In 1986, thе 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 оf 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 reаch 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,
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,
The second exception is said to apply when the error creates “a substantial risk of a miscarriage of justice.” Commonwealth v. Freeman,
A fourth exception comes into play when a defendant alleges (as this defendant has dоne) that his failure to preserve an issue stems from ineffective assistance of counsel, whether at trial or on appeal. See Commonwealth v. Egardo,
The arguably more lenient standard of review for waived claims alleging ineffective assistance of counsel has the potential to produce awkward results. Becаuse 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” еxception, 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,
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 apрlies 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 а 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,
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,
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 standаrd, 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,
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 erroneоus 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 circumstanсes 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 а 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,
4. The intoxication instruction. The defendant makes one final unpreserved claim: that the intoxication instruction given by the judge confused the jury as to whethеr intoxication could be
Order denying motion for a new trial affirmed.
Notes
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,
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,
Rule 30 (c) (2) of the Massachusetts Rules of Criminal Procedure,
A defendant convicted of murder in the first degree who has been denied appellate reliеf under G. L. c. 278, § 33E, must seek leave for all subsequent appeals from a single justice of this court. Lykus v. Commonwealth,
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,
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,
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,
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,
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,
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 mаnslaughter. 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,
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.
