Lead Opinion
Lewis H. Dickerson appeals from the district court’s denial of his petition for a writ of habeas corpus pursuant to 28 U.S.C. § 2254 (1982).
Dickerson’s petition challenges on equal protection grounds the so-called “gatekeeper” provision of Mass.Gen.Laws Ann. ch. 278, § 33E (1981). Under that provision, a defendant like Dickerson who was convicted of a capital offense in a Massachusetts court is not entitled, following direct appeal, to appellate review of the denial of a post-conviction motion “unless the appeal is allowed by a single justice of the supreme judicial court on the ground that it presents a new and substantial question which ought to be determined by the full , court.” Dickerson contrasts that provision with other Massachusetts laws affording to non-capital defendants an unrestricted right to seek appellate review of the denial of . a post-conviction motion.
We hold that section 33E, when examined broadly in context of the special Massachusetts procedures for review in Capital cases, does not deny Dickerson the equal protection of the laws. We consequently affirm the district court’s denial of Dickerson’s petition.
I. BACKGROUND
Under Massachusetts law, defendants convicted of capital offenses are treated differently from those convicted of noncapi-tal offenses.
In a capital case ... the entry in the supreme judicial court shall transfer to that court the whole case for its consideration of the law and the evidence. Upon such consideration the court may, if satisfied that the verdict was against the law or the weight of the evidence, or because of newly discovered evidence, or for any other reason that justice may require (a) order a new trial or (b) direct the entry of a verdict of a lesser degree of guilt, and remand the case to the superior court for the imposition of sentence.
Section 33E “consigns the facts as well as the law to [the SJC’s] consideration, gives [the SJC] the power and duty exercised by a trial judge on a motion for new trial, and requires [the SJC] to consider the whole case broadly to determine whether there
In contrast, direct appellate review in noncapital cases is limited to issues raised on appeal and to claims of legal error which were preserved by objection at trial or which present a substantial risk of a miscarriage of justice. See Commonwealth v. Ely,
The current dispute relates solely to the differences in the appellate review allowed for the denial of post-conviction motions. Section 33E provides in pertinent part:
If any motion [in a capital case] is filed in the superior court after [the filing of the rescript by the SJC], no appeal shall lie from the decision of [the superior court] upon such a motion unless the appeal is allowed by a single justice of the supreme judicial court on the ground that it presents a new and substantial question which ought to be determined by the full court.
A capital defendant ought not be allowed to press an appeal where the issues raised in his post-conviction motion were or could have been raised at trial or on appeal. Commonwealth v. Ambers,
Noncapital defendants, on the other hand, are allowed under Mass.R.Crim.P. 30(c)(8) an appeal as of right to the Appeals Court from the denial of a post-conviction motion, including motions that raise issues that could have been raised at trial but were not, although consideration of such issues is generally limited to determining whether there is a substantial risk of a miscarriage of justice. See, e.g., Reddick v. Commonwealth,
In September 1975 Dickerson was convicted in Suffolk Superior Court of first degree murder, armed robbery and unlawfully carrying a firearm. The SJC affirmed the conviction on direct appeal after reviewing the entire record pursuant to section 33E. Commonwealth v. Dickerson,
II. DISCUSSION
The Fourteenth Amendment to the United States Constitution provides that “[n]o State shall ... deny to any person within its jurisdiction the equal protection of the laws.” Under this clause,
absent a classification interfering with the exercise of a fundamental right or operating to the peculiar disadvantage of a suspect class, see Mass. Bd. of Retirement v. Murgia,427 U.S. 307 , 312 [,96 S.Ct. 2562 , 2566,49 L.Ed.2d 520 ] (1976), a state’s conduct need only bear a reasonable relationship to some proper object. Royster Guano Co. v. Virginia,253 U.S. 412 , 415 [40 S.Ct. 560 , 561,64 L.Ed. 989 ] (1925).
Bauza v. Morales Carrion,
We conclude that the “rational basis test” is the appropriate standard of review in this case. Dickerson does not and could not successfully contend that, as a person convicted of first degree murder, he is a member of a suspect class. See Williams v. Lynaugh,
Support for use of the “rational basis test” appears in the Supreme Court’s language in cases dealing with access to the appeals process. See Estelle v. Dorrough,
In applying that test here, we must determine whether “ ‘the distinctions that are drawn [by section 33E] have some relevance to the purpose for which the classification is made.’ ” Estelle,
Section 33E satisfies the foregoing. The distinction drawn between capital and noncapital defendants in post-conviction appeals, when.viewed in the context of the whole Massachusetts appeals process, is rationally related to the twin legislative objectives of assuring that the Commonwealth's highest court thoroughly review convictions of the most serious of offenses on a direct appeal, and at the same time, of relieving that court from the burden of subsequently entertaining waived or frivolous claims. Section 33E grants to the capital defendant the unique right to appeal directly to the SJC, the state’s highest court, for plenary review of his conviction. On this direct appeal, the SJC, in a broad review to detect any miscarriage of justice, examines the entire record for factual as well as legal error, including errors not challenged by the defendant at trial or on appeal. By being able to examine issues that would not be open for scrutiny in the direct appeals of noncapital defendants, the SJC presumably reduces the number of matters calling for later review, making it reasonable to narrow the scope of any future review in the same case. As the SJC will have already become familiar with the record, it is also reasonable to channel to it, rather than to the Appeals Court, the post-conviction motions of capital defendants. And because the SJC, as the Commonwealth’s highest court, possesses many responsibilities and will already have reviewed the entire record under the liberal standard, it is not unreasonable to delegate
Affirmed.
Notes
. Section 33E’s special review procedures are limited to "capital cases.” The statute defines a "capital case” to "mean a case in which the defendant was tried on an indictment for murder in the first degree and was convicted of murder in the first degree.” Here we use the term "capital offense” and "capital defendant” as a shorthand for first degree murder and those convicted of this offense. No Massachusetts defendant, including one convicted of first degree murder, may presently be subjected to the death penalty. See Dickerson v. Attorney General,
. The SJC is Massachusetts’s highest court. Below it is the intermediate Massachusetts Appeals Court. Most criminal appeals are reviewed as of right in the Appeals Court; review of noncap-ital appeals in the SJC is limited, requiring the SJC’s special permission. Capital cases form a select group which go directly to the SJC without prior Appeals Court review and without the SJC's special permission.
. Before bringing this action for declaratory relief in state court, Dickerson challenged the constitutionality of section 33E in a habeas corpus petition filed in federal court. This petition was dismissed for failure to exhaust state remedies. Dickerson v. Walsh, 750 F.2d 150 (1st Cir.1984).
. State courts have applied the "rational basis test" in somewhat similar circumstances. See Payne v. Commonwealth,
Dissenting Opinion
dissenting.
I fully agree with the court that limiting rights of appeal is not, per se, a denial of a fundamental right. Nor are capital defendants a suspect class whose claims are subject to special scrutiny — -there need only be a rational basis for disparity, rough, as distinguished from a searching measurement. And while I do not agree that “the most urgent category ... of claims [are] those that are ‘new and substantial,’”— feeling, rather, that the most urgent are those that present a substantial risk of a miscarriage of justice, regardless of whether they are truly new or merely previously overlooked — again, that would not be important if there were a rational basis for treating capital defendants differently. In my opinion, there is no basis at all with respect to claims indicating a possible miscarriage of justice, described in Criminal Rule 30(b), where they can be pursued, if it appears that justice may not have been done.” Capital defendants lose out, though they have received what comes to nothing.
Any defendant whose original appeal has failed may move in the superior court for a new trial under this rule if he has a claim that qualifies, and may, normally, thereafter, appeal to the Appeals Court under Rule 30(c)(8). If, however, he was a capital defendant, a pre-condition to appeal is a finding by a single justice that his point is new as well as substantial. “New” means not merely not considered before, but that could not have been considered before, and the statutory word “and” is, of course, conjunctive. Commonwealth v. Ambers,
This is surely a difference of substance. The capital defendant has merely a bird in the bush, a hope the court may discover his point, and when the bird escaped notice, defendant has no further appeals. The court’s statement that plenary review “assur[es] ... review” is utopian. Moreover, as to miscarriage of justice — Rule 30— claims, a capital defendant may not be alone even as to possessing a bird in the bush; so may others, but who, however, get fundamentally better treatment than he does.
The asserted reason for the distinction is that capital defendant gets something in exchange. Although the first to speak in constitutional terms of a “rational basis,” Dickerson v. Attorney General,
Greene was a rescript opinion. It was not, however, a single aberration, but was followed thereafter in full opinions. Commonwealth v. Zezima,
The court’s adhering to the letter of the statute, at the potential cost of capital defendants, occurred again in the recent, post-Dickerson, case of Commonwealth v. Lattimore,
This was in accordance with a strict reading of the statute, but I must think that the statute leads to attention to the bath water rather than the baby. Its effect is not simply a screening procedure. To recapitulate, compare defendant Lattimore (
Quite apart from these holdings directly applying the statute itself, the court is liberal on the direct appeal of every defendant with respect to claims involving a miscarriage of justice. In Hodge (No. 2), a second degree case in which defendant contended that the old statute applied, so that the court should consider miscarriage of justice claims not raised below, the court said,
Ordinarily, such inattention of counsel would preclude review of the issue on our part. Commonwealth v. Johnson, 379 Mass. [177,396 N.E.2d 974 ] (1979). Commonwealth v. Cook,351 Mass. 231 , 237 [,218 N.E.2d 393 ], cert. denied,385 U.S. 981 [,87 S.Ct. 529 ,17 L.Ed.2d 443 ] (1966). “Nevertheless, we are mindful that ‘in appropriate instances this court has and will exercise the power to set aside a verdict or finding in order to prevent a miscarriage of justice when a decisive matter has not been raised at trial.’ ” Commonwealth v. Johnson, supra [379 Mass.] at 178 [,396 N.E.2d 974 ], quoting from Commonwealth v. Conroy,333 Mass. 751 , 757 [,133 N.E.2d 246 ] (1956). See Commonwealth v. Goulet,374 Mass. 404 , 415-416 [,372 N.E.2d 1288 ] (1978). Therefore, we examine the defendant’s contentions under this standard.
Does the mere, unrealized hope that the Supreme Judicial Court will uncover points justify this serious disparity? The value of that hope has been appraised by the court itself. In not restricting second degree defendant Lattimore’s appeal, though he had received the full statutory review, it is apparent that it is the statute, and not any substantive quid pro quo, that requires cutting off an appeal. In point of fact, in Dickerson’s own case, Dickerson v. Attorney General, the court’s opinion discloses a failure to appreciate the extent of the disparity suffered by the capital defendant. As indicating the lack of “substance,” the court said,
In reviewing a postconviction motion of a noncapital defendant, the Appeals Court will not consider claims of error which could have been raised at trial or on direct appeal, but were not so raised. See Commonwealth v. Buckley,17 Mass.App.Ct. 373 , 374 [,458 N.E.2d 781 ] (1984).... [T]he merits of [either] defendant’s postconviction motion will not be reached unless he presents a new and important issue to the court.
Buckley, actually held exactly the opposite. The noncapital defendant is not limited in his appeal to new claims if they involve a miscarriage of justice.
What it comes down to is this. In the Leaster-Greene decisions the court was not faced with a constitutional challenge, and, in a rescript, may not have thought deeply. I can see no other explanation for the contradiction. Thereafter there was no occasion to look back and reconsider. It was only when Dickerson put the question in equal protection terms that the court made a re-evaluation, and then it discussed procedure and misapprehended substance. I can not think that misdescribing the holding in Buckley was, in effect, a sub-silentio overruling. There is no basis in precedent, or in Rule 30(c)(8) any reason, for questioning what Buckley held with respect to Rule 30 motions. Hence I believe that we should view the disparity for what it is, and has been shown to be in the other Massachusetts cases cited, and, with great respect to the Supreme Judicial Court, not view that court as having determined that this difference in substance has a rational basis. Rather, the tenor of the opinion is simply that, because of prior familiarity with the case the special single justice procedural screening is warranted in the “[interests of judicial economy,”
If that were all, if, in fact, note 2 in Dickerson were correct rather than, with due apologies, a footnote inadvertency, I would have no problem. I realize that “rational-basis scrutiny ... is the most relaxed and tolerant form of judicial scrutiny,” City of Dallas v. Stanglin, — U.S. -, -,
I respectfully dissent.
