Commonwealth v. Angelo Todesca Corp.
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Full Opinion
A jury found the defendant, a corporation, guilty of H
1. Facts. Viewing the evidence in the light most favorable to the Commonwealth, the jury could have found the following facts. See Commonwealth v. Latimore, 378 Mass. 671, 676-677 (1979). In December, 2000, Brian Gauthier, an experienced track driver, was employed by the defendant, Angelo Todesca Corporation, a trucking and paving company. At the time, Gauthier was driving a ten-wheel tri-axle dump track, designated AT-56, for the defendant; he had driven this particular vehicle for approximately one year.
When Gauthier was first assigned to AT-56, the truck had a functioning back-up alarm, but around November, 2000, he realized that the back-up alarm was missing. The defendantâs mechanic determined that the vehicleâs electrical system was working properly: it simply needed a new alarm installed. The mechanics did not have a back-up alarm in stock at the time. Although Gauthier continued to operate the truck without the back-up alarm, he noted its absence each day in a required safety report.
In late 2000, the defendant was hired to provide asphalt for a roadway widening and improvement project on Route 28, a State highway, in Centerville. On December 1, 2000, the defendantâs drivers were repaving a mile-long section of Route 28 near the entrance to a shopping mall. Although different sections of the four-lane highway were closed as the paving work progressed, the mall was open for business, and at least one lane always remained open to traffic. To ensure that vehicles could enter and leave the mall safely, the victim, a sixty-one year old police officer, was stationed near the driveway leading into the mall parking lot, directing traffic through the work site. The victim had worked such details before and requested this assignment at the site. He wore a full-length bright orange raincoat and a hat with ear flaps, but he had no difficulty hearing or communicating with the work crew.
On December 1, Gauthier was assigned to haul asphalt from a plant in Rochester to the work site in Centerville, and he made three trips from the plant to Centerville that day. His truck weighed more than 79,000 pounds when carrying a full load of asphalt. When Gauthier delivered his first load, he
When he arrived at the work site with his third load of asphalt, Gauthier conversed briefly with several other drivers and the victim to discuss the order in which the drivers should deliver their asphalt. They decided that Gauthier should back up first, and he told the victim that he was next in line for the paver. Another driver then asked the victim to âwatch our back[s]â as the trucks backed through the intersection. No one informed the victim that Gauthierâs truck did not have a functioning back-up alarm. When Gauthier returned to his truck, he turned off the radios, rolled down his window, checked his mirrors, put the truck in its lowest reverse gear, and began to back up.
Gauthier was charged with manslaughter, motor vehicle homicide, and failure to use due care in backing up. Before the defendantâs trial, the manslaughter charge against Gauthier was dismissed, and the remaining charges were continued without a finding for three years. Gauthierâs driving privileges were restricted, and he paid a fine.
The jury convicted the corporation of motor vehicle homicide, but found it not guilty of involuntary manslaughter. At sentencing, the defendant was fined $2,500. The Appeals Court, however, reversed the conviction, finding insufficient evidence of Gauthierâs negligence because while he backed up he âtook all reasonable precautionsâ to ensure the victimâs safety. Commonwealth v. Angelo Todesca Corp., 62 Mass. App. Ct. 599, 607-608 (2004). The Appeals Court also concluded that there was insufficient evidence that the absence of a functioning back-up alarm caused the collision: the victim knew the truck was going to back up and âdid not need to be warned by a beeping sound.â Id. at 608. The Appeals Court found it âspeculativeâ to suggest that a back-up alarm could have prevented the collision because the victim did not react to the much louder air horns sounded by other drivers. Id. at 608-609.
2. Standard of review. In determining whether the evidence presented at trial was sufficient to sustain a conviction, we must view that evidence in the light most favorable to the Commonwealth to determine whether âany rational trier of fact could have found the essential elements of the crime beyond a reasonable doubtâ (emphasis in original). Commonwealth v. Latimore, 378 Mass. 671, 677 (1979), quoting Jackson v. Virginia, 443 U.S. 307, 318-319 (1979). âA jury may find a crime proved beyond a reasonable doubt even though the inference of guilt from the facts established is not inescapable or necessary.â Commonwealth v. Gagnon, 408 Mass. 185, 200-201 (1990).
3. Corporate liability for motor vehicle homicide. As a threshold matter, the parties agree that corporate criminal liability is governed by the standards outlined in Commonwealth v. Beneficial Fin. Co., 360 Mass. 188 (1971), cert. denied sub nom. Farrell v. Massachusetts, 407 U.S. 910 (1972), and sub nom. Beneficial Fin. Co. v. Massachusetts, 407 U.S. 914 (1972), and in Commonwealth v. L.A.L. Corp., 400 Mass. 737 (1987). In Commonwealth v. Beneficial Fin. Co., supra at 256, we held that before criminal liability may be imposed on a corporate defendant:
âThe Commonwealth must prove that the individual for whose conduct it seeks to charge the corporation criminally was placed in a position by the corporation where he had enough power, duty, responsibility and authority to act for and in behalf of the corporation to handle the particular business or operation or project of the corporation in which he was engaged at the time that he committed the criminal act . . . and that he was acting for and in behalf of the corporation in the accomplishment of that particular business or operation or project, and that he committed a criminal act while so acting.â
We rejected the argument that corporations can be liable criminally for conduct of employees only if such conduct âwas performed, authorized, ratified, adopted or tolerated byâ corporate officials or managers. Id. at 254.
The Appeals Court correctly summarized the elements of corporate criminal liability:
âTo prove that a corporation is guilty of a criminal offense, the Commonwealth must prove the following three elements beyond a reasonable doubt: (1) that an individual committed a criminal offense; (2) that at the time of committing the offense, the individual âwas engaged in some particular corporate business or projectâ; and (3) that the individual had been vested by the corporation with the authority to act for it, and on its behalf, in carrying out that particular corporate business or project when the offense occurred.â
Commonwealth v. Angelo Todesca Corp., supra at 605, citing Model Jury Instructions for Use in the District Court § 5.07 (1995); Commonwealth v. L.A.L. Corp., supra at 744.
Although the parties do not challenge these standards of corporate criminal liability on appeal, there is significant disagreement about the application of these principles to this case. The defendant appears to concede that Gauthier was engaged in corporate business when he struck the victim, and that he was authorized by the defendant to conduct such business. Thus, the essence of the defendantâs arguments deals with the first element of corporate criminal liability: namely, the requirement that an employee committed a criminal offense. The defendant maintains that a corporation never can be
We agree with the Commonwealth. Because a corporation is not a living person, it can act only through its agents. Commonwealth v. L.A.L. Corp., supra at 743. See Sarvis v. Boston Safe Deposit & Trust Co., 47 Mass. App. Ct. 86, 96 (1999), quoting Sunrise Props., Inc. v. Bacon, Wilson, Ratner, Cohen, Salvage, Fialky & Fitzgerald, P.C., 425 Mass. 63, 66 (1997) (âA corporation is a creature of the law . . . â[that] can only act through its agentsâ â); Commonwealth v. Duddie Ford, Inc., 28 Mass. App. Ct. 426, 441 (1990), S.C., 409 Mass. 387 (1991), quoting Commonwealth v. Beneficial Fin. Co., supra at 263-264 (âcorporate criminal liability is necessarily vicariousâ). By the defendantâs reasoning, a corporation never could be liable for any crime. A âcorporationâ can no more serve alcohol to minors, or bribe government officials, or falsify data on loan applications, than operate a vehicle negligently: only human agents, acting for the corporation, are capable of these actions. Nevertheless, we consistently have held that a corporation may be criminally liable for such acts when performed by corporate employees, acting within the scope of their employment and on behalf of the corporation. See Commonwealth v. L.A.L. Corp., supra (sale of alcohol to minors); Commonwealth v. Beneficial Fin. Co., supra (bribes to government officials); Commonwealth v. Duddie Ford, Inc., supra (false data on loan applications). The defendantâs argument thus finds no support in our corporate liability jurisprudence. Legislative intent likewise does not support the defendantâs reasoning: by including corporations within the general statutory definition of âperson,â the Legislature evinced a general intent to hold corporations legally account
The defendant further contends that it cannot be found vicariously liable for the victimâs death because corporate criminal liability requires criminal conduct by the agent, which is lacking in this case. Operating a truck without a back-up alarm, the defendant notes, is not a criminal act: no State or Federal statute requires that a vehicle be equipped with such a device. Although the defendant is correct that criminal conduct of an agent is necessary before criminal liability may be imputed to the corporation, it mischaracterizes the agentâs conduct in this case. Gauthierâs criminal act, and the conduct imputed to the defendant, was not simply backing up without an alarm, as the defendant contends; rather, the criminal conduct was Gauthierâs negligent operation of the defendantâs truck, resulting in the victimâs death, in violation of G. L. c. 90, § 24G (b). Clearly, a corporation cannot be criminally liable for acts of employee negligence that are not criminal; however, G. L. c. 90, § 24G (b), criminalizes negligence in a very specific context (the operation of a motor vehicle on a public way) and with a specific outcome (resulting in death). Furthermore, nothing in that statute requires that the negligence be based on a statutory violation; the fact that a back-up alarm is not required by statute, then, is irrelevant to the issue whether vehicular homicide committed by an employee can be imputed to the corporation. Cf. Akron v. Redman, 70 Ohio Misc. 33, 36 (1981) (âvehicular homicide now includes negligence in general and is not limited
4. Sufficiency of evidence of negligence. Applying the standards of corporate criminal liability described above, the Commonwealth first must prove that the defendantâs employee or agent committed the criminal act with which the corporation was charged. Here, that criminal act is homicide by motor vehicle, as defined in G. L. c. 90, § 24G (b). The elements necessary to find criminal culpability for vehicular homicide under this statute are â(1) operation of a motor vehicle, (2) upon a public way, (3) recklessly or negligently so as to endanger human life or safety, (4) thereby causing the death of a person.â Commonwealth v. Burke, 6 Mass. App. Ct. 697, 699 (1978). Thus, for the defendant to be liable, the Commonwealth must prove that Gauthier, the defendantâs driver, operated the truck negligently.
âA finding of ordinary negligence sufficesâ to establish homicide by motor vehicle in violation of G. L. c. 90, § 24G (b). Commonwealth v. Jones, 382 Mass. 387, 389 (1981). Commonwealth v. Diaz, 19 Mass. App. Ct. 29, 36 (1984). âNegligence ... in its ordinary sense, is the failure of a responsible person, either by omission or by action, to exercise that degree of care, vigilance and forethought which ... the person of ordinary cautian and prudence ought to exercise under the particular circumstances.â Beaver v. Costin, 352 Mass. 624, 626 (1967), quoting Altman v. Aronson, 231 Mass. 588, 591 (1919). The operator of a motor vehicle has a duty to exercise ordinary care for the safety of others while operating the vehicle. Catanese v. MacEntee, 333 Mass. 132 (1955) (pedestrian and motorist). See R.J. Kenney, Jr., & T.J. Farris, Motor Vehicle Law and Practice § 1.2, at 3 (3d ed. 1998). â[T]he amount of care that the prudent person would exercise varies with the circumstances, the care increasing with the likelihood and severity of the harm threatened.â Goldstein v. Gontarz, 364 Mass. 800, 805 (1974).
Bearing in mind that âjuries are uniquely qualified to apply
However, a reasonable jury could have found that Gauthier was negligent based on other evidence adduced at trial. It was undisputed that Gauthierâs truck was not equipped with a functioning back-up alarm at the time of the collision, and that he knew the alarm was missing.
Here, Gauthier operated the truck without a back-up alarm, in clear violation of the defendantâs own safety policy. The Commonwealth also presented evidence that the defendantâs customary practice was to install back-up alarms on its trucks. Other drivers at the work site had functioning back-up alarms, and although they spoke moments before the collision, Gauthier never informed the victim that his truck did not have an alarm. The jury, then, could have inferred that the victim, a veteran police officer, was aware that the defendantâs custom was to equip its trucks with back-up alarms, and that the victim expected to hear a back-up alarm when a driver operated a truck in reverse. Thus, whether framed as Gauthierâs failure to adhere to his employerâs safety rules, or as his departure from a customary practice relied on by the victim, the result is the same: the jury reasonably could have concluded, on either theory, that Gauthier was negligent in operating the defendantâs truck without a back-up alarm.
Because simple negligence, determined by the same standard
5. Sufficiency of evidence of causation. The Appeals Court held that the Commonwealth presented insufficient evidence of causation, reasoning that there was âno evidence that a back-up alarm would have changed the result, and thus no evidence of a causal nexus.â Commonwealth v. Angelo Todesca Corp., supra at 608. The defendant claims that the Appeals Court properly determined that the victim would not have heard a back-up
â[T]he appropriate standard of causation to be applied in a negligent vehicular homicide case under § 24G is that employed in tort law.â Commonwealth v. Berggren, 398 Mass. 338, 340 (1986). âWhether negligent conduct is the proximate cause of an injury depends ... on whether the injury to the plaintiff was a foreseeable result of the defendantâs negligent conduct.â Kent v. Commonwealth, 437 Mass. 312, 320 (2002). Such conduct may be a proximate cause of death âif, âin the natural and continuous sequence,â it produces the death, and the death would not have occurred in its absence.â Commonwealth v. Osachuk, 43 Mass. App. Ct. 71, 73 (1997), quoting Commonwealth v. Rhoades, 379 Mass. 810, 825 (1980). âSubject to those comparatively rare situations when a court is able to draw the outer limits, questions of proximate cause are in the province of the jury.â Hopping v. Whirlaway, Inc., 37 Mass. App. Ct. 121, 125 (1994).
Here, a reasonable jury could have found that the truckâs collision with the victim, and the victimâs ensuing death, was a foreseeable result of Gauthierâs operating the defendantâs truck in reverse without the customary back-up alarm, and without informing the victim that the alarm was missing. We do not agree with the Appeals Courtâs conclusion that the fact that the victim did not move out of the truckâs path means that he did not hear the back-up alarm on the other truck, and therefore would not have heard a back-up alarm on Gauthierâs truck: the jury may have concluded that the victim did hear the back-up alarm on the other truck, but that he reasonably believed that vehicle to be a safe distance away. The jury also could have inferred, based on testimony concerning the location of a back-up alarm on the vehicle, that an alarm on Gauthierâs truck would have sounded practically in the victimâs ear, alerting him to the truckâs movement in time to get out of its way. In addi
The defendant also claims that it cannot be liable for vehicular homicide because the victimâs negligence was the sole cause of his death. âIn criminal cases, as opposed to civil negligence suits, a victimâs contributory negligence, even if it constitutes a substantial part of proximate cause (but not the sole cause), does not excuse a defendant whose conduct also causes the death of another.â Commonwealth v. Campbell, 394 Mass. 77, 87 (1985). While the defendant is correct that it cannot be liable if the victimâs conduct was the sole cause of the accident, it was for the jury to determine whether, and to what extent, the victimâs conduct may have contributed to the collision. Both sides argued this issue extensively at trial, and because the jury were properly instructed on causation, they must have determined that Gauthierâs negligence was a substantial cause of the collision, even if the victimâs conduct also was a factor. See Lawrence Sav. Bank v. Levenson, 59 Mass. App. Ct. 699, 707 (2003) (âquestion of causation is generally one of fact for the juryâ). Thus, the defendantâs claim that the victim was the sole cause of the collision fails.
6. Sufficiency of evidence of operation on a public way. â[I]t is essential that a vehicular homicide occur âupon a way or in a place to which members of the public have access.â â Commonwealth v. Geisler, 14 Mass. App. Ct. 268, 276 (1982), quoting Commonwealth v. Jones, supra at 393. The definition of â[w]avâ in G. L. c. 90, § 1, includes âany public highway.â
We agree with the Commonwealth. Although sections of the highway were closed during roadway paving, at least one lane remained open to traffic. The jury heard conflicting testimony about the location of cones on the highway, and jurors may have credited the testimony of those witnesses who stated that no cones had been placed near the mall entrance. Furthermore, the mall was open for business, and the victimâs responsibility was to direct traffic in and out of the mall parking lot, across the work site. In fact, a witness testified that a car leaving the mall cut across Gauthierâs path moments before the collision. The jury thus could have determined that the road was accessible to members of the public who wished to visit the mall, satisfying the public way element of the vehicular homicide statute.
7. Conclusion. For the foregoing reasons, we conclude that the evidence was sufficient to support the conviction.
Judgment affirmed.
General Laws c. 90, § 24G (b), provides: âWhoever, 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 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 . . . .â
The defendant also was charged with involuntary manslaughter under G. L. c. 265, § 13, based on this incident; the jury found the defendant not guilty of this offense.
The defendantâs practice was to assign the same truck to the same driver each day, to enable the driver to become familiar with the operation of that particular vehicle.
Page four of the safety manual, admitted in evidence at trial, stated: âThe
The defendant gave a driver or mechanic discretion to determine whether a truck was safe to operate. If a truck did not run, however, its driver was not paid.
Another driver was backing up at the same time as Gauthier, approximately fifty to sixty feet in front of his truck. This driverâs truck did have a functioning back-up alarm, which was sounding as he backed up.
One witness testified that the victim was looking down as he walked toward the paver, and that he appeared to be âdoing something with his hands,â although this witness could not actually see the victimâs hands. Another witness testified that the victim was looking down the road.
Gauthier testified that he heard horns as he backed up, but he did not know who was sounding the horns or why.
Gauthier estimated that from one to five minutes had elapsed between his conversation with the victim and the collision.
Barnstable police officials investigating the collision believed that the victimâs condition was stable, and that they could interview him after he was taken to the hospital. On scene, the victim told police that he was facing away from the truck when he was hit; in the ambulance, the victim told a paramedic that he âhad really screwed up.â
General Laws c. 4, § 7, Twenty-third, provides: âIn construing statutes the following words shall have the meanings herein given, unless a contrary intention clearly appears . . . â[p]ersonâ or âwhoeverâ shall include corporations, societies, associations and partnerships.â
Other States to consider this issue also have concluded that a corporation may be criminally liable for negligent vehicular homicide under their statutes. See, e.g., Commonwealth v. McIlwain Sch. Bus Lines, Inc., 283 Pa. Super. 1, 14-15 (1980); State v. Richard Knutson, Inc., 196 Wis. 2d 86 (Ct. App. 1995).
The defendant contends that the lack of a back-up alarm is irrelevant under G. L. c. 90, § 24G (b), because the statute regulates only the manner in which a vehicle is operated, and not the vehicleâs condition or lack of safety equipment. To the extent that the absence of the back-up alarm is not a violation of a statute or regulation that would constitute evidence of negligence, this case was not tried on that theory. Here, evidence of the defendantâs custom of using trucks with back-up alarms at its work sites, and its published safety policy requiring that all trucks have these alarms at all times, were relevant in evaluating whether Gauthierâs operation of his vehicle was negligent.
The dissent contends that the evidence was insufficient because there was no evidence that the defendantâs custom âwas to utilize only trucks with working [back-up] alarms.â Post at 150. The point is appropriate for closing argument, but we are obliged by Commonwealth v. Latimore, 378 Mass. 671, 676-677 (1979), to view the evidence in the light most favorable to the Commonwealth. Here, there was evidence that the defendant installed back-up alarms on all its trucks, and that it required these alarms to protect people behind the vehicles. Gauthier was aware of this policy because the truck as
Contrary to the dissentâs further assertion that there was no evidence that the victim knew of, and relied on, the custom, post at 151, the jury reasonably could have inferred this from the concerns both Gauthier and other drivers had about the absence of a back-up alarm from Gauthierâs truck. Testimony that another truck, farther away from the victim but backing up at the same time as Gauthier, did have a functioning alarm, which sounded as its driver backed toward the paver, also could support an inference that the victim would have expected Gauthierâs truck to have a similar alarm. (As discussed in greater detail, infra at 141, a back-up alarm sounding on another truck may not have provided sufficient warning to the victim about the location of Gauthierâs vehicle.) In addition, at least two other dri