructed to presume malice once having found an unlawful killing, would not have proceeded to consider whether there was any evidence that would suffice to mitigate malice, and that the Commonwealth was thereby relieved of its burden to prove the absence of mitigation beyond a reasonable doubt. Specifically, he argues that the jury were precluded from considering evidence that the defendant was a participant in a fight and that he may have hit the victim in defense of Maribella Muniz, whom the victim allegedly struck with an axe. Hence the jury, he claims, might have convicted him of murder when, in reality, this evidence might have warranted a reasonable doubt as to the killer’s malice and, therefore, a verdict of manslaughter would have resulted. We conclude, however, that the defendant was not prejudiced, because the evidence, even when viewed in the light most favorable to the defendant, did not suffice to raise a reasonable doubt as to the killer’s malice. See Commonwealth v. Reed, 427 Mass. 100, 102-103 (1998) (self-defense); Commonwealth v. Fluker, 377 Mass. 123, 127, 130-131 (1979) (sudden provocation).
Although there was testimony that the victim’s boy friend assaulted the defendant with a bat, that another woman, Lydia Perez, assaulted him with a bat and her hands, and that the victim assaulted Maribella Muniz with an axe, there was no
Furthermore, even if we assume that the evidence would warrant a rational trier of fact in finding that the defendant was prompted to hit the victim in defense of Maribella Muniz, see Commonwealth v. Johnson, 412 Mass. 368, 372-373 (1992) (use of excessive force in defense of third person may mitigate degree of guilt for homicide), nevertheless testimony, by both defense and prosecution witnesses, that the defendant hit the victim multiple times after she was on the ground, incapacitated, and no longer involved in a fight with Muniz, precludes a reasonable doubt whether the defendant “availed himself of all proper means to avoid physical combat before resorting to the use of deadly force,” Commonwealth v. Reed, supra at 102, quoting Commonwealth v. Curtis, supra at 632, let alone that he reasonably and actually feared that Muniz was any longer “in
Finally, it is relevant to our determining whether any prejudice resulted from the defective malice instruction that the defendant at trial did not seriously contest the presence of malice in the killing. In his own testimony, the defendant did not dispute that the killer had acted with malice, but instead testified that he had not hit the victim with the baseball bat or participated in the assault with the automobile, having left the scene of the fight and returned to the apartment prior to these incidents. Moreover, in closing argument, defendant’s trial counsel, while referring to a fight just prior to the killing and recalling testimony that the victim had initiated the altercation by coming to the apartment door armed with an axe, did not argue that the evidence warranted an inference of adequate provocation or excessive force in self-defense that would have mitigated the killer’s malice, but instead that the defendant, while he had fought with others at the scene, had been falsely identified as the victim’s assailant and, alternatively, that proof was lacking of a causal fink between the defendant’s assault on the victim, with either the bat or the automobile, and her death. Given this trial strategy, which did not advance mitigation of malice as a defense to the murder charge but focused instead on issues of identity and causation, it is clear that an erroneous instruction that precluded the jury’s considering evidence of mitigating circumstances could not have prejudiced the defendant. See, e.g., Commonwealth v. Gagnon, ante 348, 350 (1999) (where identity of killer is only live issue at trial, any error in malice instruction is not prejudicial because defendant’s state of mind is not in dispute); Bembury v. Butler, 968 F.2d
3. Conclusion. We conclude that the language of presumption in the malice instruction, although error, was harmless beyond a reasonable doubt and that the motion judge did not abuse his discretion in denying the defendant’s motion for a new trial.
Order denying motion for a new trial affirmed.
Erasmo Soto was convicted of murder in the second degree. On appeal, this court reversed Soto’s conviction and remanded his case for retrial. See Commonwealth v. Medina, 380 Mass. 565, 582 (1980) (Medina I).
There was also evidence that the victim, having been beaten with the bat and thus rendered unconscious, was tied to the back of an automobile with a rope and dragged down the street, and that the defendant, along with his codefendant Soto, had participated in this incident. See id. at 573-574. But see id. at 581-582.
We have recognized that judicial holdings regarding impermissible burden-shifting language in jury instructions are generally applicable retroactively and, therefore, that Sandstrom-type errors may later be claimed by defendants who were tried before the United States Supreme Court decided Sandstrom v. Montana, 442 U.S. 510 (1979). See Commonwealth v. Repoza, 400 Mass. 516, 520, cert, denied, 484 U.S. 935 (1987), and cases cited.
We analyze claims of burden-shifting errors in instructions by inquiring whether a “reasonable juror could have used the instruction incorrectly.” Commonwealth v. Rosa, 422 Mass. 18, 27-28 & n.10 (1996). See Commonwealth v. Gagnon, ante 348, 349 (1999); Commonwealth v. Anderson, 425 Mass. 685, 688-689 (1997). This standard is more favorable to a defendant than the current Federal standard, articulated in Estelle v. McGuire, 502 U.S. 62, 72-73 n.4 (1991), and Boyde v. California, 494 U.S. 370, 380 (1990), which asks whether there is a “reasonable likelihood” that jurors applied the challenged instruction in a way that violates the Federal Constitution. See Commonwealth v. Anderson, supra at 689 n.8; Commonwealth v. Rosa, supra at 27 n.10.
The language of presumption in the judge’s instruction is distinguishable from that in Commonwealth v. Doherty, 411 Mass. 95, 100-101 (1991), cert. denied, 502 U.S. 1094 (1992), which this court held was not burden-shifting error. In Doherty, the judge, while employing a charge on malice almost identical to that used here, added, “if a defendant . . . intentionally, unlaw
Contrary to the motion judge’s conclusion, Francis v. Franklin, 471 U.S. 307 (1985), is applicable to the defendant’s claim of burden-shifting error in the jury instructions, even though he did not seriously contest malice at trial. As the single justice reasoned in her initial denial of the defendant’s motion, in Commonwealth v. Repoza, 400 Mass. 516, 517-520, 522 & n.7 (1987), we applied Francis principles “in a case where, as here, ‘the main contested issue was identification, not intent,’ ” explaining that because, under our homicide statute, the degree of murder is based on the defendant’s intent, “there is always an element of intent for the jury to determine in murder cases in which the defendant does not concede that a conviction of murder in the first or second degree would be warranted if the proper person were prosecuted.” However, as we explain, infra, that the defendant did not dispute the killer’s malice at trial — instead denying that he was the killer and disputing the causal link between the assault on the victim and her death — remains relevant to our assessment whether the error in the malice instruction resulted in any prejudice.
We do not here consider, for example, evidence, which we considered on direct appeal, that the defendant, armed with a knife, had gone to the apartment of Carmen Rodriguez looking for the victim earlier in the evening of her assault. See Medina I, supra at 567, 573.
The victim’s son also testified that the defendant drove the automobile that was involved in dragging the victim’s body, and that the defendant actively participated in this further assault.
We properly review evidence presented at trial concerning the cause of the victim’s death, as such evidence is probative of the predicate fact that there was a “killing” and that it was “unlawful,” see J.R. Nolan & B.R. Henry, Criminal Law, supra at § 172, and would have been considered by a rational juror under the terms of the instruction in question.
Alternatively, if the jury disbelieved the testimony that the defendant struck the victim with the bat and based their verdict instead on a finding that e defendant had assaulted the victim with an automobile as she lay capacitated in the street, this conclusion is unchanged.
Although the defendant at trial denied having assaulted the victim, for purposes of this argument on appeal he does not contest the jury’s finding that he was the assailant. We therefore “summarize[] the evidence in a light most favorable to the defendant, consistent with his having killed the victim.” Commonwealth v. Pitts, 403 Mass. 665, 667 n.2 (1989), citing Commonwealth v. Maskell, 403 Mass. 111, 116 (1989); Commonwealth v. Garabedian, 399 Mass. 304, 314 (1987).
The judge gave the jury minimal instruction on manslaughter, defining it as unlawful killing without malice and stating that it was within the jury’s “jurisdiction or . . . authority” to find the defendant guilty of this lesser crime (or of murder in the second degree, or of assault and battery by means of a dangerous weapon), but without elaborating on what circumstances would suffice to mitigate malice. However, because no view of the evidence entitled the defendant to an instruction on adequate provocation or the use of excessive force in self-defense or defense of another as mitigating circumstances, whatever instruction the judge gave on manslaughter was more favorable to the defendant than required. See Commonwealth v. Torres, 420 Mass. 479, 492 (1995); Commonwealth v. Curtis, 417 Mass. 619, 632 (1994).