438 Mass. 290 | Mass. | 2002
In 1986, the defendant was convicted by a jury of murder in the first degree based on deliberate premeditation. He was also convicted of armed assault in a dwelling with intent to commit a felony and assault and battery by means of a dangerous weapon. We affirmed his convictions, denied relief after a review of the entire record pursuant to G. L. c. 278, § 33E, and affirmed the denial of a motion for a new trial.
On August 2, 1984, Brian Golden and several other residents of Vallar Road in the East Boston section of Boston were involved in a dispute with the defendant and his brother, Leroy, about their reckless driving in the neighborhood. Shortly thereafter, the defendant threw a knife that pierced Brian Golden’s eye. Golden died as a result of his injury. The sequence of events connecting these two incidents is hotly disputed, and, because this dispute is central to our resolution of the defendant’s current claims and was not described in his original appeal, we detail both the Commonwealth’s and defendant’s versions of the facts.
A. The Commonwealth’s Case.
Linda Golden (victim’s wife) testified that, shortly after the confrontation between the neighbors and the defendant and his brother, the latter two individuals burst into the Goldens’ second-floor apartment armed with a bat and a board.
B. The Defendant’s Version.
According to the defendant’s witnesses, the defendant, accompanied by his brother, Leroy, and his teenaged nephew, “Little Leroy,” were attempting to reach the third floor. As they
II. Defendant’s Motion for a New Trial.
A. Waiver.
The defendant challenges the judge’s jury instructions on murder in the first and second degrees, voluntary manslaughter, and intoxication.
At its core, the waiver doctrine states that a defendant must raise a claim of error at the first available opportunity. This requirement serves a dual purpose: it protects society’s interest in the finality of its judicial decisions, Commonwealth v. Amirault, 424 Mass. 618, 637 (1997) (“The regular course of justice may be long, but it must not be endless”), and promotes judicial efficiency, Commonwealth v. Pisa, 384 Mass. 362, 366 (1981).
Although the public’s interest in the finality of criminal convictions is weighty, it is not always paramount. “[W]e cannot rid ourselves by process alone of the possibility of error and of grave and lingering injustice.” Commonwealth v. Amirault, supra. The doctrine of waiver incorporates a number of exceptions, which the Appeals Court, in a decision by Justice Armstrong, suggested may be divided into five categories. See Commonwealth v. Miranda, 22 Mass. App. Ct. 10, 14-19 (1986). The first exception is review under G. L. c. 278, § 33E. When reviewing a conviction of murder in the first degree we are obligated to consider all issues apparent from the record, whether preserved or not, in order to determine whether there is a substantial likelihood of a miscarriage of justice in the verdict.
The second exception is said to apply when the error creates “a substantial risk of a miscarriage of justice.” Commonwealth v. Freeman, 352 Mass. 556, 564 (1967). This is actually not an exception, but a default standard of review. In all cases where a defendant fails to preserve his claim for review we must still grant relief when “we are left with uncertainty that the
A fourth exception comes into play when a defendant alleges (as this defendant has done) that his failure to preserve an issue stems from ineffective assistance of counsel, whether at trial or on appeal. See Commonwealth v. Egardo, 426 Mass. 48, 49-50 (1997). We have, at times, reviewed such claims under the standard of review normally applicable to ordinary ineffective assistance of counsel claims, rather than applying the “substantial risk” standard discussed previously.
The arguably more lenient standard of review for waived claims alleging ineffective assistance of counsel has the potential to produce awkward results. Because virtually any omitted objection or argument can, at least on its face, be attributed to ineffective assistance of counsel, a wise defendant could in most cases opt for a more favorable standard of review simply by couching his waived claim in the language of ineffective assistance.
The final exception, referred to as the “resurrection” exception, arises when the trial judge, on a motion for a new trial filed and considered before direct appeal, decides to consider an issue on the merits despite the defendant’s failure to raise it at the proper time. In these circumstances we consider the issue as if it had been properly preserved. See Commonwealth v. Hallet, 427 Mass. 552, 554-555 (1998).
To summarize, when a trial judge addresses an unpreserved claim in a preappeal motion for a new trial, or when we determine that the “clairvoyance” exception applies because the state of the law was such that the defendant had no genuine opportunity to challenge the issue during prior proceedings, we review the claim as if it had been properly preserved. When we review an unpreserved claim on direct appeal from a conviction of first degree murder under § 33E, we consider whether the error caused a substantial likelihood of a miscarriage of justice. In all other circumstances, we grant relief only if we conclude that the waived error created a substantial risk of a miscarriage of justice.
This defendant has been convicted of murder in the first degree and he has already sought § 33E relief and been denied. Commonwealth v. Randolph, 415 Mass. 364 (1993). Had he raised his current claims on direct appeal he would have received a more deferential review as required by statute. Commonwealth v. Wright, 411 Mass. 678, 682 n.1 (1992). As this case comes to us as an appeal from the denial of a motion for a new trial, however, the exception to waiver for § 33E review does not apply. Id. Nor do the so-called “clairvoyance” and “resurrection” exceptions have any application here. This is a postappeal motion for a new trial, and the defendant concedes that all the arguments advanced in this motion were available to either trial or prior appellate counsel.
A substantial risk of a miscarriage of justice exists when we have “a serious doubt whether the result of the trial might have been different had the error not been made.” Id. at 687, quoting Commonwealth v. LeFave, 430 Mass. 169, 174 (1999). Errors of this magnitude are extraordinary events and relief is seldom granted. Commonwealth v. Amirault, supra at 646-647. Such errors are particularly unlikely where, as here, the defendant’s conviction in a capital case has undergone the exacting scrutiny of plenary review under § 33E. Nevertheless, because the single justice allowed the defendant leave to appeal, we once again examine the defendant’s convictions.
In analyzing a claim under the substantial risk standard, “[w]e review the evidence and the case as a whole,” Commonwealth
C. The Defendant’s Claims of Error.
1. The provocation charge. Applying the four-part analysis detailed above to the defendant’s first claim of error, we readily conclude that the answers to the first, second, and fourth questions are “yes.” The judge delivered an instruction that impermissibly shifted the burden of proving an absence of provocation from the Commonwealth to the defense.
In addition, the error prejudiced the defendant. A burden-shifting error in a provocation instruction is prejudicial if the defendant was entitled to such a charge, see Commonwealth v. Acevedo, supra at 717, and this defendant was so entitled. At trial, the defendant presented evidence that the victim violently attacked him with a bat, beat his brother, and chased the defendant with a knife, all immediately prior to the killing. Although the Commonwealth’s witnesses presented a conflicting account of the incident, we do not attempt to weigh the evidence presented in determining whether a defendant was prejudiced by the instruction. See Commonwealth v. Azar, supra at 689 (“our role is not to sit as a second jury”). Instead, to make this determination, we examine the evidence in a light most favorable to the defendant. See Commonwealth v. Little, supra at 783, and cases cited. Given this standard, the Commonwealth concedes the need for a provocation instruction, and, in fact, we have required a provocation instruction on far less. See id. at 786-787 (escalating tension followed by movement as if to draw gun); Commonwealth v. Berry, 431 Mass. 326, 334-335 (2000) (exchange of words followed by blows with hands and then with beer bottle); Commonwealth v. Acevedo, supra at 715 (strike in calf with bat); Commonwealth v. Boucher, 403 Mass. 659, 661-662 (1989) (kick to head followed by continued attack).
We can also easily dispense with the possibility that the failure to preserve the Acevedo claim was attributable to a reasonable tactical decision. Trial counsel objected to other instructions after the jury charge, and appellate counsel challenged various instructions on direct review. We can see no valid tactical reason for challenging some instructions but not others. See Commonwealth v. Azar, supra at 689-690.
There remains the third question: is it reasonable to conclude that the judge’s error, viewed in the context of the entire trial, influenced the ultimate verdict? The answer to this question must be “no.” The fact that the jury found the defendant guilty
In Commonwealth v. Roderick, supra, a defendant convicted of murder in the first degree challenged an erroneous provocation instruction. Id. at 278. There, as here, the defendant’s version of the events leading up to the killing differed dramatically from the version presented by the Commonwealth’s witnesses. The defendant testified that, in the wake of a drug deal gone awry, he was forced to shoot the victim in self-defense when the victim attacked him with a machete. Id. at 273. The Commonwealth’s evidence indicated that the defendant broke into the victim’s room demanding money and shot the victim when it was not forthcoming. Id. at 272-273. An examination of the evidence alone would have led us to conclude that the erroneous provocation charge prejudiced the defendant, because the defendant’s testimony, if believed by the jury, would have entitled him to a correct instruction. We went further, however, and considered all the verdicts. Id. at 278-279. Noting that the jury convicted the defendant of felony-murder and armed assault with intent to rob, we stated that “[i]t is clear . . . that [the jury] did not accept the defendant’s version of events but decided that it had been proved beyond a reasonable doubt that, even if the victim did come at the defendant with a machete, he did so in response to an armed robber forcing his way into his dwelling. Such a response to an attempted violent armed robbery cannot be considered legally adequate to provoke the robber into killing his intended victim.” Id. at 278-279.
We are faced with a similar situation here. The defendant maintains that the victim was the aggressor, first ambushing and beating the defendant’s brother and then chasing the defendant
The jury convicted the defendant not only of murder in the first degree but also of armed assault in a dwelling and assault and battery by means of a dangerous weapon on the victim’s wife. We may therefore conclude that they must have rejected the testimony of the defendant’s witnesses and believed beyond a reasonable doubt the testimony of the Commonwealth’s witnesses regarding the circumstances leading up to the killing. It follows from this that the error in the provocation instruction could not have given rise to a miscarriage of justice: Brian Golden’s response to a violent, armed assault on his wife in their dwelling cannot constitute provocation sufficient to mitigate a killing by the intruders.
2. The malice instruction in the charge on murder in the first degree. The murder charge was submitted to the jury on a theory of deliberate premeditation and the defense did not object to its form. The defendant now claims that the three prong malice instruction given by the judge was erroneous because a charge of murder in the first degree can only be sustained on a finding of malice based on a specific intent to kill.
3. The form of the malice instruction. The defendant also faults (again, for the first time in his second motion) several aspects of the judge’s description of the second and third prongs of malice. Again we fail to find a substantial risk of a miscarriage of justice. Examining the record as a whole we conclude that, because the jury found the defendant guilty of murder in the first degree on a theory of deliberate premeditation and therefore found a specific intent to kill beyond a reasonable doubt, any error in the judge’s instructions on the second or third prong of malice could have had no effect on the trial’s outcome. See Commonwealth v. Simpson, supra at 588 n.13; Commonwealth v. Johnson, 426 Mass. 617, 622-623 (1998).
4. The intoxication instruction. The defendant makes one final unpreserved claim: that the intoxication instruction given by the judge confused the jury as to whether intoxication could be
Order denying motion for a new trial affirmed.
Prior to his direct appeal, the defendant filed a motion for a new trial (preappeal motion) with the trial judge on the ground of newly discovered evidence. See Commonwealth v. Randolph, 415 Mass. 364, 367-368 (1993).
The second motion judge was not the trial judge, who had retired prior to the filing of the second motion for a new trial.
The defendant also asks us to reconsider the motion judge’s apparent refusal to reduce the verdict to a lesser degree of guilt pursuant to Mass. R.
Linda Golden’s testimony was corroborated in part by the testimony of other witnesses.
The defendant also challenges the judge’s instructions on self-defense. This aspect of the defendant’s claim was not certified for review by the single justice and is therefore not before us. See Commonwealth v. Ambers, 397 Mass. 705, 711 (1986); G. L. c. 278, § 33E.
Rule 30 (c) (2) of the Massachusetts Rules of Criminal Procedure, 378 Mass. 900 (1979), states: “All grounds for relief claimed by the defendant . . . shall be raised by the defendant in the original or amended motion. Any grounds not so raised are waived unless the judge in the exercise of discretion permits them to be raised in a subsequent motion, or unless such grounds could not reasonably have been raised in the original or amended motion.”
A defendant convicted of murder in the first degree who has been denied appellate relief under G. L. c. 278, § 33E, must seek leave for all subsequent appeals from a single justice of this court. Lykus v. Commonwealth, 432 Mass. 160, 162 (2000). The single justice “gatekeeper” has the discretion to deny applications for leave to appeal that do not raise a “new and substantial question.” Id. G. L. c. 278, § 33E. An issue is not “new” under the statute if
The substantial likelihood standard also applies when we review the denial of a preappeal motion for a new trial in a capital case. See Commonwealth v. Nieves, 429 Mass. 763, 770 (1999).
When evaluating a claim of ineffective assistance of counsel we ask whether there has been a “serious incompetency, inefficiency, or inattention of counsel — behavior of counsel falling measurably below that which might be expected from an ordinary fallible lawyer — and, if that is found, then typically, whether it has likely deprived the defendant of an otherwise available, substantial ground of defence.” Commonwealth v. Saferian, 366 Mass. 89, 96 (1974).
Exacerbating the problem is the fact that a particular class of defendants, indigent defendants who failed to raise an issue during a previous pro se collateral review, is categorically precluded from exploiting this tactical advantage. See Mains v. Commonwealth, 433 Mass. 30, 35-36 (2000).
On occasion we have declined to consider the merits in circumstances where we deem the defendant’s conviction to be firmly settled. See Commonwealth v. Valliere, 437 Mass. 366 (2002) (no consideration of merits of defendant’s sixth postdirect appeal motion); Mains v. Commonwealth, 433 Mass. 30 (2000) (no consideration on merits on appeal from denial of defendant’s fifth motion for new trial); Commonwealth v. Burnett, 428 Mass. 469, 475 (1998), discussing Hankerson v. North Carolina, 432 U.S. 233, 244 n.8 (1977) (“States could ‘insulate past convictions by enforcing the normal and valid rule that failure to object to a jury instruction is a waiver of any claim of error’ ”).
The defendant asserts that the law underpinning his challenge to the intoxication instruction given at trial was not firmly established until our decision in Commonwealth v. Sama, 411 Mass. 293 (1991). We do not reach this question because, even if this were true, it would not affect the standard of review applied to the defendant’s current claim. The defendant’s direct appeal was argued two years after our decision in Sama and appellate counsel’s failure to raise the intoxication issue constitutes waiver. See Rodwell v. Commonwealth, 432 Mass. 1016, 1018 (2000).
The charge stated: “Therefore, after considering all of the evidence you find the Commonwealth has proven beyond a reasonable doubt that the circumstances preceding or attending the killing were caused by the adequate and reasonable provocation by the deceased, or by the act of sudden combat against the defendant of a kind so as to reasonably excite in him the passions of anger, fear, nervous excitement or heat of blood, and that thereupon the defendant upon the influence of such passion and before the cooling of the blood killed the deceased, then you are warranted in finding him guilty of voluntary manslaughter. If the Commonwealth has not met this burden, then you must find the defendant not guilty of voluntary manslaughter.” The charge should have stated that the Commonwealth must prove beyond a reasonable doubt that the defendant did not act on reasonable provocation for the jury to find him guilty of murder. See Commonwealth v. Acevedo, 427 Mass. 714, 716 (1998).
The fact that the defendant murdered Brian Golden on his apartment landing, rather than inside his apartment, is not material.
The judge later gave an instruction on murder in the second degree that referred the jury back to his previous description of malice.
The defendant notes that the judge omitted the words “cool reflection” from the premeditation instruction and mistakenly stated that deliberate premeditation “does not exclude action which is taken so spontaneously that there is not time to think about the action.” The former is not error, Commonwealth v. LeClair, 429 Mass. 313, 318 (1999), and the latter, while clearly an error, was promptly corrected.
The defendant also challenges the intoxication instruction as it relates to the third prong of malice. Because, as we noted earlier, the jury found a specific intent to kill beyond a reasonable doubt, there is no need to reach this issue.