GREGORY DIATCHENKO & another vs. DISTRICT ATTORNEY FOR THE SUFFOLK DISTRICT & others.
COMMONWEALTH vs. JEFFREY S. ROBERIO.
Supreme Judicial Court of Massachusetts
March 23, 2015
GREGORY DIATCHENKO & another1 vs. DISTRICT ATTORNEY FOR THE SUFFOLK DISTRICT & others.2
COMMONWEALTH vs. JEFFREY S. ROBERIO.
Suffolk. November 6, 2014. - March 23, 2015.
Present: GANTS, C.J., SPINA, CORDY, BOTSFORD, DUFFLY, LENK, & HINES, JJ.
Constitutional Law, Sentence, Parole, Assistance of counsel, Judicial review. Due Process of Law, Sentence, Parole, Assistance of counsel. Parole. Practice, Criminal, Sentence, Parole, Assistance of counsel. Witness, Expert.
This court concluded that, in order to ensure that juvenile homicide offenders serving mandatory sentences of life without parole receive a meaningful opportunity to obtain release, they must be afforded the right to assistance of counsel at their initial parole hearing, including the right to have counsel appointed if they are indigent. [17-24] SPINA, J., dissenting, with whom CORDY, J., joined. CORDY, J., dissenting, with whom SPINA, J., joined.
This court concluded that, in order to ensure that juvenile homicide offenders serving mandatory sentences of life without parole receive a meaningful opportunity to obtain release, they must be afforded, under G. L. c. 261, §§ 27A-27G, the right to public funds, if they are indigent, in order to secure reasonably necessary expert assistance at their initial parole hearing. [24-28] SPINA, J., dissenting, with whom CORDY, J., joined. CORDY, J., dissenting, with whom SPINA, J., joined.
This court concluded that, in order to ensure that juvenile homicide offenders serving mandatory sentences of life without parole receive a meaningful opportunity to obtain release, there must be an opportunity for a juvenile homicide offender who is denied parole to obtain judicial review of the parole board’s decision through an action in the nature of certiorari, brought in the Superior Court, to ensure that the parole board’s determination was constitutionally exercised, and in which the appropriate standard of review would be an abuse of discretion. [28-32] SPINA, J., dissenting, with whom CORDY, J., joined. CORDY, J., dissenting, with whom SPINA, J., joined.
Civil action commenced in the Supreme Judicial Court for the county of Suffolk on March 19, 2013.
Folowing review by this court, 466 Mass. 655 (2013), the сase was reported by BOTSFORD, J.
Civil action commenced in the Supreme Judicial Court for the county of Suffolk on March 10, 2014.
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
The case was reported by BOTSFORD, J.
Benjamin H. Keehn, Committee for Public Counsel Services, for Gregory Diatchenko & another.
Robert C. Thompson, Assistant District Attorney, for the Commonwealth.
Amy L. Karangekis, Assistant Attorney General, for Massachusetts Parole Board.
John P. Zanini, Assistant District Attorney, for District Attorney for the Suffolk District.
The following submitted briefs for amici curiae:
Kenneth J. Parsigian for Citizens for Juvenile Justice & others.
David J. Apfel, Kristen A. Kearney, Kunal Pasricha, & Katherine Connolly Sadeck for Campaign for the Fair Sentencing of Youth & others.
Afton M. Templin for Massachusetts Association of Criminal Defense Lawyers.
BOTSFORD, J. In Diatchenko v. District Attorney for the Suffolk Dist., 466 Mass. 655 (2013) (Diatchenko I), this court considered the constitutionality of a life sentence without parole when applied to a juvenile homicide offender,3 and, following Miller v. Alabama, 132 S. Ct. 2455 (2012), determined that the mandatory imposition of such a sentence violates the prohibition against cruel and unusual punishments in the Eighth Amendment to the United States Constitution as well as art. 26 of the Massachusetts Declaration of Rights.4 Diatchenko I, supra at 668. The court held that a juvenile homicide offender who is convicted of murder in the first degree and receives a mandatory sentence of life in prison must be afforded a “meaningful opportunity to obtain release based on demonstrated maturity and rehabilitation,” and this opportunity must come through consideration for release on parole. Id. at 674, quoting Graham v. Florida, 560 U.S. 48, 75 (2010).
The court’s opinion in Diatchenko I has given rise to questions concerning how the opportunity for release on parole will be protected for juvenile homicide offenders. Specifically, Gregory
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
Diatchenko and Jeffrey S. Roberio,5 each of whom was convicted of murder in the first degree many years ago for a crime committed when he was seventeen years old,6 argue that in order to ensure that their opportunity for release through parole is meaningful, they must have, in connection with a petition for release before the parole board (board), access to counsel, access to funds for counsel and for expert witnesses because they are indigent, and an opportunity for judicial review of the decision on their parole applications. For the reasons discussed below, we agree in substance with Diatchenko and Roberio.7
1. Procedural history. a. Diatchenko. In March of 2013, Diatchenko filed the present action in the county court, seeking a declaration that, because he was convicted of murder in the first degree and was seventeen at the time he committed the offense, his mandatory sentence of life without parole was unconstitutional following the United States Supreme Court’s decision in Miller, 132 S. Ct. at 2469. The single justice reported the case to the full court.
The court issued its opinion in December, 2013. See Diatchenko I, 466 Mass. at 655. Having determined that juvenile homicide offenders could not validly be sentenced to life in prison without parole, the court turned to the task of finding an appropriate way to achieve a constitutionally permissible result, while still recognizing the Legislature’s primary role in establishing sentences for criminal offenses. The approach we took was to declare invalid, as applied to juvenile homicide offenders, certain language in
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
supra at 673. The result was that any juvenile offender previously convicted of murder in the first degree, including Diatchenko, became eligible for parole after serving fifteen years of his or her sentence. See id. See also
Pursuant to the opinion’s rescript, the case was remanded to the single justice with the direction to enter a judgment consistent with the court’s opinion in the case and to “take such further action as is necessary and appropriate.” On February 27, 2014, Diatchenko filed a motion for entry of a judgment that would include a number of orders of specific relief, and also filed a motion for funds to retain an expert in connection with his hearing before the board. The district attorney for the Suffolk District (district attorney), the chair of the board, and the Commissioner of Correction (commissioner) filed oppositions. After a hearing, the single justice reserved and reported Diatchenko’s case as well as Roberio’s case, next discussed, to the full court.
In connection with the Diatchenko case, the single justice reported the following questions:
“1. Whether, in order to ensure that the petitioner and other similarly situated juvenile homicide offenders receive the ‘meaningful opportunity to obtain release’ that is required by the court’s opinion [in Diatchenko I], they must be afforded:
“a. the right to assistance of counsel at their parole hearings, including the right to have counsel appointed if they are indigent; and
“b. the right to public funds, if they are indigent, in order to secure reasonably necessary expert assistance at the hearings.
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
“2. Whether, in order to ensure that the petitioner and other similarly situated juvenile homicide offenders receive the ‘meaningful opportunity to obtain release’ that is required by the court’s opinion, there must be an opportunity for the petitioner or a similarly situated individual who is denied parole to obtain judicial review of the parole board’s decision, and if so, what form the judicial review will take.”
b. Roberio. Following the Supreme Court’s decision in Miller, in June, 2013, Robеrio sought relief from his mandatory sentence of life without parole by moving in the Superior Court for resentencing under Mass. R. Crim. P. 30, as appearing in 435 Mass. 1501 (2001). He also filed a motion for funds pursuant to rule 30 (c) (5) to pay an expert neuropsychologist for assistance in connection with his motion for resentencing. The motion for funds was allowed, but Roberio’s motion for resentencing was stayed pending the release of our decision in Diatchenko I, at which point he was resentenced to life with parole eligibility after fifteen years in prison. Because Roberio had been in prison for more than fifteen years, he was immediately eligible for parole.
On February 27, 2014, Roberio filed another motion for funds pursuant to rule 30 (c) (5) to retain the services of a second neuropsychologist because the previous neuropsychologist had died; Roberio sought to retain the expert in order to continue to seek to have his sentence reduced to a term of years or, alternatively, to assist him in connection with seeking parole. A second Superior Court judge allowed the motion after hearing, but stayed the order to permit the Commonwealth to seek relief from the single justice. On March 10, 2014, the Commonwealth filed a petition for relief under
2. Suggestion of mootness. “Litigation ordinarily is considered moot when the party claiming to be aggrieved ceases to have a personal stake in its outcome.” Acting Supt. of Bournewood Hosp. v. Baker, 431 Mass. 101, 103 (2000), quoting Attorney Gen. v. Commissioner of Ins., 403 Mass. 370, 380 (1988). The chair of the board, the commissioner, and the district attorney suggest that
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
the case is moot with respect to Diatchenko because on October 31, 2014, the board approved his application for parole, and therefore, they contend, Diatchenko no longer has a personal stake in the resolution of the present case. See Massachusetts Parole Board, No. W38579, at 1 (Oct. 31, 2014). However, Diatchenko has not yet been released on parole; rather, the board required that Diatchenko first spend twelve months in a lower security prison before he may be released, so that he may “transition gradually to the community.” Id. at 7. Since Diatchenko has not yet been released, he continues to have a personal stake in the outcome of the case, and therefore his petition is not moot. Moreover, Roberio has been permitted to intervene in the Diatchenko case, and he has not yet had a parole hearing. Even if the case were moot as to Diatchenko, therefore, it is not moot with respect to Roberio. We proceed to consider the reported questions and related claims raised on their merits.
3. Discussion. a. Right to assistance of counsel. The first reported question asks whether a juvenile homicide offender must be afforded the assistance of counsel in connection with his or her initial parole hearing.9 It is important to view the question in context. The court’s conclusion in Diatchenko I, that juvenile homicide offenders could not permissibly be subjected to life in prison without any opportunity for parole, flowed from the “fundamental ‘precept of justice that punishment for crime should be graduated and proportioned’ to both the offender and the offense;’ a central tenet of the Eighth Amendment and of art. 26. Diatchenko I, 466 Mass. at 669, quoting Miller, 132 S. Ct. at 2463. Drawing from the United States Supreme Court’s recent decisions that focused on the requirement of proportional sentencing of youth, and in particular the decisions in Miller and Graham,10 Diatchenko I observed that “children are constitution-
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
ally different from adults for purposes of sentencing” and that the “distinctive attributes of juvenile offenders” render suspect the traditional justifications for imposing sentences of life without parole on these individuals. Diatchenko I, supra at 670-671, quoting Miller, supra at 2465. Therefore, in Diatchenko I, we held that Diatchenko and all juvenile homicide offenders serving mandatory life sentences deserve at least a “meaningful opportunity to obtain release based on demonstrated maturity and rehabilitation,” and that accordingly, at the appropriate time, they must be considered for parole suitability. Diatchenko I, supra at 671, 674, quoting Graham, 560 U.S. at 75. In other words, the conclusion we reached was that parole eligibility is an essential component of a constitutional sentence under art. 26 for a juvenile homicide offender subject to mandatory life in prison.11
In general, there is no constitutionally protected liberty interest in a grant of parole. See Greenholtz v. Inmates of the Neb. Penal & Correctional Complex, 442 U.S. 1, 7 (1979); Quegan v. Massachusetts Parole Bd., 423 Mass. 834, 836 (1996); Greenman v. Massachusetts Parole Bd., 405 Mass. 384, 388 n.3 (1989). However, the Supreme Court has acknowledged that in some cases, a liberty interest in parole requiring at least some minimal due process rights may derive from language in a State’s parole statute that creates a “protectible expectation of parole.” See Greenholtz, supra at 11-12 (statutory language and structure of Nebraska parole statute created expectancy of release constituting liberty interest entitled to protection of due process clause). See also Board of Pardons v. Allen, 482 U.S. 369, 371-372, 381 (1987).
Here,
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
provided a meaningful opportunity to obtain release, so that his or her sentence is not effectively one of straight life in prison — an outcome that art. 26 prohibits. In this context, where the meaningful opportunity for release through parole is necessary in order to conform the juvenile homicide offender’s mandatory life sentence to the requirements of art. 26, the parole process takes on a constitutional dimension that does not exist for other offenders whose sentences include parole eligibility.12
Thus, for example, in the case of an adult defendant convicted of armed robbery and sentenced to a term of not less than sixteen nor more than twenty years in prison, the defendant would be eligible for parole in sixteen years,13 but if the defendant were denied a meaningful opportunity for release on parole, this would not render the sentence cruel or unusual and therefore unconstitutional under art. 26. This is so because a State has no obligation to provide a parole system, see Greenholtz, 442 U.S. at 7-8, and if the defendant were to serve his or her entire sentence of twenty years with no opportunity at all for release on parole, that would have been a permissible sentence for the judge to have imposed at the outset. The same is not true for juvenile homicide offenders; under
We turn, then, to the question of what is procedurally required
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
in order to protect a juvenile homicide offender’s expectation of “a meaningful opportunity to obtain release basеd on demonstrated maturity and rehabilitation.” Graham, 560 U.S. at 75.15 “The extent of procedural due process which must be afforded in any situation varies with the nature of the private and governmental interests at stake ..., but basic to due process is the right to be heard ‘at a meaningful time and in a meaningful manner.’” Department of Pub. Welfare v. J.K.B., 379 Mass. 1, 3-4 (1979)
be eligible for parole in accordance with the parole statute. See Ray, supra at 140; Keo, supra at 46-47. See also Diatchenko I, supra at 674 (“At the appropriate time, it is the purview of the ... board to evaluate the circumstances surrounding the commission of the crime, including the age of the offender, together with all relevant information pertaining to the offender’s character and actions during the intervening years since conviction. By this process, a juvenile homicide offender will be afforded a meaningful opportunity to be considered for parole suitability”). From this, the dissent concludes that these decisions stand for the propositions that the existing parole procedures already afford a meaningful opportunity for release and that juvenile homicide offenders are “entitled only to the same parole hearing process as other inmates.” See post at 38. The dissent then contends that today’s decision improperly changes course and affords something more. See post at 38-40. We disagree that we have changed course. The cited decisions focused explicitly on the substantive punishment that the defendants in those cases must receive; in none of them did the court address any issue regarding the nature of the parole process for juvenile homicide offenders. See Diatchenko I, supra at 674 n.18 (“The heart of this case is the constitutional validity of Diatchenko’s sentence for murder in the first degree”). Moreover, as discussed infra, nothing in this opinion suggests that the procedures described in
Similarly, today’s decision in no way conflicts with the Supreme Court’s holdings in Miller and Graham. Each of those cases addressed a specific context in which the Eighth Amendment prohibits the imposition of a sentence of life without parole on a juvenile offender. See Miller, 132 S. Ct. at 2471; Graham, 560 U.S. at 75. Parole was not the subject of Miller and Graham; life without parole was. Those cases leave open the question of how to ensure that Miller’s and Graham’s requirement of a “meaningful opportunity to obtain release” for certain juvenile offenders is to be realized. See Miller, supra at 2469; Graham, supra.
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
(J.K.B.), quoting Armstrong v. Manzo, 380 U.S. 545, 552 (1965). This court has concluded, for example, that an “indigent parent facing the possible loss of a child cannot be said to have a meaningful right to be heard in a contested proceeding without the assistance of counsel.” J.K.B., supra at 4. See Adoption of Meaghan, 461 Mass. 1006, 1007-1008 (2012) (where child’s guardians filed petition for adoption that, if granted, would terminate parental rights, both nonconsenting indigent father and consenting child entitled to appointed counsel to provide meaningful opportunity to be heard). See also Guardianship of V.V., 470 Mass. 590, 592-593 (2015). For reasons we discuss next, the court’s reasons for deeming appointment of counsel necessary in this context are instructive here: “[t]he petition may well involve complex questions of fact and law, and require the marshalling and rebutting of sophisticated expert testimony”; and “[p]rovision of appointed counsel not only safeguards the rights of the parents, but it assists the court in reaching its decision with the ‘utmost care’ and ‘an extra measure of evidentiary protection,’ required by law.” J.K.B., supra, quoting Custody of a Minor (No. 1), 377 Mass. 876, 877, 884 (1979).
By statute, the board is required to determine an individual’s suitability for parole based on whether there is, in the opinion of the board, a “reasonable probability that, if [a] prisoner is released with appropriate conditions and community supervision, the prisoner will live and remain at liberty without violating the law and that release is not incompatible with the welfare of society.”
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
ords of educational achievements. See 120 Code Mass. Regs. § 300.05 (1997). See also
The full board conducts initial parole hearings for individuals serving life sentences. 120 Code Mass. Regs. § 301.06(1) (2001). Notice of the hearing is provided to government officials, including the Attorney General, the office of the district attorney in whose district the inmate’s sentence was imposed, the chief of police of the municipality where the crime was committed, and the Executive Office of Public Safety, as well as to the victim or the victim’s immediate family members. See
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
The question the board must answer for each inmate seeking parole, namely, whether he or she is likely to reoffend, requires the board to weigh multiple factors and consider a wide variety of evidence. In the case of a juvenile homicide offender — at least at the initial parole hearing — the task is probably far more complex than it is in the case of an adult offender because of “the unique characteristics” of juvenile offenders. Diatchenko I, 466 Mass. at 674. See Miller, 132 S. Ct. at 2464. A potentially massive amount of information bears on these issues, including legal, medical, disciplinary, educational, and work-related evidence. In addition, although a parole hearing is unlike a traditional trial in that it does not involve direct and cross-examination of witnesses by attorneys, because the inmate’s parole application may well be opposed by both the victim’s family and public officials, it would be difficult to characterize this as an uncontested proceeding.
Thus, like a proceeding to terminate parental rights, a parole hearing for a juvenile homicide offender serving a mandatory life sentence involves complex and multifaceted issues that require the potential marshalling, presentation, and rebuttal of information derived from many sources. See J.K.B., 379 Mass. at 4. An unrepresented, indigent juvenile homicide offender will likely lack the skills and resources to gather, analyze, and present this evidence adequately.18 Furthermore, although parole hearings are not contested in the strictest sense, the juvenile homicide offender seeking parole is likely to be required to overcome arguments by both victims’ family members and government officials opposed to the offender’s release; the former of these parties may present as particularly sympathetic, while the latter will likely have greater
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
advocacy skills than the offender seeking parole.19
In sum, given the challenges involved for a juvenile homicide offender serving a mandatory life sentence to advocate effectively for parole release on his or her own, and in light of the fact that the offender’s opportunity for release is critical to the constitutionality of the sentence, we conclude that this opportunity is not likely to be “meaningful” as required by art. 26 without access to counsel.
Turning to the question of appointment of counsel for indigent juvenile homicide offenders like Diatchenko and Roberio,
b. Access to funds for expert witnesses. The second reported
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
question concerns access to expert witnesses.21 Diatchenko and Roberio contend that, like access to counsel, it is necessary, in order to secure a meaningful opportunity for release, to have access to the assistance of expert witnesses. Specifically, they argue that, as juvenile offenders convicted of murder, they need experts to be able to explain and offer opinions on issues concerning the relationship between neurobiological immaturity and culpability in general as well as factors relating to each of their individual and family circumstances that may help both to explain past conduct and assess future risk of reoffending. As this court acknowledged in Diatchenko I, scientific research on adolescent brain development has revealed “myriad significant ways that this development impacts a juvenile’s personality and behavior,” some of which suggest decreased moral culpability for certain juvenile homicide offenders or indicate a greater potential for them to mature to a point where they no longer engage in the behaviors that led to their crimes. See Diatchenko I, 466 Mass. at 669-670.22 While the assistance of a psychologist or other expert witness may not be necessary for every juvenile homicide offender serving a life sentence who seeks parole, in some cases such assistance may be crucial to the juvenile’s ability to obtain a meaningful chance of release.23
Neither
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
authorizes the expenditure of funds for expert witnesses to assist such a juvenile in the context of a parole hearing. Roberio argues that the allowance of the fee request is authorized under Mass. R. Crim. P. 30 (c) (5), which in relevant part provides: “The court, after notice to the Commonwealth and an opportunity to be heard, may also exercise discretion to allow the defendant costs associated with the preparation and presentation of a motion under this rule.” However, we agree with the Commonwealth that in its current form, rule 30 (c) (5) does not authorize the allowance of funds to a defendant to retain an expert witness in connection with a parole hearing, because a parole hearing is not a “motion under this rule [i.e., rule 30].”24
It is also the case that
essential that Roberio be in a position to present the board with an expert opinion explaining the path of his apparent growth in cognitive and emotional maturity and its relationship to the question whether he would be likely to reoffend if released on parole. As previously indicated, the board acknowledges that the availability of expert witnesses may be beneficial in the parole hearing context.
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
required that indigent defendants nevertheless have meaningful access to whatever postconviction proceedings the State makes available. See Commonwealth v. Conceicao, 388 Mass. 255, 261-262 (1983).27 See also Reporter’s Notes to Rule 30 (c) (5), Mass. Rules of Court, Rules of Criminal Procedure, at 223 (Thomson Reuters 2014) (discussing 2001 amendments to rule 30 allowing judges discretion to authorize costs for indigent defendants pursuing postconviction procedures).
Because the postconviction proceeding at issue here, a parole hearing for a juvenile homicide offender, is required in order to ensure that an offender’s life sentence conforms to the proportionality requirements of art. 26, the proceeding is not available solely at the discretion of the State. Rather, it is constitutionally mandated, and as such, it requires certain protections not guaranteed in all postconviction procedures. It is appropriate, therefore, to construe
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
opportunity for release.28
c. Availability of judicial review. The third reported question asks whether there must be an opportunity for judicial review of a decision denying parole to a juvenile homicide offender and, if so, what form judicial review will take. The board, the commissioner, and the district attorney argue that art. 30 of the Massachusetts Declaration of Rights prohibits judicial review in this context. Article 30 requires strict separation of judicial and executive powers, and the power to grant parole, being fundamentally related to the execution of a prisoner’s sentence, lies exclusively within the province of the executive branch. See Cole, 468 Mass. at 302-303; Commonwealth v. Amirault, 415 Mass. 112, 116-117 (1993). However, as we have noted, the right of the executive branch to exercise this power without intervention from the judiciary is subject to the provision that the power must be “constitutionally exercised.” See Cole, supra at 302. This is not to suggest that the board is unconstitutionally exercising this power currently,29 or is likely to do so in the future, but only that this court retains the responsibility with respect to parole hearings tо ensure that any constitutional requirements are met. Thus, this court has never held that art. 30 precludes any type of judicial review of parole board decisions. In fact, Massachusetts courts have engaged in limited review of parole proceedings, consistently if not frequently. See, e.g., Quegan, 423 Mass. at 835 (prisoner sought declaration that board may not consider refusal to admit guilt in parole determination); Greenman, 405 Mass. at 386 (prisoner challenged basis of parole denial as beyond board’s statutory authority); Blake v. Massachusetts Parole Bd., 369 Mass. 701, 702 (1976) (prisoner sought declaration of right to appear personally before board in order to argue for early parole eligibility); Doucette v. Massachusetts Parole Bd., 86 Mass. App. Ct. 531, 532 (2014) (prisoner pursued civil rights claim alleging violation of due process in parole revocation proceeding as well as certiorari action challenging merits of board’s decision to revoke
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
As previously stated, the parole hearing acquires a constitutional dimension for a juvenile homicide offender because the availability of a meaningful opportunity for release on parole is what makes the juvenile’s mandatory life sentence constitutionally proportionate. In this particular context, judicial review of a parole decision is available solely to ensure that the board exercises its discretionary authority to make a parole decision for a juvenile homicide offender in a constitutional manner, meaning that the art. 26 right of a juvenile homicide offender to a constitutionally proportionate sentence is not violated.32
That being said, the art. 26 right of a juvenile homicide offender in relation to parole is limited. To repeat: it is not a guar-
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
antee of eventual releаse, but an entitlement to a meaningful opportunity for such release based on demonstrated maturity and rehabilitation. See Diatchenko I, 466 Mass. at 674. That entitlement arises directly from the recognition that children are constitutionally different from adults, with “diminished culpability and greater prospects for reform,” Miller, 132 S. Ct. at 2464, based on their “distinctive attributes” of youth. See Diatchenko I, supra at 660, 671. These include children’s “lack of maturity and an underdeveloped sense of responsibility, leading to recklessness, impulsivity, and heedless risk-taking”; vulnerability “to negative influences and outside pressures, including from their family and peers; . . . limited contro[l] over their own environment[ ] . . . [lack of] the ability to extricate themselves from horrific, crime-producing settings”; and unique capacity to change as they grow older (citations and quotations omitted). Id. at 660. Absent consideration of these attributes, a juvenile homicide offender may not be permitted a real chance to demonstrate maturity and rehabilitation. See id. at 675 (Lenk, J., concurring), citing Miller, 132 S. Ct. at 2468. The purpose of judicial review here is not to substitute a judge’s or an appellate court’s opinion for the board’s judgment on whether a particular juvenile homicide offender merits parole, because this would usurp impermissibly the role of the board. Rather, judicial review is limited to the question whether the board has carried out its responsibility to take into account the attributes or factors just described in making its decision.
With this in mind, we consider the form of judicial review of a board decision denying initial parole to a juvenile homicide offender. Diatchenko and Roberio suggest that judicial review in this context should be in the nature of certiorari, as described in
“[A] complaint for declaratory relief is an appropriate way of testing the validity of regulations or the propriety of practices involving violations of rights, which are consistent and repeated in nature. . . . It is not, however, an appropriate remedy where the validity of an adjudication . . . in an individual case is being challenged. There relief in the nature of certiorari is to be sought.” (Citation omitted.) Averett v. Commissioner of Correction, 25 Mass. App. Ct. 280, 287 (1988), S.C., Averett, petitioner, 404
Diatchenko v. District Attorney for the Suffolk District; Commonwealth v. Roberio.
Mass. 28 (1989). See Grady v. Commissioner of Correction, 83 Mass. App. Ct. 126, 135-136 (2013). As discussed, the type of limited judicial review contemplated would focus on the parole determinations relating to a particular juvenile homicide offender. It thus falls into the category of cases appropriate for certiorari review.
The standard of review to be applied is a separate question, because the “standard of review for an action in the nature of certiorari depends on ‘the nature of the action sought to be reviewed.’” Rivas v. Chelsea Hous. Auth., 464 Mass. 329, 334 (2013), quoting Black Rose, Inc. v. Boston, 433 Mass. 501, 503 (2001). See
It remains for us to address Diatchenko’s argument that juve-
1. Meaningful opportunity. In Diatchenko I, we addressed the United States Supreme Court’s holding in Miller v. Alabama, 132 S. Ct. 2455 (2012), that juveniles convicted of murder in the first degree could no longer receive life sentences without the possibility of parole unless a court determined they were incorrigible. We adopted the language in Miller, first expressed in Graham v. Florida, 560 U.S. 48, 75 (2010), that a juvenile offender receiving a life sentence must receive “some meaningful opportunity to obtain rеlease based on demonstrated maturity and rehabilitation.” Inherent in this line of cases is the judicial recognition that “children are constitutionally different from adults for purposes of sentencing.” Diatchenko I, 466 Mass. at 670, quoting Miller, supra at 2464. The Supreme Court reasoned that a sentence of life in prison without the possibility of parole removes any penological justification for the sentence because it “forswears altogether the rehabilitative ideal.” Graham, supra at 74.
The court says “the meaningful opportunity for release through parole is necessary in order to conform the juvenile homicide offender’s mandatory life sentence to the requirements of art. 26 [of the Massachusetts Declaration of Rights].” Ante at 19. I agree. After Diatchenko I, a juvenile convicted of murder in the first degree, like every juvenile who is sentenced to incarceration, is eligible for parole, whereas before such a juvenile was not. The thrust of Diatchenko I was an expectation of parole eligibility, and no more.
The court states that other sentences, except life sentences fоr juveniles convicted of murder in the first degree, “include parole eligibility.” Ante at 19. The opposite is true. Parole is an executive action separate and distinct from a judicial sentence. See Commonwealth v. Cole, 468 Mass. 294, 302 (2014) (“[The granting of parole] is a function of the executive branch of government with which, if otherwise constitutionally exercised, the judiciary may not interfere”). Cf. Simms v. State, 65 Md. App. 685, 689 (1986) (“A parole is an act of executive clemency. It does not involve the sentencing function or any other judicial function”). Cf. also Knight v. United States, 73 F.3d 117, 119 (7th Cir. 1995), cert. denied, 519 U.S. 827 (1996) (“Parole is an extension of the [constitutional] grant of clemency power given to the President”); State v. Hewett, 270 N.C. 348, 352 (1967) (“Probation relates to judicial action taken before the prison door is closed, whereas parole relates to executive action taken after the door has closed on a convict”). Were Massachusetts to abandon its system of parole, art. 26 would only require that juveniles convicted of murder in the first degree — and thus sentenced to life — be afforded some opportunity for release from imprisonment through a demonstration of rehabilitation, the only constitutionally available penological justification for the State’s harshest penalty. Miller, 132 S. Ct. at 2468 (“this mandatory punishment [of life without parole] disregards the possibility of rehabilitation even when the circumstances most suggest it”). In such a hypothetical scenario, art. 26 would not require parole for any juvenile sentenced to a term of years because that sentence — or any other lesser sentence — has a penological justification other than
In constitutionally guaranteeing that juveniles convicted of murder in the first degree are eligible for parole, we have already previously respected juveniles’ constitutional distinctiveness from adults convicted of murder in the first degree by the imposition of a sentence that is not cruel and unusual. By imposing today these additional procedural protections, the court reaches beyond the judicial function of sentencing to regulate the conduct of the initial parole hearing itself, the manifestation of the executive prerogative to execute the sentence. In so doing, the court transforms the conduct of the parole hearing into part of the sentencing process, at least for juveniles convicted of murder in the first degree, and implicates the action of the board in the sentence itself.
The Legislature never intended such a relationship between sentence and parole. Moreover, it is something that we expressly said in Cole, 468 Mass. at 302, is forbidden, because sentencing is “a quintessential judicial power.” Id., quoting Commonwealth v. Rodriguez, 461 Mass. 256, 264 (2012). In Cole, we held that the executive branch’s imposition of punishments under
If the court’s decision should be considered not to have rendered the conduct of the initial parole hearing of a juvenile convicted of murder in the first degree part of the sentencing process, then the court’s justification for “additional procedural protections” in such a hearing fails because “children are constitutionally different from adults for purposes of sentencing” (emphasis added). Diatchenko I, 466 Mass. at 670, quoting Miller, 132 S. Ct. at 2465. Parole is not part of the sentencing process and thus the parole hearing need not recognize the difference between children and adults for purposes of art. 26.
The Supreme Court specifically identified traditional parole hearings as capable of providing that “meaningful opportunity to obtain release.” Graham, 560 U.S. at 75. In both Graham and Miller, the Court even went so far as to explicitly state that “a State is not required to guarantee eventual freedom.” Miller 132
This warning is in congruence with the Court’s previous statements that “no constitutional or inherent right of a convicted person to be conditionally released before the expiration of a valid sentence” exists. Greenholtz v. Inmates of the Neb. Penal & Correctional Complex, 442 U.S. 1, 7 (1979). Accord Quegan v. Massachusetts Parole Bd., 423 Mass. 834, 836 (1996). Indeed, in Diatchenko I we recognized that “[o]ur decision should not be construed to suggest that individuals who are under the age of eighteen when they commit murder in the first degree necessarily should be paroled once they have served a statutorily designated portion of their sentences.” Diatchenko I, 466 Mass. at 674. These statements cannot be reconciled with the court’s reasoning today that the “process” of the initial parole hearing of a juvenile convicted of murder in the first degree “takes on a different constitutional dimension that does not exist for other offenders whose sentences include parole eligibility.” Ante at 19.
Absent the recognition of a new liberty interest in the outcome of parole, the court does not explain the constitutional necessity of these additional protections but simply inserts a new “constitutional dimension.” This “constitutional dimension” identified by the court is the foundation for the new constitutional rule that juveniles convicted of murder in the first degree require different procedural protections from those given to other offenders. The court provides juveniles under a mandatory life sentences with enhanced procedures that no others receive, yet there has been no suggestion that the parole hearing others receive falls short of a meaningful opportunity. We have never previously stated or hinted at such a difference in procedural safeguards. In Diatchenko I, we determined that the appropriate remedy to the defendant’s challenge under Miller was to leave intact as much of the statutory scheme designed by the Legislature as possible, so far as
In Brown, this court held that the rules of severability require trial judges to apply the parole statute as written with the exclusion of the one unconstitutional provision. Brown, 466 Mass. at 680. In so doing, this court upheld the trial judge’s decision to impose “as much of the sentencing scheme set forth in [the statute] as would be permissible in light of Miller’s prohibition against mandatory sentences of life without parole for juveniles.” Id. We would not have instructed trial judges to apply the statute in a manner that preserved as much of the expressed intent of the Legislature as possible if we intended to create a process different from that provided for in the then-existing statutory scheme.
More recently, in Ray, we expressed a view that the normal proсedures governing consideration of parole release would apply to juveniles convicted of murder in the first degree. Ray, 467 Mass. at 139-140. “Pursuant to our holding in Diatchenko, . . . the defendant’s life sentence remains in force, but the exception in
Undoubtedly, Diatchenko and Roberio have a right to a “hearing that shall afford [them] a meaningful opportunity to obtain release,” Diatchenko I, 466 Mass. at 674, but only via the same processes and established procedures that all other inmates serving life sentences have, and not through a new liberty interest in parole with accompanying greater constitutional protections. The court today seemingly “ignores the distinction, adopted by the
Moreover, in Diatchenko I, we outlined the process necessary to afford a juvenile convicted of murder in the first degree such a “meaningful opportunity,” saying only that
“it is the purview of the Massachusetts parole board to evaluate the circumstances surrounding the commission of the crime, including the age of the offender, together with all relevant information pertaining to the offender’s character and actions during the intervening years since conviction. By this process, a juvenile homicide offender will be afforded a meaningful opportunity to be considered for parole suitability.”
466 Mass. at 674.1 We did not hold that the Massachusetts Constitution requires a new kind of parole hearing; and we said nothing about changing the standard process in any respect (much less requiring appointed counsel or granting funds for expert testimony) in order for the juvenile offender to obtain his or her “meaningful opportunity.” Instead, we said that a process that considers the above mentioned factors provides juvenile offenders with a “meaningful opportunity to obtain release.”
This understanding is in line with decisions of Massachusetts and Federal courts that have long held that the possible release arising under the parole statute does not create a liberty interest in parole. See Greenman, 405 Mass. at 388 n.3 (“The individual characteristics of the Massachusetts statutory parole scheme do not give rise to a liberty interest under Federal law”). See also Doe v. Massachusetts Parole Bd., 82 Mass. App. Ct. 851, 858 (2012) (“A prisoner in the Commonwealth does not have a liberty interest in the future grant of parole”); Lynch v. Hubbard, 47 F. Supp. 2d 125, 127-128 (D. Mass. 1999) (Massachusetts parole
2. Right to counsel. The court concludes that juveniles convicted of murder in the first degree who seek parole constitutionally are entitled to representation by counsel because a parole hearing is a contested, complex proceeding similar to that involving the termination of parental rights. Therefore, becausе juveniles convicted of murder in the first degree — imprisoned at a young age — are unlikely to advocate as fully as possible for themselves and a parole hearing is similar to a proceeding terminating parental rights, the court concludes that constitutionally guaranteed access to counsel best ensures that the parole hearing is a “meaningful opportunity.” I disagree.
The court’s analogy between parental right termination proceedings and parole hearings does not withstand closer scrutiny. The proceedings we examined in Department of Pub. Welfare v. J.K.B., 379 Mass. 1 (1979), can result in the loss of rights to conceive and raise one’s children — rights that are “essential. . . basic civil rights of man ... far more precious . . . than property rights.” Id. at 3, quoting Stanley v. Illinois, 405 U.S. 645, 651 (1972). In J.K.B., supra at 4, we affirmed that one cannot lose a right without due process, and we ensured that due process be observed by access to counsel for indigent parents. Parole hearings, however, do not result in the loss of any rights. As explained above, an expectation of parole simply does not exist in these proceedings and our decision in Diatchenko I has not changed that fact.2 Without an expectation of parole, a juvenile convicted of murder in the first degree has no protected liberty interest, or
Our decision in Diatchenko I did not suggest that the current parole process did not adequately provide a “meaningful opportunity to obtain release.” We most certainly did not suggest that publicly funded counsel is necessary to protect one’s interest in a fair hearing. The right to counsel based in the Sixth Amendment to the United States Constitution and art. 12 of the Massachusetts Declaration of Rights does not traditionally have an application to parole hearings. The United States Supreme Court explicitly noted that the right to counsel does not extend to postconviction collateral proceedings, see Douglas v. California, 372 U.S. 353, 356 (1963), and that “[i]n the context of parole . . . the procedures required are minimal.” Swarthout v. Cooke, 131 S. Ct. 859, 862 (2011).
We consistently have rejected claims that an inmate is entitled to counsel at parole hearings. See Cole, 468 Mass. at 306; Quegan, 423 Mass. at 840 (no right to representation before board unless there is independent and pending criminal proceeding that could be affected by parole proceedings).4 Parole is not a part of the criminal prosecution or the adversarial process, but rather arises subsequently and is supervised by an executive administrative agency rather than the court. Because parole is separate and apart from criminal pro- that the class of inmates at issue requires a different sort of parole hearing with additional procedural protections from a hearing available to any other class applying for parole. Juveniles convicted of murder in the first degree do not merit anything more than a chance to appear before the board in the same manner as other inmates do. To grant them greater protection creates a perverse incentive.
Further, at this juncture, Diatchenko and Roberio have not made a sufficient showing that the parole hearing process available to them is inadequate or that the unique skills of a lawyer are necessary in order to have a “meaningful opportunity to obtain release.” This is particularly so given that the current parole process requires the board to consider the circumstances of the crime, including whether Diatchenko and Roberio were juveniles at its commission, and whether they have been rehabilitated. Additionally, numerous inmates convicted of murder in the second degreе as juveniles have been paroled after release hearings conducted without the aid of appointed counsel. While “lifer hearings” certainly require considerable preparation, the board is not called upon to resolve disputed issues of fact, strict rules of evidence do not apply, and witnesses need not be subjected to cross-examination.
The court maintains that an attorney is needed to collect materials pertaining to a juvenile homicide offender’s criminal history and personal development after conviction. However, at the time of a parole hearing, the factual record in these cases already has been well established either in a trial transcript or in a decision of this court. Additionally, the Department of Correction (department) keeps a historical record containing detailed medical, psychiatric, and disciplinary records in each inmate’s six-part folder.
3. Expert witness funds. The court also concludes that a parole-eligible juvenile convicted of murder in the first degree may petition a Superior Court judge to authorize the payment of fees
The power to allocate and direct public funding among competing public purposes is traditionally within the purview of the Legislature. See Opinion of the Justices, 430 Mass. 1201, 1202 (1999); County of Barnstable v. Commonwealth, 422 Mass. 33, 45 (1996). The court construes
General Laws c. 261, § 27C (4), echoes the legislative acknowledgment that “meaningful access” does not necessarily require the blanket authorization of public funds in support of a defendant’s efforts following his direct appeal. This section authorizes provision of public funds needed by an indigent applicant for an “effective . . . prosecution, defense or appeal.” Yet funds under the statute are generally not available to suрport a defendant’s effort to obtain postconviction relief, because those proceedings are not a part of the prosecution, defense, or appeal. See Commonwealth v. Arriaga, 438 Mass. 556, 569 (2003).
4. Certiorari. The court today establishes judicial review of the denial of parole to a juvenile convicted of murder in the first degree through an action for certiorari. Certiorari is available when there are “(1) a judicial or quasi-judicial proceeding, (2) from which there is no other reasonably adequate remedy, and (3) a substantial injury or injustice arising from the proceeding under review.” Indeck v. Clients’ Sec. Bd., 450 Mass. 379, 385 (2008). Such review conflicts with our previous understanding of the separation of powers enshrined in art. 30 of the Massachusetts Declaration of Rights. “The granting of parole, or conditional release from confinement, is a discretionary act of the parole board” and “is a function of the executive branch of government with which, if otherwise constitutionally exercised, the judiciary may not interfere.” Cole, 468 Mass. at 302. See Stewart v. Commonwealth, 413 Mass. 664, 669 (1992). We previously have stated that a statute that “impermissibly allocates a power held by only one branch to another” violates art. 30. Cole, supra. Today’s holding violates art. 30 because it permits a judge to “nullify the discretionary actions of the parole board.” Commonwealth v. Amirault, 415 Mass. 112, 116-117 (1993). Accord Woods v. State Bd. of Parole, 351 Mass. 556, 559 (1967) (“Even by a writ оf mandamus, the board may be required merely to consider a prisoner’s petition for parole. The board may not be required to exercise any discretion for the benefit of a prisoner”).
As detailed above, Diatchenko I did not create any additional rights for a juvenile convicted of murder in the first degree more expansive than those possessed by any other class of inmate. The use of certiorari to ensure that a parole hearing provides a “mean-
Certiorari is limited to correcting substantial errors of law that affect material rights and are apparent on the record. Gloucester v. Civil Serv. Comm’n, 408 Mass. 292, 297 (1990). The only material right at stake to juveniles convicted of murder in the first degree is the expectation of parole eligibility, not the substance of the board’s decision. Moreover, the use of certiorari permits the reviewing court only to affirm or set aside a decision of the tribunal whose actions are under review. Commonwealth v. Ellis, 11 Mass. 465, 466 (1814) (“this Court . . . can only affirm the proceedings . . . or quash them”); Commonwealth v. Blue-Hill Turnpike Corp., 5 Mass. 420, 423 (1809) (“on certiorari we can enter no new judgment”); Melvin v. Bridge, 3 Mass. 305, 306 (1807) (“If the Court were to consider these proceedings as certified on a certiorari, the plaintiff in error could not be relieved, as a judgment for costs could nоt be rendered, but only the proceedings affirmed or quashed”). Consequently, lacking any affirmative power, a court could only set aside a decision of the board and then remand the matter to the board, a process that could be repeated ad infinitum until the board grants parole. See Woods, 351 Mass. at 559. Not only are courts ill-equipped to decide whether parole should be granted, but such a decision — both historically and legally — has been reserved for the executive branch.
The court notes that judicial review by an action for certiorari would not encompass whether a particular juvenile convicted of murder in the first degree is entitled to release on parole but rather would be limited to the question whether the board has “consti-
The court — and Diatchenko and Roberio — do not contend that the board has failed in this respect such that a request for declaratory relief is warranted at this time. Importantly, the review process for granting parole is currently based on comprehensive, individualized assessments. In determining whether a particular inmate is suitable for parole, the board is charged by statute with ascertaining the extent to which the inmate has been rehabilitated, and the extent to which, if released, he or she would pose a risk to the community.7 See
Further, in January, 2014, in response to Miller, the Legislature passed “An Act relative to juvenile life sentences for first degree murder” (act).
“study and determine the usefulness and practicality of creating a developmental evaluation process for all cases of first degree murder committed by a juvenile [between the ages of fourteen and eighteen]. The evaluation process shall determine the developmental progress and abilities of the juvenile offender at the time of sentencing and parole eligibility and the parole board shall utilize the evaluation process for future parole decisions regarding the juvenile offender.”
In addition, the board, on its own initiative, amended its “Guidelines for Life Sentence Decisions” (guidelines) in light of Diatchenko I, requiring consideration of age-related factors in all parole cases involving juveniles convicted of murder in the first degree and incorporating the specific factors that the concurring
Had this court intended to directly oversee the board’s consideration of parole, we would have specifically provided guidance concerning the proper balance of the necessary factors or when to find that parole is warranted. Yet, we declined to do so, specifically holding that it was in the board’s “purview” to evaluate the unique circumstances and conditions of the defendant. Diatchenko I, 466 Mass. at 674. See Doe v. Massachusetts Parole Bd., 82 Mass. App. Ct. 851, 861 (2012). This the board has done by revising its guidelines. Accordingly, a complaint for declaratory relief remains the best manner to ensure the meaningfulness of parole hearings by allowing challenges to procedural elements of these hearings, such as the guidelines. See Nelson, 390 Mass. at 388 n.12. There has been no showing that declaratory relief would be appropriate at this time.
For the foregoing reasons, I respectfully dissent.
CORDY, J. (dissenting, with whom SPINA, J., joins). I join and agree completely with Justice Spina’s dissent. I write separately only to underscore my strongly held view that the judicial branch should not intrude on what is plainly an executive branch function in the absence of a showing that that branch has failed to fulfil its legal or constitutional obligations. There is not a hint of such a showing in this case. To the contrary, all indicators of executive branch intentions support the conclusion that “meaningful opportunit[ies] to obtain release” on parole have been and will continue to be provided to individuals serving life sentences for murders they committed when they were juveniles. There is no demonstrated need for the court to construct and order funded
While the directives in the court’s ruling regarding counsel, appeals, and the funding of experts may seem relatively benign to some, in unnecessarily intruding on the functions of another branch the court steps over the line that separates the powers accorded to each in our constitutional structure — a separation we have proudly proclaimed as a necessary element of a constitutional democracy that ensures our government shall be one of laws and not of men.2 In doing so, the court also fails to accord the other branches the respect necessary to the proper functioning of a government where each has its own constitutional responsibilities. While the role of the judiciary may often include being a check on the other branches when they exceed or fail in the execution of those responsibilities, it is distinctly not to exercise them.3 Although we occasionally declare that the Massachusetts Declaration of Rights creates certain duties in other branches, such as ensuring a meaningful opportunity for release on parole, we leave it to those branches “to define the precise nature of the task[s] which they face in fulfilling” those duties. McDuffy v. Secretary of the Exec. Office of Educ., 415 Mass. 545, 620 (1993). To hold that such a meaningful opportunity can only occur in the context of a parole hearing with counsel appointed, experts on retainer, and a special appellate process is to declare that we know best how to perform the tasks constitutionally assigned to others, in the absence of any evidence of failure or excess.4 This substitution at this juncture of our judgment for that
liberty without violating the law, and that release is not incompatible with the welfare of society.”
