The defendant Miranda and two other prisoners in the Barnstable County house of correction were tried in May 1976, before a judge sitting without a jury on several indictments for rape, sodomy, and assault and battery, the victims being other prisoners. The involved prisoners all testified, alleged perpetrators as well as one victim (the other victim had died, apparently for unrelated reasons, prior to trial). At the close of the evidence, the trial judge stated:
“Well, gentlemen, I don’t think it is necessary to have arguments in this. I am actually giving no credibility whatsoever to the testimony of the three defendants. I don’t believe a word they said. With that in mind, it would be superfluous to argue the case. I am finding them all guilty as charged.”
None of the three defense counsel formally objected to this procedural shortcut, although counsel for Miranda did suggest in his remarks on sentencing that he had intended and would have preferred to give a summation before the judge’s finding was rendered. 1 Nevertheless, counsel for Miranda did not appeal, 2 nor, so far as we have been able to ascertain from appellate dockets, did counsel for the other defendants.
*12
In January, 1985, Miranda, represented by new counsel, filed a motion for a new trial,
3
based on a contention that the action of the trial judge in foreclosing summations by counsel deprived him of a fundamental constitutional right which had been announced in
Herring
v.
New York,
In
Herring
v.
New York,
the Supreme Court invalidated a New York statute which was interpreted as giving a judge sitting without jury at a criminal trial discretion whether to entertain summations. In express reliance on that statute, the trial judge in
Herring
had denied defense counsel’s request to be allowed to give a closing argument. The
Herring
case held that the right to make a summation is an integral part of a defendant’s fundamental right to the assistance of counsel,
4
and that the right is not of less significance when the case is tried to a judge rather than to a jury.
5
The
Herring
case also suggested (
There can be no doubt that, if Miranda’s counsel had registered an objection to the short-circuiting of closing arguments and, under the practice at that time (i.e., before Mass.R.Crim.P. 22,
Unlike such cases as
United States
v.
Spears,
In most cases a failure by a defendant to make his objection known to the trial judge and to raise the point on appeal, where he could have done so, will preclude his raising it later on in a motion for a new trial. This principle has been fundamental to our practice, both before and after the adoption of the rules of criminal procedure. See
Commonwealth
v.
McLaughlin,
Traditionally this rule was subject to exception principally for matters relating to the jurisdiction of the court (including a failure of the indictment or complaint to charge an offense,
7
a conviction of an offense not charged,
8
or a sentence in excess of that provided for the offense found
9
). Otherwise, a criminal judgment was treated as final unless, on a showing either on or beyond the record, it should be found that a waiver or plea was involuntary, or the defendant incompetent to stand trial,
*15
or, on a showing of newly discovered evidence, the trial court should exercise its discretion to grant a new trial. Compare
Ciummei
v.
Commonwealth,
In recent years five exceptions to the traditional rule have been applied with some frequency. One is review of a conviction under G. L. c. 278, § 33E, under a standard variously expressed as “only upon a showing of grave prejudice or substantial likelihood that a miscarriage of justice has occurred,” 10 “where ... for some . . . reason justice requires anew trial,” 11 or to achieve a result “more consonant with justice.” 12
In cases subject to § 33E, review is said to be “obligatory”,
Commonwealth
v.
Davis,
*16
A second exception is that exercised in
Commonwealth
v.
Freeman,
A third exception, which might be called the “clairvoyance” exception, applies to errors of constitutional dimension where the constitutional principle offended against “was [not] sufficiently developed at the time of the [defendant’s] trial and appeal to afford the [defendant] a genuine opportunity to raise his claim,”
DeJoinville
v.
Commonwealth,
A fourth recognized exception is where the failure to object at trial or to raise an error on appeal amounts to ineffective assistance of counsel. Here the principles seem well established, if not always easy to apply. The omission by counsel
*18
must amount to “serious incompetency, inefficiency, or inattention of counsel — behavior . . . falling measurably below that which might be expected from an ordinary, fallible lawyer,”
Commonwealth
v.
Saferian,
The fifth exception relates to trial errors first raised by a motion for a new trial, which the trial judge, in the exercise of his discretion, decides to consider on the merits despite the failure to raise them by objection at the trial. Issues thus considered “are resurrected and preserved for appellate review as if brought on direct appeal.”
19
Commonwealth
v.
Buckley,
Isolated passages are sometimes found suggesting the existence of a discrete exception for constitutional error. Firm authority is lacking for such a proposition, and the suggestive passages generally appear in connection with the application of one of the other recognized exceptions. See, e.g.,
Commonwealth
v.
McDuffee,
379 Mass, at 360;
Commonwealth v. Flemmi,
We look, then, to the five recognized exceptions to determine whether the defendant’s failure to object to the by-passing of argument precludes his relying on it now. Two of the exceptions may be dismissed out-of-hand: the § 33E exception, because this is not a capital case (and because the statute applies only in the Supreme Judicial Court); and the exception where the judge in the trial court exercises his discretion to consider the point on the merits, because here the judge expressly relied on the failure to object at the trial as the determinative ground for denying the motion. See Commonwealth v. McLaughlin, 364 Mass, at 230-231.
The clairvoyance exception is inapplicable for several reasons. First, the
Herring
case was decided a year before the trial. It has not been the subject of later amplification by the Supreme Court which would have made its application more apparent now than it was at the time of trial. Contrast
DeJoinville
v.
Commonwealth,
381 Mass, at 250-251. Second, the clairvoyance exception would not have applied even if the trial had preceded the
Herring
decision. Unlike decisions such as
In re Winship,
In our view the ineffective assistance of counsel exception also does not apply in this case. A survey of out-of-State decisions, both pre-Herring and post-Herring, indicates that the trial judge’s remarks would be treated by most courts as irremediable, requiring a mistrial had one been sought. If the conclusion is correct, it follows that the failure to object amounted, in the words of Saferian (at 96), to the waiver of an “available, substantial ground of defence.” But that is only half of the Saferian test. Measuring counsel’s omission against what “might be expected from an ordinary, fallible lawyer,” we cannot reasonably discern ineffective assistance for two reasons. First, however familiar the Herring and related cases may be in some other jurisdictions, the question of the right to closing argument in a bench trial has not been discussed in Massachusetts decisions. It is not now, and was not at the time of the trial, familiar law. The Saferian standard does not hold counsel to be knowledgeable on every newly reported decision. Second, even a lawyer familiar with the Herring case, or, more likely, sensing intuitively the possibility of reversible error in the judge’s ruling, might reasonably anticipate that the probable response to an objection would be an offer of the opportunity for belated argument, with reimposition of the guilty finding and sentencing after a futile and perhaps irritating delay. In light of the doubtless widespread unfamiliarity in this jurisdiction at the time of trial with the Herring case and the details of its application by other courts, it would not be reasonable to fault counsel for (1) not requesting opportunity to argue to a judge who had declared his mind made up, or (2) not appreciating that the case was in a mistrial situation. Given the procedural law in effect at the time of trial, the failure to object and note an exception may have led to the apparent failure to explore the point for purposes of appeal. In none of this can *21 we fairly discern the “serious incompetency, inefficiency, or inattention of counsel” which, under the Saferian case, are essential to finding ineffective assistance of counsel.
The remaining exception, that applied in
Commonwealth
v.
Freeman, supra,
has been at once the largest and most fluidly defined source of successful new trial motions seen in the Massachusetts courts in recent years. We think it is generally accepted that at least three elements are preconditions for the application of the
Freeman
exception: First, there must be a genuine question of guilt or innocence. Where evidence of guilt is strong and one-sided, it is generally concluded that no substantial risk exists of a miscarriage of justice.
22
See
Commonwealth
v.
Rembiszewski,
391 Mass, at 134-135;
Commonwealth
v.
Hughes,
Delay in raising the issue, which seems not in itself to be a bar under Mass.R.Crim.P. 30 (b),
23
may be weighed against the defendant if the Commonwealth has been prejudiced by
*22
the delay (the Commonwealth has made no attempt to show that here) or if in the circumstances, it is reasonable to draw an inference that trial counsel thought the point not to be critical
(see Commonwealth v. Grace,
381 Mass, at 760). Where counsel has not raised a critical matter at trial or on appeal, the chief victim is likely to be the defendant himself. Compare, in respect of the time factor,
Connolly v. Commonwealth,
In this case we justly cannot draw an inference that counsel intended to give a perfunctory closing argument or none at all. Such evidence as we have points the other way. See note 1,
supra.
The case cannot be characterized as one in which the evidence pointed overwhelmingly to guilt. Rather, the trial was a “duel of credibility”
(Commonwealth v. Ferreira,
It is not a case in which the the failure to object can reasonably be attributed to tactical considerations. The defendant had been found guilty simultaneously with the ruling foreclosing arguments. Counsel grumbled but presumably thought objections futile. The guilty finding was fait accompli.
The most compelling factor in convincing us that this case must be treated as falling under the
Freeman
exception is the seriousness of the error, as evaluated by the Supreme Court in the
Herring
case. That Court characterized the denial of the opportunity for final argument in a nonjury criminal trial as “a denial of the basic right of the accused to make his defense.”
Accordingly, we conclude that the denial of the defendant’s motion for a new trial must be reversed and that the judgments must be reversed and findings set aside.
So ordered.
Notes
The transcript records his opening remarks at sentencing as follows: “Your Honor, in the case of Myles Miranda, all of my thoughts that I have accumulated today, your Honor, are washed out by the decision that you made. I won’t comment on them in any way. It was a long trial and the mitigating things that I thought would be presentable in conjunction with the merits of the case.”
He was later denied permission to file a late appeal based on a contention of involuntary waiver of the right of trial by jury. See
Miranda
v.
Commonwealth,
The present motion under Mass .R.Crim.P. 30(b),
“[N]o aspect of such advocacy could be more important than the opportunity finally to marshal the evidence for each side before submission of the case to judgment.”
The court suggested that the right may be more valuable when the case is tried to a judge, on the theory that he would otherwise lack “the stimulation of opposing viewpoints inherent in the collegial decision-making process of a jury.”
“Some cases may appear to the trial judge to be simple — open and shut •— at the close of the evidence. . . . But. . . there will be cases where closing argument may correct a premature misjudgment or avoid an otherwise erroneous verdict. And there is no certain way for a trial judge to identify which cases these will be, until the judge has heard the closing summation of counsel.”
Commonwealth
v.
Andler,
Commonwealth v. Rodriguez,
Commonwealth
v.
Conroy,
Commonwealth
v.
Roberts,
Commonwealth
v.
DeChristoforo,
Commonwealth
v.
Seit,
Prior to St. 1979, c. 346, § 2, review under § 33E extended also to convictions of second degree murder based on indictments for first degree murder. See
Commonwealth
v.
Bearse,
The power to review by this standard was mentioned, but not exercised, in
Commonwealth
v.
Dascalakis,
Mullaney
v.
Wilbur,
Commonwealth
v.
Rodriguez,
Sandstrom
v.
Montana,
The trial took place after Mullaney v. Wilbur, but the court reasoned that the failure to object must, as matter of fairness, be excused because the application of the burden-shifting principle to the rule on materiality was far from clear, and the judge, if confronted with an objection, would in all probability have felt obliged to follow the rule long established and recently applied.
“The trial judge’s discretionary power,” however, “should be exercised only in those extraordinary cases where, upon sober reflection, it appears that a miscarriage of justice might otherwise result.”
Commonwealth
v.
Harrington,
As discussed later in the opinion, however, the fact that an error is of constitutional dimension may be indicative of a relatively serious error, and the seriousness of the error and the probable prejudice stemming from it are factors which are taken into account in applying the Freeman exception.
The Herring decision stated, at 859: “But the overwhelming weight of authority, in both federal and state courts, holds that a total denial of the opportunity for final argument in a nonjury criminal trial is a denial of the basic right of the accused to make his defense.”
For this reason the Freeman exception would-generally not be available to a defendant prejudiced by the unobjected-to admission of highly incriminating evidence obtained in violation of Fourth Amendment protections.
The rule says the motion for a new trial may be “at any time.” All grounds known, or reasonably knowable, for relief under Mass.R.Crim.P. 30 must be raised in a single such motion. Grounds not so raised are deemed waived. Mass.R.Crim.P. 30 (c) (2),
