Commonwealth v. WoodsCommonwealth v. Woods
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The defendant, Eric C. Woods, appeals from convictions on two separate counts of vehicular homicide by negligent operation,
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The defendant’s convictions stem from a motor vehicle accident in which two people were killed. The accident occurred at 12:52 a.m. on November 17, 1989, in Dudley. After drinking at a local establishment, Jonathan Edgerly, Patrick Donnelly, Todd Gillis, and the defendant entered a Ford Bronco motor vehicle belonging to the defendant’s father. Not long after that, the motor vehicle careened off the road and struck a tree. When help arrived, they found Edgerly and Donnelly dead in the back seat of the vehicle. In the front seat, both Gillis and Woods were seriously injured. They were taken by police and emergency personnel to a hos
Woods was charged in the District Court with (1) operating under the influence of alcohol in violation of
The defendant then exercised his right to trial de nova pursuant to
The defendant alleges several errors in his appeal. We shall address them seriatim.
In
Grady,
the defendant pleaded guilty to driving while intoxicated and failure to keep right of the median strip.
Id.
at 512-513. In a subsequent prosecution, the State sought to use proof of this same
conduct,
driving while intoxicated and failure to keep right of the median strip, to prove vehicular homicide by operation of a motor vehicle in a criminally negligent and reckless manner.
Id.
at 514. The prosecution ad
In fashioning its decision, the
Grady
Court expressly adopted the dicta of an earlier opinion,
Illinois
v. Vitale, 447 U.S. 410 (1980). In
Vitale,
the motor vehicle driven by the defendant struck and killed two children.
Id.
at 411. Vitale was convicted of failing to reduce speed to avoid an accident.
Id.
at 412. He was then tried a second time for involuntary manslaughter based on reckless driving.
Id.
at 413. The Court applied the
Blockburger
v.
United States,
284 U.S. 299 (1932), test to the issue of double jeopardy. Successive prosecutions are constitutionally valid under the
Blockburger
test if the crime in each prosecution “requires proof of a fact which the other does not.”
7
Vitale, supra
at 416. When the prosecution is required to prove a separate set of facts in a subsequent prosecution, the defendant is not placed twice in jeopardy for the same offense. See
id.
In
Vitale,
the Court reasoned that if the charge of failure to reduce speed did not require proof of a fatality and, conversely, if the failure to reduce speed was not a statutory element of the involuntary manslaughter charge, then the defendant was not being tried twice for the same offense.
Id.
at 418-419. However, the
Vitale
Court cautioned that if the State found it “necessary
In United States v. Felix, 112 S.Ct. 1377, 1384-1385 (1992), the Court limited its holding in Grady. The Felix Court held that “prosecution of a defendant for conspiracy, where certain of the overt acts relied upon by the Government are based on substantive offenses for which the defendant has been previously convicted, does not violate the Double Jeopardy Clause.” Id. at 1380. Felix was prosecuted for attempting to manufacture drugs in Missouri, convicted, and subsequently tried in Oklahoma for manufacturing drugs and conspiracy to manufacture drugs. Id. at 1382. Despite the prosecution’s use of the same evidence presented in the first trial, the Court held that the second prosecution was not barred by the double jeopardy clause. Id. at 1383, 1385. The Felix Court refused to read literally the “same conduct” test announced in Grady. Id. at 1383-1384. Although the Court acknowledged that the continuing criminal conduct offered as evidence in both trials was the same, the actual crimes charged in each case differed in both time and place, and, therefore, the Court held that the defendant was not tried twice for the same offense. Id. at 1382. 8 “[A] mere overlap in proof between two prosecutions,” the Court explained, “does not establish a double jeopardy violation.” Id. at 1382.
We read the
Grady
opinion as redefining the phrase “same offense” in the double jeopardy clause.
Grady
substitutes for “same offense” the phrase “conduct that constitutes an offense for which the defendant has already been prosecuted,”
supra
at 510. This redefinition does not make
Grady
a “same transaction” test, rejected by this court in
Commonwealth
v.
Woods’ acquittal in his first trial resolved only one factual issue: he was not driving while under the influence of alcohol.
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In the second trial, the Commonwealth used the same evidence to prove that the defendant had been negligent. The crucial point for
Grady
purposes , is that a reasonable jury could (and did) find the defendant negligent though not intoxicated. The two offenses were not the same. “Two offenses are not the ‘same’ within the meaning of the double jeopardy clause merely because they stem from the same conduct.”
Costarelli
v.
Commonwealth,
374 Mass. 677, 683 (1978), citing
Morey
v.
Commonwealth,
108 Mass. 433, 434 (1871). Drinking before driving, although irresponsible and reprehensible, is not conduct that constitutes an offense for which’ Woods had been prosecuted. The Commonwealth offered evidence concerning alcohol, not to show that he drove while under the influence of alcohol or that he was legally “intoxicated,” but to prove that he had been drinking before the accident as evidence of negligent operation of a motor vehicle. Evidence that the defendant was consuming alcohol prior to driving with passengers late at night is patently relevant to whether the defendant exercised reasonable care while driving. As the United States Supreme Court noted in
Felix,
“the introduction of relevant evidence of particular misconduct in a case is not the same thing as prosecution for that conduct,”
supra
at 1383. If, on the other hand, the prosecution needed to show that the defendant was driving while intoxicated to prove negligent operation, i.e., the first offense
When viewed in light of the Commonwealth’s two-tier trial system, see generally
Lydon
v.
Commonwealth,
381 Mass. 356, cert. denied, 449 U.S. 1065 (1980), the defendant’s double jeopardy claim is even less persuasive. The defendant asks this court to allow him to take advantage of a second opportunity for acquittal while simultaneously handicapping the prosecution’s case against him. Unquestionably, the issue whether the defendant was driving while intoxicated has been resolved by his acquittal in the first-tier trial. That issue is precluded from the second-tier trial on double jeopardy grounds since an acquittal operates to end original jeopardy.
First of all, in our two-tier trial system, a defendant convicted of charges in the first-tier trial remains in “continuing jeopardy” until judgment is final in the second-tier trial.
Jus
Second, because the defendant remained in continuing jeopardy, he faced only one prosecution. Double jeopardy intervenes to protect defendants from facing multiple prosecutions for the same offense. “[T]he State with all its resources and power should not be allowed to make repeated attempts to convict an individual for an alleged offense, thereby subjecting him to embarrassment, expense and ordeal and compelling him to live in a continuing state of anxiety and insecurity, as well as enhancing the possibility that even though innocent he may be found guilty.”
Costarelli, supra
at 681, quoting
Green
v.
United States,
355 U.S. 184, 187-188 (1957). In
Grady,
the defendant was subjected to two separate prosecutions for the same offense. In the first trial he faced only misdemeanor charges; in the second, the government brought felony charges and based its case on the lesser included offenses of which he was convicted in the first trial. In stark contrast, Woods was not
prosecuted
twice but, rather, he himself chose to be
tried again
in the hope of securing acquittals to replace previous convictions.
11
There was
For these reasons, we hold that the defendant’s double jeopardy claim fails.
2. Collateral estoppel. The defendant argues that because he was found not guilty of driving while under the influence, the Commonwealth was precluded on collateral estoppel grounds from introducing in the second trial any evidence regarding his consumption of alcohol. He claims that the trial judge erred in denying his motion to exclude such evidence. For the reasons stated above, this claim is without merit.
The doctrine of collateral estoppel operates in criminal proceedings as part of the guarantee against double jeopardy.
Commonwealth
v.
Scala,
380 Mass. 500, 503-504 (1980). Contrary to the defendant’s claim, the doctrine has a narrow application: “[w]hen an issue of ultimate fact has once been determined by a valid and final judgment, that issue cannot again be litigated between the same parties in any future lawsuit.”
Commonwealth
v.
Pero,
402 Mass. 476,
477
(1988), quoting
Ashe
v.
Swenson,
397 U.S. 436, 443 (1970). It applies to factual issues, not evidence. See
Commonwealth
v.
Benson,
389 Mass. 473, 478, cert. denied, 464 U.S. 915 (1983). As stated above, the only issue of fact foreclosed by the first trial was whether the defendant was driving while intoxicated. The Commonwealth was estopped from raising that issue in the trial de nova. “The doctrine of collateral estoppel will preclude either the subsequent prosecution or the introduction or argument of certain facts, only if the jury could not have based their verdict rationally on an issue other than the one the defendant seeks to foreclose.”
Benson, supra
at 478. To prove negligent operation, the Common
We hold that the trial judge did not err in denying the defendant’s motion to exclude evidence on collateral estoppel grounds.
3. Insufficient evidence. The defendant asserts that the trial judge erred in failing to allow his motion for a required finding of not guilty based on insufficient evidence that the defendant was the operator of the motor vehicle at the time of the accident. After reviewing the record, we conclude that there was ample evidence to support a jury verdict.
A motion for a required finding of not guilty will be allowed only where “the evidence is insufficient as a matter of law to sustain a conviction on the charge.”
4. Rulings on evidence. The defendant claims the trial judge committed reversible error when ruling on three evidentiary matters. First, he claims that evidence concerning the possession of marihuana by a person who was also found in the front seat of the motor vehicle was improperly excluded. He argues that such evidence is probative of who was operating the motor vehicle at the time of the accident. This argument presumes that from the mere evidence of possession the jury could have inferred that (1) the person ingested the marihuana; (2) the marihuana produced a degradation of his motor skills; (3) such a degradation of motor skills could have caused an accident similar to the one at issue here, and, therefore, (4) that person might have been driving. Such a chain of inference is tenuous at best and, without any supporting evidence, approaches impermissible speculation at worst. It opens up collateral issues regarding the possession and use of marihuana among the passengers as well as stirring up prejudice. It is well within the trial judge’s discretion to determine if the prejudicial effect of such evidence outweighs its probative value. Commonwealth v. D’Agostino, 344 Mass. 276, 279, cert. denied, 371 U.S. 852 (1962). The trial judge’s determination stands, absent palpable error. Commonwealth v. Dunn, 407 Mass. 798, 807 (1990), and cases cited. Considering its limited probative value, we believe the trial judge committed no error by excluding such evidence. See Commonwealth v. Scott, 408 Mass. 811, 816 (1990) (admission of evidence of crimes committed by individuals other than the defendant will not be disturbed on appeal unless justice requires reversal).
Third, the defendant claims that the trial judge should have excluded evidence that the arresting officer handed the defendant’s parents a citation for the defendant as impermissible opinion evidence, c and that his failure to do so shifted the burden of proof in violation of due process principles. We note, first of all, that the police were required to establish that a citation for the accident was given to the defendant or sent to his residence for the charge of operation after the suspension of a license,
5. Prosecutorial misconduct. The defendant claims that the judge erred in not granting him a mistrial after the prosecutor made appeals to the sympathy of the jury. The defendant cites three specific incidents. After reviewing these incidents, we conclude that the defendant did not suffer undue prejudice, and therefore a mistrial was not warranted.
The defendant draws this court’s attention first to the prosecution’s closing argument. The prosecutor stated that the defendant was more “fortunate” than the other passengers who died in the accident. Although this statement surely evoked an emotional reaction, it did not require a mistrial. It is well within the trial judge’s discretion to deny a mistrial on the ground of prosecutorial misconduct and to rely on appropriate curative instructions even in the case of intentional misstatements by the prosecution.
Commonwealth
v.
Charles,
397 Mass. 1, 12 (1986). Of course, any claim of prejudice must be examined in the context of the trial. In this case, the statement accurately described the results of the accident.
Commonwealth
v.
Quigley,
391 Mass. 461, 464 (1984), cert. denied, 471 U.S. 1115 (1985) (ironic statement based on the evidence not misconduct). Moreover, the prosecutor’s statement concerning the deaths of two passengers was neither irrational nor irrelevant to the charge of vehicular homicide by negligent operation.
Commonwealth
v.
Clary,
388 Mass. 583, 592 (1983) (extended characterization of the defendant as a lesbian constituted misconduct).
Commonwealth
v.
Shelley,
374 Mass. 466, 470-471 (1978)
S.C.,
381 Mass. 340 (1980) (repeated ridicule of defendant’s witnesses constituted misconduct). Furthermore, in labelling the
Next, the defendant claims error in the prosecutor’s argument that his recollection was that at the hospital the defendant asked only about “my truck” and not about the other passengers. Closing arguments are reviewed in light of jury instructions and the evidence presented during trial. Commonwealth v. Lamrini, 392 Mass. 427, 432 (1984). In this case, the issue of who was driving at the time of the accident was hotly contested. Defendant’s statements concerning “my truck” were highly probative of that issue. Thus, the argument was not made solely to stir up resentment against the defendant. With regard to any prejudicial effect, the judge instructed the jury not to allow sympathy to control their decision and to view the closing statements as arguments but not evidence. Since the prosecutor was again relying on the evidence presented at trial and not his imagination, the jury instructions adequately responded to any injury the defendant may have suffered from this argument.
Lastly, the defendant strongly objects to the identification of the victims’ parents in the courtroom. We agree with the defendant that such tactics which appeal solely to the sympathy of the jury should not be condoned. In the context of this trial, however, the defendant was not unfairly prejudiced. We note that defense counsel asked a witness on cross-examination to point out the defendant’s parents, who were sitting in the courtroom. Furthermore, both the prosecution and defense counsel referred to the parents and families of the passengers and the defendant several times throughout the trial. Therefore, there was no error.
When mitigating factors were present at trial, and curative instructions were read to the jury, we defer to the judgment of the trial judge, who was in the better position to determine the prejudice to the defendant in the context of the trial.
Commonwealth
v.
Martino,
412 Mass. 267, 281-282 (1992). We hold that these statements and actions by the prosecution
For these reasons, we conclude that there were no prejudicial errors at trial, and, therefore, we affirm the convictions.
Judgments affirmed.
Notes
We note that a blood alcohol level at or below five one-hundredths (.05) entitles the defendant to a presumption that he was not under the influence of intoxicating liquor.
The double jeopardy clause of the Fifth Amendment to the United States Constitution provides, “[N]or shall any person be subject for the same offense to be twice put in jeopardy of life or limb.”
The test effectuates three protections embodied in the double jeopardy clause: “It protects against a second prosecution for the same offense after acquittal. It protects against a second prosecution for the same offense after conviction. And it protects against multiple punishments for the same offense.” Grady v. Corbin, 495 U.S. 508, 510 (1990), quoting North Carolina v. Pearce, 395 U.S. 711, 717 (1969).
Double jeopardy protection applies equally to bench and jury trials. United States v. Morrison, 429 U.S. 1, 3 (1976).
The Grady Court also noted that the older Blockburger test for double jeopardy, see Blockburger v. United States, 284 U.S. 299, 304 (1932), “has nothing to do with the evidence presented at trial,” Grady, supra at 521 n.12. The Court went on to say that “[a] true ‘same evidence’ test would prevent the government from introducing in a subsequent prosecution any evidence that was introduced in a preceding prosecution. It is in this sense that we discuss, and do not adopt, a ‘same evidence’ or ‘actual evidence’ test.” Id.
The Blockburger test is identical to the so-called Morey test applied by this court in double jeopardy cases to distinguish offenses under criminal statutes which do not address the question of consecutive punishments. Morey v. Commonwealth, 108 Mass. 433, 434 (1871). In light of double jeopardy concerns, if two offenses describe the same conduct, then we presume that the Legislature did not intend consecutive punishments. See Commonwealth v. Alvarez, 413 Mass. 224, 230-232 (1992). The Morey test has a long history in the common law of Massachusetts. Id.
With regard to the conspiracy charge, the court held that a substantive crime and a conspiracy to commit that crime are not the “same offense” for double jeopardy purposes. United States v. Felix, 112 S.Ct. 1377, 1384 (1992).
Because the defendant was acquitted on the issue of driving while under the influence of alcohol, he was entitled to a jury instruction on that point. After reviewing the trial judge’s instructions, we believe they adequately protected the defendant’s rights in this regard.
In his first trial Woods was acquitted of vehicular homicide while driving under the influence of alcohol but convicted of what was essentially the lesser included offense of vehicular homicide by negligent operation. Both charges require proof of negligent operation, but vehicular homicide while under the influence requires, additionally, proof of intoxication.
The United States Supreme Court has repeatedly upheld the trial de nova system against double jeopardy claims. See Justices of Boston Mun. Court v. Lydon, 466 U.S. 294, 304-305 (1984). Moreover, the State need not provide review of a bench trial beyond trial de nova. Griffin v. Illinois, 351 U.S. 12, 18 (1956).
We note here that the defendant cites in his brief an incorrect test for the admissibility of evidence. Even evidence that is barely probative may be, nonetheless, relevant and therefore admissible unless outweighed by prejudice to the defendant. See Green v. Richmond, 369 Mass. 47, 59 (1975).