Commonwealth v. McEvoy
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Opinion
SACKS, J.
*309
After a District Court jury trial, the defendant was convicted of leaving the scene of an accident causing both personal injury and property damage and of operating a motor vehicle with a suspended license.
1
On appeal, the defendant claims that (1) admission in evidence of the registry of motor vehicles' (registry) "mailing confirmation" document related to his notice of license suspension violated the confrontation clause and was erroneous on other grounds, (2) the Commonwealth offered insufficient evidence to prove that he had notice of his license suspension, (3) his motion to suppress the victim's pretrial identification of him from a photographic array was erroneously denied, and (4) the judge improperly omitted a portion of the
Gomes
jury instruction addressing eyewitness identification under high stress. See
Commonwealth
v.
Gomes
,
*771 *310 Background . The jury could have found that on July 3, 2013, Andres Santana was operating his motorcycle in Lynn, when a sport utility vehicle (SUV) pulled out from a side street to make a turn. Unexpectedly, however, a green sedan pulled out immediately behind the SUV and then stopped in Santana's travel lane, forcing him to brake. Santana saw the driver of the sedan for about a second and observed that he was wearing a white tank top and that his left arm was tattooed. Anticipating that the sedan might proceed forward, Santana tried to steer to the right and rear of the sedan to avoid a collision. The driver, however, stared directly at Santana, "ma[king] perfect eye contact," and momentarily froze.
Santana's motorcycle struck the sedan's driver's side rear quarter panel, propelling him into the air and over the sedan. He hit the road and rolled underneath a stopped vehicle, and by the time he stood up, he could not see the sedan. He received medical treatment and his motorcycle was later declared a total loss.
A Lynn police officer arrived and spoke with Santana. The officer also found a bumper, with the license plate attached, in the intersection. A few hours later, the officer was dispatched to a street less than a mile away where a 1997 green Geo Prism sedan was found parked. The Prism had damage to the rear driver's side and matched the license plate left in the intersection. The defendant was the registered owner of the Prism.
Two days later, on July 5, the defendant reported to the Lynn police that his Prism had been stolen. He stated that the theft occurred sometime between July 3 and 5, from a street corner in Lynn, and that the keys were in the vehicle and the doors locked. Further police investigation showed that, prior to the date of the collision, the defendant's operator license had been suspended and the insurance and registration for the Prism had been revoked.
Lynn police Officer John Meaney attempted to locate the defendant. On July 11, he went to the address in Peabody listed for the defendant in the registry's records. There was no answer at the door, but the Prism was in the driveway. 2 Officer Meaney noticed damage to the rear quarter panel but saw no damage to the windows, ignition, or steering column.
Several days later, the defendant telephoned Officer Meaney *311 and said that he had brought the sedan to Lynn and parked it there sometime on July 3. The defendant explained that he always left a key under the mat and denied any involvement in the collision.
The police prepared a photographic array that included a picture of the defendant, and on August 15, Officer Meaney showed Santana the array. Santana identified the defendant's photograph as that of the driver. Santana also told Officer Meaney that the driver had tattoos, although they were not visible in the photograph. 3 Santana later identified the defendant in court as the driver. The defense theory, advanced through cross-examination and argument, was misidentification.
*772 Discussion . 1. Registry mailing confirmation . The defendant raises three challenges to the Commonwealth's use at trial of a registry mailing confirmation document to prove that he received notice of his license suspension. He argues that use of the document violated the confrontation clause-both because it was created for use at trial and because it was used to prove an element of the crime-and that it was not properly authenticated.
To prove the charge, the Commonwealth was required to show, among other things, that the defendant had been notified that his license was suspended or revoked. See G. L. c. 90, § 23 ;
Commonwealth
v.
Deramo
,
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SACKS, J.
*309
After a District Court jury trial, the defendant was convicted of leaving the scene of an accident causing both personal injury and property damage and of operating a motor vehicle with a suspended license.
1
On appeal, the defendant claims that (1) admission in evidence of the registry of motor vehicles' (registry) "mailing confirmation" document related to his notice of license suspension violated the confrontation clause and was erroneous on other grounds, (2) the Commonwealth offered insufficient evidence to prove that he had notice of his license suspension, (3) his motion to suppress the victim's pretrial identification of him from a photographic array was erroneously denied, and (4) the judge improperly omitted a portion of the
Gomes
jury instruction addressing eyewitness identification under high stress. See
Commonwealth
v.
Gomes
,
*771 *310 Background . The jury could have found that on July 3, 2013, Andres Santana was operating his motorcycle in Lynn, when a sport utility vehicle (SUV) pulled out from a side street to make a turn. Unexpectedly, however, a green sedan pulled out immediately behind the SUV and then stopped in Santana's travel lane, forcing him to brake. Santana saw the driver of the sedan for about a second and observed that he was wearing a white tank top and that his left arm was tattooed. Anticipating that the sedan might proceed forward, Santana tried to steer to the right and rear of the sedan to avoid a collision. The driver, however, stared directly at Santana, "ma[king] perfect eye contact," and momentarily froze.
Santana's motorcycle struck the sedan's driver's side rear quarter panel, propelling him into the air and over the sedan. He hit the road and rolled underneath a stopped vehicle, and by the time he stood up, he could not see the sedan. He received medical treatment and his motorcycle was later declared a total loss.
A Lynn police officer arrived and spoke with Santana. The officer also found a bumper, with the license plate attached, in the intersection. A few hours later, the officer was dispatched to a street less than a mile away where a 1997 green Geo Prism sedan was found parked. The Prism had damage to the rear driver's side and matched the license plate left in the intersection. The defendant was the registered owner of the Prism.
Two days later, on July 5, the defendant reported to the Lynn police that his Prism had been stolen. He stated that the theft occurred sometime between July 3 and 5, from a street corner in Lynn, and that the keys were in the vehicle and the doors locked. Further police investigation showed that, prior to the date of the collision, the defendant's operator license had been suspended and the insurance and registration for the Prism had been revoked.
Lynn police Officer John Meaney attempted to locate the defendant. On July 11, he went to the address in Peabody listed for the defendant in the registry's records. There was no answer at the door, but the Prism was in the driveway. 2 Officer Meaney noticed damage to the rear quarter panel but saw no damage to the windows, ignition, or steering column.
Several days later, the defendant telephoned Officer Meaney *311 and said that he had brought the sedan to Lynn and parked it there sometime on July 3. The defendant explained that he always left a key under the mat and denied any involvement in the collision.
The police prepared a photographic array that included a picture of the defendant, and on August 15, Officer Meaney showed Santana the array. Santana identified the defendant's photograph as that of the driver. Santana also told Officer Meaney that the driver had tattoos, although they were not visible in the photograph. 3 Santana later identified the defendant in court as the driver. The defense theory, advanced through cross-examination and argument, was misidentification.
*772 Discussion . 1. Registry mailing confirmation . The defendant raises three challenges to the Commonwealth's use at trial of a registry mailing confirmation document to prove that he received notice of his license suspension. He argues that use of the document violated the confrontation clause-both because it was created for use at trial and because it was used to prove an element of the crime-and that it was not properly authenticated.
To prove the charge, the Commonwealth was required to show, among other things, that the defendant had been notified that his license was suspended or revoked. See G. L. c. 90, § 23 ;
Commonwealth
v.
Deramo
,
To meet this burden, the Commonwealth introduced a copy of a May 10, 2013, notice addressed to the defendant, informing him that his license would be suspended effective June 9, 2013 (about one month before the July 3 collision). The notice bore the designation: "USPS ID: 370853." The Commonwealth also introduced a registry document entitled "USPS MAILING CONFIRMATION." The mailing confirmation also bore the designation "USPS ID: 370853," 5 and included the statements, "CREATED BY RMV ON: 05/10/2013" (the same date as the notice), and "RECEIVED BY USPS: 05/13/2013 20:09, AT POST OFFICE: 02205." The documents were certified by the registrar of motor vehicles (registrar) under G. L. c. 90, § 22.
a.
Confrontation clause: purpose for record's creation
. The defendant first argues that the mailing confirmation was inadmissible under
Parenteau
,
In reaching this conclusion, the
Parenteau
court relied on
Melendez-Diaz
v.
Massachusetts
,
Applying these principles, the
Parenteau
court held that the registrar's attestation of mailing, created for use at trial, was inadmissible because it was not "a contemporaneous business record."
Id
. at 10,
In response to
Parenteau
, the registry implemented a system to create such contemporaneous records, and we upheld their admissibility against a confrontation clause challenge in
Royal
,
"The mailing confirmation records introduced in this case appear to be such contemporaneous business records, now maintained by the registry in response to the Parenteau decision. They were properly admitted as evidence that the registry mailed, and prima facie evidence that the defendant received, the notices of intent to suspend his license."
The defendant here nevertheless presses the claim that the mailing confirmations are testimonial because they were not created for any business purpose but instead "were created in the wake of the
Parenteau
case for the sole purpose of allowing the Commonwealth to prove notice of suspensions and revocations at trial without the use of live testimony." Our decision in
Royal
already rejected this argument, concluding that the mailing confirmations, created in response to the roadmap in
Parenteau
for avoiding a confrontation clause problem, did in fact avoid that problem. See
In assessing the purpose for the creation of the mailing confirmations, we are guided by
*314
Commonwealth
v.
Zeininger
,
The defendant in
Zeininger
argued that the OAT certification was inadmissible because "even if a record is prepared in the regular course of business, it does not qualify as a business or official record ... if it was 'calculated for use essentially in the court, not in business.' "
Id
. at 784,
"Rather, OAT prepares the certification records in concert with its statutory charge to administer an internal regulatory program that standardizes 'satisfactory methods, techniques and criteria for the conduct of [breathalyzer] tests.' G. L. c. 90, § 24K. In this sense the records are 'typical of entries made systematically or as a matter of routine to ... provide internal controls ,' which are admissible under the Federal rules and the common law."
Ibid
., quoting from
Palmer
,
In
Zeininger
, the court then turned to, and rejected, the confrontation clause challenge to the OAT certification records. Notwithstanding that the obvious purpose of breathalyzers is to accurately test the blood alcohol levels of OUI suspects, and to provide accurate evidence against those charged with OUI, the court reasoned that "the OAT certification records were made 'for the administration of an entity's affairs and not for the purpose of establishing or proving some fact at trial,' " and thus were nontestimonial.
Id
. at 787,
*315
Much of what the court said in
Zeininger
applies equally to the registry's mailing confirmations. The registry has a statutory duty to notify persons that their operators' licenses have been suspended or revoked. See, e.g., G. L. c. 90, § 22(
d
) ; G. L. c. 90C, § 3(
A
)(6)(
a
). The registry must preserve records of such notices, as well as other documents "maintained in the normal course of business." G. L. c. 90, § 30, as amended by St. 2010, c. 409, § 14. The primary purpose of registry mailing confirmations is to "guarantee, internally, as a matter of course, and when necessary, in court," that the registry has performed its statutory duty of giving notice of license suspensions and revocations.
Zeininger
,
In
Zeininger
, the court stated that "[a]t the time of [OAT's] certification, the hypothetical use of that record in an as-yet-unknown criminal proceeding [was] merely an ancillary purpose, subordinate in importance to the 'administration of the entity's affairs.' "
Id
. at 788,
Further, in
Zeininger
,
"Although [breathalyzer machines] produce evidence that is used only in criminal prosecutions or administrative hearings, the person who performs the test of a machine's accuracy does so with no particular prosecutorial use in mind, and, indeed, there is no guarantee that the machine will ever, in fact, be used."
Zeininger
,
We acknowledge that the court's ruling in
Zeininger
rested in part on its conclusion that OAT certification records were not "offered as direct proof of an element of the offense charged," but instead "bear only on the admissibility or credibility of the [breathalyzer] evidence."
Zeininger
,
b.
Confrontation clause: use of record to prove element of offense
. The defendant next argues that the confrontation clause bars the use of an otherwise admissible business record to prove an element of an offense-here, that he had
*776
notice that his operator's license had been suspended.
7
As just noted, the
Parenteau
court implicitly rejected this argument; we explicitly
*317
rejected it in
Commonwealth
v.
Weeks
,
c. Authentication . Equally unavailing is the defendant's argument that the mailing confirmation was not properly authenticated. The suspension notice and mailing confirmation were attached to an attestation from the registrar, which were signed by her, stating that the "annexed instrument(s) are true copy(s) of the ... notice(s) of suspension/revocation as appearing in the registrar's records." This was sufficient.
That the attestation did not specifically mention the mailing confirmation is not dispositive. Neither of the statutes making attested copies of registry records admissible- G. L. c. 233, § 76, and G. L. c. 90, § 30 -specifies the precise form an attestation must take. See
Commonwealth
v.
Martinez-Guzman
,
2.
Sufficiency of evidence that notice was sent
. Contrary to the defendant's argument, the mailing confirmation contained sufficient details, as outlined
supra
, from which a jury could reasonably infer that the registry mailed the suspension notice to the defendant. See
Royal
,
3. Motion to suppress photographic array identification . The defendant argues that the motion judge erred in denying, after an evidentiary hearing, the motion to suppress Santana's identification of the defendant in the photographic array. The defendant maintains that the identification *777 was so unnecessarily suggestive as to violate constitutional principles and was unreliable under common-law fairness principles. We disagree. 8
a.
Constitutional principles
. In moving to suppress, the defendant had the burden to prove "by a preponderance of the evidence that the identification was 'so unnecessarily suggestive and conducive to irreparable misidentification that its admission would deprive the defendant of his right to due process.' "
Commonwealth
v.
Johnson
,
The defendant asserts six separate flaws in the photographic array identification process. As the relevant facts are undisputed, we review, without deference to the motion judge, the application of the law to those facts. See
id
. at 602,
First, Officer Meaney, because he knew which photograph was that of the suspect (i.e., the defendant) and also presented the array to Santana, did not follow the "double-blind procedure" recognized as the "better practice" in
Silva-Santiago
,
*319 Second, the defendant asserts that Officer Meaney failed to follow the Lynn police department's eyewitness identification procedures, in that he did not obtain a description of the suspect before presenting the photographic array to Santana. But the procedures do not require such a step. They assume, but do not require, that a witness description will be used in order to select "fillers" for the array; they do not make a suspect's resemblance to a previously-obtained description the only permissible basis for including that suspect's photograph in an array. Here, the bumper and license plate left at the scene pointed to the defendant (the Prism's owner) as a logical suspect, 9 and once his photograph was obtained from the registry, photographs of similar-looking persons, from the same source, were used to fill out the array. We see nothing unnecessarily suggestive in this process.
Third, the defendant's claim that the other photographs in the array depicted persons with significantly lighter skin than his is not borne out by the color copy of the array in the record. See
*778
id
. at 795,
Fourth, that the photographs were shown simultaneously rather than sequentially
10
goes to weight rather than admissibility, because there is no near consensus in the scientific community regarding which method is more reliable. See
Commonwealth
v.
Thomas
,
"[The] model jury instructions on eyewitness identification direct juries to 'evaluate the identification with particular care' where the police fail to follow a protocol that is established or recommended by the law enforcement agency conducting the identification procedure.... A defendant may *320 request such an instruction where a police department that has chosen the sequential method fails to employ it in an identification procedure.
Thomas
,
Fifth, the defendant argues that Officer Meaney, by telling Santana that the photograph he had chosen was that of "the registered owner of the car," gave "confirmatory feedback [that] artificially inflate[d] [the] eyewitness's level of confidence in his ... identification."
Commonwealth
v.
Collins
,
Sixth and finally, the defendant notes that, contrary to Lynn police procedures, Officer Meaney did not preserve the photographs from the array or make high quality copies of them; instead, he took a color photograph of the entire array, and that photograph was admitted in evidence at the suppression hearing and at trial. The defendant has not argued, however, that this departure from procedure diminished the accuracy of Santana's identification or furnished any other ground for suppression. Moreover, as noted, the jury were instructed to evaluate "with particular *779 care" an identification not made in accordance with established procedures.
b.
Common-law fairness principles
. The defendant also argues that the identification should have been excluded under common-law
*321
fairness principles, because various factors made it so minimally probative that its value was substantially outweighed by the danger of unfair prejudice arising from the assertedly suggestive circumstances in which it was made. See
Johnson
,
Here, Santana was able to directly observe the driver during daylight, for long enough to observe what he was wearing, that his left arm was tattooed, and the expression on his face. Santana was sufficiently collected to attempt to steer around the Prism. Although Santana had never seen the driver before, and did not identify him from the photographic array until some weeks after the collision, against these factors detracting from the identification's probative value must be balanced the minimal evidence, discussed supra , that the identification was suggestive. The motion judge was not required to conclude that the identification's probative value was substantially outweighed by the danger of unfair prejudice. He did not abuse his discretion in denying the motion to suppress on this basis.
4.
Jury instruction
. The defendant argues that it was error to omit that portion of the provisional identification instruction
*322
appended to
Gomes
,
"You should also consider characteristics of the witness when the observation was made, such as the quality of the witness's eyesight, whether the witness knew the offender, and, if so, how well, and whether the witness was under a high degree of stress -high levels of stress, compared to low to medium levels, can reduce an eyewitness's ability to accurately perceive an event" (emphasis added; footnotes omitted).
*780
Because the defendant did not object to this omission, we review to determine whether any error created a substantial risk of a miscarriage of justice.
14
See
Commonwealth
v.
Keevan
,
The omitted language informs the jury that a high degree of stress
can
reduce accurate observations, but it does not require the jury to conclude that high stress does so, and the jury could have concluded otherwise here.
15
Nor does the language instruct the jury on how to distinguish between "high" levels of stress and "medium" levels, which may actually enhance perception, see
Gomes
,
"One second to observe.... Mr. Santana's life flashed before his eyes .... He was downshifting to a different gear. He *323 knows a crash is imminent. He's approaching quickly to the car. He's trying to swerve his bike out of the way. He hits the rear quarter panel and is ejected from his motorcycle.... He [re]lied on a one-second observation? ... I would suggest to you that you could not."
In addition, another portion of the judge's instruction correctly conveyed a closely related principle to the jury:
"You the jury must decide whether the witness' identification is accurate. Consider the witness' opportunity to observe the offender at the time of the offense; how good a look the witness had of the offender, the degree of attention the witness was paying to the offender at the time, the distance between the witness and the offender ... and the length of time the witness had to observe the offender." 16
That the defendant, despite having requested the
Gomes
instruction, did not object when invited to do so at the conclusion of the charge, see note 14,
supra
, further suggests that the omission was not prejudicial. See
Commonwealth
v.
Lucien
,
Judgments affirmed .
He was also convicted of operating a motor vehicle that was uninsured and had a suspended registration, but those charges were placed on file with his consent, and his claims of error regarding those charges are not before us. Absent exceptional circumstances, convictions of charges placed on file with the defendant's consent cannot be appealed. See
Commonwealth
v.
Delgado
,
Nothing in the record explains how or when the Prism, after being found on a street in Lynn the day of the collision and being reported stolen two days later, was returned to the defendant's driveway.
The photographs in the array showed only the upper shoulders and head of each individual. The defendant's memorandum in support of his motion to suppress asserted that the tattoos "do not in fact exist exactly as described" by Santana to Officer Meaney. There was no testimony at the motion hearing or trial regarding whether or how the defendant was tattooed.
The relevant portion of G. L. c. 90, § 22( d ), as amended by St. 1969, c. 637, provides:
"Notice to any person whose license or registration certificate or right to operate is suspended or revoked under this section or notice to any person of intention to revoke or suspend his license or registration certificate under this section shall be in writing, shall be mailed by the registrar or any person authorized by him ... and a certificate of the registrar that such notice has been mailed in accordance with this section shall be deemed prima facie evidence and shall be admissible in any court of the commonwealth as to the facts contained therein."
This "USPS ID" number was different from the one appearing on the notice that the Prism's registration had been suspended and its corresponding mailing confirmation, permitting the inference that each notice and corresponding mailing confirmation are assigned a different USPS ID number.
The mailing of notice by the registry is not itself an element of the offense; rather, such mailing is ordinarily offered as prima facie proof of the element that the defendant received notice of the license suspension or revocation. See
Commonwealth
v.
Crosscup
,
For purposes of this argument we assume that the defendant is correct in characterizing the registry's mailing of notice as proving an element of the offense. But see note 6, supra .
The defendant further argues that, because Santana's identification based on the photographic array should have been suppressed, his in-court identification should also have been excluded, because it did not meet the independent-source standard as reiterated in
Commonwealth
v.
Johnson
,
This suspicion was bolstered by the defendant's report that his locked Prism had been stolen, combined with Officer Meaney's observations that the Prism parked in the defendant's driveway eight days after the collision had no damage to the windows, ignition, or steering column, although its rear quarter panel was damaged.
Santana actually described a hybrid procedure in which he looked at each photograph as Officer Meaney placed it in front of him on a table, until there were six photographs in front of him; after looking at all of them for another thirty seconds, he chose the defendant's photograph.
We cite
Thomas
and the model instructions for convenience, while recognizing that the judge at the trial here, in June, 2015, did not yet have the benefit of the model instructions and was working instead from the provisional instructions appended to the decision in
Gomes
,
The defendant also argues, for the first time on appeal, that Santana's opportunity to observe the driver was diminished, and thus his identification was less reliable, because Santana was under high stress just before the collision. See
Gomes
,
The defendant also argues, for the first time on appeal, that his dark skin created a risk of cross-racial or cross-ethnic misidentification. See
Commonwealth
v.
Bastaldo
,
Before closing arguments, the defendant requested the
Gomes
instruction; the judge replied that she would give it, but that parts of it were not required, and she would give those parts she thought relevant. After her charge, the judge asked if the parties had "requests for additions, corrections, or objections"; defense counsel replied that she had none. "[W]hen a judge agrees to give a requested instruction ... any claim of error in the adequacy of the instruction must be preserved for appellate review by a postcharge objection."
Commonwealth
v.
Arias
,
The jury could have determined from Santana's testimony describing the defendant's arm position, clothing, facial expression, and tattoos, as well as Santana's detailed description of the various measures he considered and took to avoid the collision and injury to himself, that whatever level of stress Santana was experiencing did not appear to have impaired his ability to accurately perceive the events.
We do not mean to suggest that this portion of the instruction, which was also drawn from the
Gomes
provisional instruction, 470 Mass. at 380,
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