Commonwealth v. Williams
Commonwealth v. Williams
Opinion of the Court
These are cross appeals following a trial without jury in the District Court on a three-count complaint charging the defendant with misdemeanor vehicular homicide by operation while under the influence of intoxicating liquor (GUI) (G. L. c. 90, § 24G[6]),
Background. On November 15, 2006, at approximately 5:30 p.m., the defendant was involved in a fatal collision occurring on Route 28 in West Yarmouth at the intersection with Traders Lane, involving his automobile and a motorcycle being operated by one William Armstrong. When responding officers arrived, they observed the car stopped halfway across Route 28, and the motorcycle lying on Route 28 with its operator beneath the engine compartment of the car. Armstrong died minutes after the collision due to the injuries he suffered.
The defendant told police that he was coming from a golf course, intending to turn left from Traders Lane onto Route 28 and travel eastbound to visit a friend; he also said that he had not seen the motorcycle. He admitted that he had consumed two
Further investigation revealed only some incomplete eyewitness observations of the vehicles prior to the critical moments before impact. The evidence appears undisputed that the defendant had pulled out onto Route 28 from his halted position on the intersecting way, and then stopped, blocking the westbound side of Route 28, apparently in order to await an opportunity to move into eastbound traffic.
Testimony from accident reconstruction experts for both parties seemed to disagree on two main issues: (1) at what distance the defendant would have been able to see the motorcycle’s approach, 140 feet or 160 feet, and (2) the motorcycle’s speed, calculated from skid marks on the road to be either 29 or 46 miles per hour. While suggesting that the defendant could have avoided the accident, the Commonwealth’s expert conceded that there was sufficient time and distance for the deceased to have avoided the accident. The defendant also offered testimony that the decedent was under the influence of marijuana.
At the conclusion of the trial, the judge found two causes for the decedent’s death: the decedent’s own speed and the defendant’s negligence in entering the “intersection when both lanes were not clear to do so” on a night with “rain, some fog, [and] limited visibility.” He found the defendant not guilty of count 1, motor vehicle homicide by OUI; guilty of count 2, operating to endanger; and not responsible of count 3, failure to yield at an intersection. He also found “the defendant guilty of vehicular homicide by negligent operation.”
The clerk, confronted with a three-count complaint not alleging this form of vehicular homicide, and apparently without direction from the judge, first simply announced the judge’s findings without allocating them to particular counts. The judge
Later, the clerk caused the docket to show a new count in this complaint (count 4) to reflect the judge’s guilty finding of motor vehicle homicide by negligent operation. Following that action, the Commonwealth filed a motion to correct the docket, apparently recognizing a problem with the way the findings were recorded, and filed a motion for the judge to amend count 1 to better accommodate the charge on which he found the defendant guilty; a hearing on that combined motion was conducted one week later on December 19, 2007. While the judge appears to have recognized the impropriety of adding a count to the complaint after trial, he denied the Commonwealth’s request, instead deciding to order an amendment to count 2, which alleged a violation of G. L. c. 90, § 24(2)(a), for operating to endanger, and of which the defendant had already been convicted, adding: “and by such operation did cause the death of another person (violation of [G. L. c.] 90, § 24G[¿>]).” The judge also wrote on the complaint that the “amendment is deemed an amendment of form rather than substance because of the bill of particulars which notified the defendant he was being tried under both theories of motor vehicle homicide.”
Discussion. 1. The defendant’s appeal. The defendant argues prejudicial error by the amendment of count 2 of the complaint, which had alleged simple operation of a motor vehicle so as to endanger, under the provisions of G. L. c. 90, § 24(2)(a). See, e.g., Commonwealth v. Sitko, 372 Mass. 305, 307-308 (1977). We conclude that the change was one of substance rather than form because (1) the newly included statute, G. L. c. 90, § 24G(¿>), has a maximum sentence more severe than under the original charge, and (2) the amendment added an element not required under the original charge, but essential to the amended charge of motor vehicle homicide by negligent operation so as to endanger: specifically, operation causing the death of another. Article 12 of the Massachusetts Declaration of Rights states that “no subject shall be held to answer for any crimes or offence, until the same is fully and plainly, substantially and formally, described to him.”
“Indictments and complaints are subject to amendment as to form, if without prejudice to the defendant, but not as to substance. See Mass.R.Crim.P. 4(d), 378 Mass. 849 (1979).” Commonwealth v. Bynoe, 49 Mass. App. Ct. 687, 691 (2000). Here, we first note that amending count 2 prejudiced the defendant by exposing him to an increased penalty from that of the originally charged offense of operating to endanger. The statutory maximum sentence allowable for operating to endanger is two years in the house of correction, while the maximum sentence for misdemean- or motor vehicle homicide is two and one-half years. See Commonwealth v. Miranda, 441 Mass. 783, 788 (2004) (amendment may not alter nature of charge or jeopardy faced). See also Commonwealth v. Souza, 42 Mass. App. Ct. 186, 192 n.5 (1997) (“[prejudice . . . could result if ... a greater penalty attached to the amended charge . . .”).
Second, the causation of death, while not an element required under the operating to endanger statute, is an essential and necessary element of vehicular homicide by negligent operation. See Commonwealth v. Diaz, 19 Mass. App. Ct. 29, 36-37 (1984). By adding an element to the crime charged, the amendment effected a change of substance, not form. See Commonwealth v. Ruidiaz, 65 Mass. App. Ct. 462, 463-464 (2006). See also Commonwealth v. Miranda, supra; Commonwealth v. Baker, 10 Mass. App. Ct. 852, 853 (1980) (amendment of form where it “neither added nor materially altered any element of the crime originally charged”). It is this aggravating factor, i.e., death resulting, that distinguishes
2. The Commonwealth’s claim of appeal.
a. Separate offenses under G. L. c. 90, § 24G(b).
Second, notwithstanding that the forms of misdemeanor vehicular homicide are found within the same statutory section, they present separate offenses. As the Supreme Judicial Court ob
Given that the two forms of vehicular homicide at issue here
b. Reference to the statute in the complaint. For reasons explained above, the complaint in question was not sufficient to accuse the defendant of motor vehicle homicide by negligent operation. Moreover, the Commonwealth’s reliance upon Commonwealth v. Martin, 304 Mass. 320, 322 (1939), is misplaced. While that case states that “[wjhere the statute disjunctively prescribes several acts in a series of acts, all of which are alleged in the complaint, then the Commonwealth may prove the violation of the statute by proof of the performance by the defendant of any one of the said acts,” ibid., the Commonwealth glosses over the fact that the complaint there had alleged all of the disjunctive forms in which the offense could be committed. “ ‘Where a crime can be committed in any one of several ways,
The Commonwealth also argues that the complaint sufficiently alleged all forms of the offense because the complaint had specifically referenced the statute under which the case was charged. However, a reading of the complaint (see note 1, supra), employing language that the offense alleged and described by the text, i.e., motor vehicle homicide by OUI, was “in violation of” the referenced statute, shows otherwise. See Commonwealth v. Lovett, 374 Mass. 394, 399 (1978) (“The fact that the complaint contained the phrase ‘in violation] of . . .’is not determinative . . . as to the offense alleged thereby. The text of the allegation determines the nature of the complaint”).
Thus, the judge correctly denied the Commonwealth’s post-trial and postacquittal proposal to amend count 1 to add vehicular homicide by negligence, as such an allegation was neither included nor implied in the complaint and would constitute an amendment of substance.
c. Constructive amendment. Notwithstanding that the complaint did not refer to vehicular homicide by negligent
(1) The bill of particulars. “The bill of particulars will set out in detail that which is included in the allegations of an indictment. Commonwealth v. Hayes, 311 Mass. 21, 25 (1942). It cannot, however, ‘enlarge the scope of an indictment to include an offense not charged therein.’ Commonwealth v. Ries, 337 Mass. 565, 580 (1958). We do not think it the function of a bill of particulars to supply a defendant with the knowledge of an element essential to the crime with which he has been charged. ‘Its only purpose is to specify more particularly the acts constituting the offense.’ Commonwealth v. Kelley, 184 Mass. 320, 324 (1903).” Commonwealth v. Burns, 8 Mass. App. Ct. 194, 198 (1979). The bill of particulars here could not have had the effect urged by the Commonwealth.
(2) Conduct of the trial. The Commonwealth contends, lastly, that the manner in which the defendant prepared for and tried the case showed that he received notice that both forms of vehicular homicide were at issue, and that he was not prejudiced. Specifically, it points to a stipulation entered into between the parties,
More applicable is the case of Commonwealth v. Bynoe, 49 Mass. App. Ct. 687 (2000), where we decided that the trial judge erroneously gave a jury instruction on a new charge, not raised in the complaint, which was not a lesser included offense. Id. at 691-692. While we concluded that the error in Bynoe did not create a substantial risk of a miscarriage of justice, id. at 693-695, here, trial counsel preserved the error and the error was prejudicial. “[Wjhere an essential word or clause is omitted from an indictment, such omission is fatal and the essential allegations cannot be supplied by any intendment, argument, inference or implication.” Commonwealth v. Bracy, 313 Mass. 121, 124 (1943). Therefore, the manner in which trial counsel conducted the trial does not make up for the Commonwealth’s omission of the motor vehicle homicide by negligent operation charge. Consequently, in this case, no constructive amendment was possible, and there was insufficient support for the Commonwealth’s proposed amendment of count 1 of the complaint.
Conclusion. Therefore, as discussed, the order amending count 2 of the complaint, and the judgment under count 2 for motor vehicle homicide, are reversed. The clerk shall correct the docket to reflect that the complaint contains no count 4 (motor vehicle homicide by negligent operation). The finding of guilt
So ordered.
Count 1 of the complaint alleged that “on November 15, 2006 [the defendant] did operate a motor vehicle upon a way, as defined in G. L. c. 90, § 1, . . . with a percentage, by weight, of alcohol in his or her blood of eight one-hundredths or greater, or while under the influence of intoxicating liquor, and by such operation did cause the death of another person, November 15, 2006, in violation of G. L. c. 90, § 24G(£).”
“One test to determine whether the change made was material is whether judgment of conviction or acquittal on the indictment as drawn would be a bar to a new indictment drawn in the form in which it stood after the amendment. ... [If not,] the change wrought in the indictment was one of substance and not of form.” Commonwealth v. Snow, 269 Mass, at 609-610.
Indeed, as the Commonwealth candidly notes in its brief, “There seems to be no authority supporting the trial court’s amendment of the second count of this complaint.”
The discussion which follows is not intended as an expression that the Commonwealth has a right to appeal under these circumstances, where the count it sought to amend had already been the subject of an acquittal. The threshold appealability issue was not raised by the parties. We choose to discuss the merits of the Commonwealth’s appeal as the matter was fully briefed by the parties and due to its close relation to the issue raised in the defendant’s appeal.
General Laws c. 90, § 24G(b), as amended through St. 2003, c. 28, § 22, reads in relevant part:
“Whoever, upon any way or in any place to which the public has a right of access or upon any way or in any place to which members of the public have access as invitees or licensees, operates a motor vehicle with a percentage, by weight, of alcohol in their blood of eight one-hundredths or greater, or while under the influence of intoxicating liquor, or of marihuana, narcotic drugs, depressants or stimulant substances, all as defined in section one of chapter ninety-four C, or the vapors of glue, or whoever operates a motor vehicle recklessly or negligently so that the lives or safety of the public might be endangered and by any such operation causes the death of another person, shall be guilty of homicide by a motor vehicle and shall be punished . . . .”
See G. L. c. 90, § 24G, as appearing in St. 1976, c. 227. This prior version of § 24G did not contain lettered sections, and only concerned misdemeanor vehicular homicide. Prior § 24G thus corresponds to current § 24G(b), which came into being on September 1, 1982. See St. 1982, c. 373, §§ 9, 20.
We note that in 2003, the statute was amended to include operating with a by-weight blood alcohol percentage of eight one-hundredths or more. See St. 2003, c. 28, § 22.
This is not to suggest that the concerns expressed by the Fadden court about duplicative sentences in the event of multiple convictions arising out of a singular vehicular homicide will not continue to be a necessary consideration for the trial court.
Of course, due to the conviction of the greater offense in Atencio, we ordered the dismissal of the two lesser offenses as duplicative, relying on Commonwealth v. Jones, 382 Mass, at 395-397.
We do not express any view on whether the two forms of alcohol-related operation, see note 7, supra, and accompanying text, may properly serve as grounds for separate charges of misdemeanor motor vehicle homicide.
This is in accord with and analogous to a double jeopardy analysis involving the lesser included offenses upon which the misdemeanor forms of vehicular homicide are based, namely, operating under the influence and operating so as to endanger; an acquittal or conviction on one of these two lesser charges would not bar a prosecution of the other arising from the same event. See Commonwealth v. Riley, 41 Mass. App. Ct. 234, 234 n.1 (1995).
However, the defendant’s conviction of operating to endanger, which we reinstate, would bar a subsequent prosecution for vehicular homicide by negligent operation, because the former crime is a lesser included offense of the latter. See Ariel A. v. Commonwealth, 420 Mass. 281, 284 (1994).
Additionally, “there is no support for the proposition that mere reference in a caption to the specific statutory violation charged can fill material gaps in the description of the offense in the body of an indictment. ... To the contrary, Mass.R.Crim.P. 4(a), 378 Mass. 849 (1979), provides that ‘[a]n indictment and a complaint shall contain a caption provided by law, together with a plain, concise description of the act which constitutes the crime . . .’ (emphasis supplied). . . . Even if the defendant had actual notice of the charge by virtue of a statutory reference in the caption, the indictment would still be defective if it did not describe a violation of the law in its body.” Commonwealth v. Fernandes, 46 Mass. App. Ct. 455, 464 (Brown, J., dissenting), S.C., 430 Mass. 517 (1999), cert. denied sub nom. Martinez v. Massachusetts, 530 U.S. 1281 (2000).
While neither of the parties have used this term, it is found in one of the authorities cited by the defendant: Commonwealth v. Bynoe, 49 Mass. App. Ct. at 691-692, citing United States v. Floresca, 38 F.3d 706, 710 (4th Cir. 1994).
The parties stipulated as follows: “[t]he victim . . . died as a result of blunt trauma with multiple torso injuries as indicated by the death certificate. The death certificate also states that the interval between onset and death was minutes after a collision between a motorcycle and automobile. The autopsy
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- Commonwealth v. Gerard P. Williams
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