GANTS, J.
On the evening of March 29, 2006, the defendant, a special agent with the office of export enforcement of the United States Department of Commerce, was driving on Congress Street in Boston on his way home from work. Viewed in the light most favorable to the prosecution, the evidence at trial showed that, after the defendant took a right turn onto Dorchester Avenue, the victim rode up to the defendant's passenger side window on his motorcycle to complain that the defendant had nearly hit his friend, who was also driving a motorcycle. The defendant swore at the victim and claimed that the victim's friend had cut him off.
The verbal altercation between the defendant and the victim continued over several blocks. The two men turned left onto Summer Street and drove on, at times side-by-side, with the victim's motorcycle in the left lane and the defendant's vehicle in the right lane. At one point the defendant's vehicle swerved so close to the victim's motorcycle that the victim warned the defendant not to come any closer. The defendant responded by pointing a gun at the victim, and the victim taunted, "What are you going to do, shoot me?" Soon after, the defendant swerved his vehicle again, this time striking the victim's motorcycle and sending the victim flying through the air, causing him serious bodily injury.
The jury were instructed on each of the three indictments, charging the defendant with assault and battery by means of a dangerous weapon (an automobile) and causing serious bodily injury, in violation of G. L. c. 265, § 15A
The Appeals Court affirmed the judgment of conviction of leaving the scene of an accident causing personal injury, but reversed the judgment of conviction of assault by means of a dangerous weapon and set aside the verdict. Commonwealth v. Porro, 74 Mass.App.Ct. 676, 684-685 (2009). The court held that, because there was evidence at trial of more than one swerve of the defendant's vehicle and the judge had refused to instruct the jury that the indictment charged only the final swerve that resulted in the victim's injury, there remained "a substantial risk that the defendant was convicted of a crime for which he was not indicted by a grand jury." Id. at 682, quoting Commonwealth v. Barbosa, 421 Mass. 547, 554 (1995). The court also held that the Commonwealth could not retry the defendant on the charge of aggravated assault and battery by means of a dangerous weapon, because the jury's conviction on the lesser included charge was an implied acquittal of the greater charge; the court allowed the defendant to be retried on the lesser included charge of assault by means of a dangerous weapon under an attempted battery theory. Id.
We granted the defendant's application for further appellate review, but limited our review to the issue whether the defendant can be retried for assault by means of a dangerous weapon. We conclude that the defendant may be retried for assault by means of a dangerous weapon as to the final swerve, but only under a threatened battery theory, not under an attempted battery theory.
Discussion. To determine how our jurisprudence regarding
1. Assault versus assault and battery. The punishments for the crimes of assault and assault and battery, by means of a dangerous weapon (or without), are established by statute, but the elements necessary to convict a person of these crimes are determined by the common law. See Commonwealth v. Gorassi, 432 Mass. 244, 247 (2000); Commonwealth v. Burke, 390 Mass. 480, 482 (1983); G. L. c. 265, § 13A (assault or assault and battery); G. L. c. 265, § 15A (assault and battery by means of a dangerous weapon, and aggravated forms of that crime); G. L. c. 265, § 15B (assault by means of a dangerous weapon). See also Commonwealth v. Stokes, 440 Mass. 741, 747 (2004), quoting Commonwealth v. Burke, 392 Mass. 688, 690 (1984) ("Where the Legislature does not define a term, we presume that its intent is to incorporate the common-law definition of that term, `unless the intent to alter it is clearly expressed'").
Under the common law, there are two theories of assault and battery: intentional battery and reckless battery. Commonwealth v. Burno, 396 Mass. 622, 625 (1986). An intentional assault and battery is "the intentional and unjustified use of force upon the person of another, however slight." Commonwealth v. McCan, 277 Mass. 199, 203 (1931). See Commonwealth v. Moore, 36 Mass.App.Ct. 455, 459 (1994) (assault and battery involves touching that is intentional, not simply result of intentional act). Where the touching is physically harmful, "consent is immaterial," but "a nonharmful touching is a battery only if there is no consent." Commonwealth v. Burke, 390 Mass. at 481. A reckless assault and battery is committed when an individual engages in reckless conduct that results in a touching producing physical injury to another person; an unconsented touching is not
At trial in this case, the prosecution alleged that the defendant intentionally struck the victim's motorcycle with his vehicle, and the jury were instructed on the intentional form of assault and battery. Although there was evidence at trial sufficient to support a conviction on a reckless battery theory, the prosecution did not ask that the jury be instructed on this theory, and no instruction was given.
There are also two theories of assault under the common law: attempted battery and threatened battery. See Commonwealth v. Richards, 363 Mass. 299, 303 (1973). A conviction of assault under a theory of attempted battery requires the prosecution to prove that the defendant "intended to commit a battery, took some overt step toward accomplishing that intended battery, and came reasonably close to doing so." Commonwealth v. Melton, 436 Mass. 291, 295 (2002).
A conviction of assault under a theory of threatened battery requires the prosecution to prove that the defendant engaged in conduct that a reasonable person would recognize to be threatening, that the defendant intended to place the victim in fear of an
An assault under a theory of attempted battery, therefore, has elements different from an assault under a theory of threatened battery. A defendant must intend a battery to be guilty under the attempted battery theory, but a defendant need not intend to strike the victim to be guilty under the threatened battery theory; it is sufficient that a defendant engages in menacing conduct that would place a reasonable person in fear of being struck, that the defendant intends by this conduct to place the victim in fear of an imminent battery, and that the victim recognizes the conduct to be threatening an imminent battery.
2. Lesser included offenses. Because the judge in this case allowed the jury to consider both the attempted battery and the threatened battery theory of assault as lesser included offenses of intentional assault and battery, we must determine whether these instructions complied with our jurisprudence of lesser included offenses. Under our long-standing rule derived from Morey v. Commonwealth, 108 Mass. 433, 434 (1871), a lesser included offense is one whose elements are a subset of the elements of the charged offense. See Commonwealth v. Jones, 382 Mass. 387, 393 (1981). Thus, a "lesser included offense is one which is necessarily accomplished on commission of the greater crime." Commonwealth v. D'Amour, 428 Mass. 725, 748 (1999).
The determination that an offense is a lesser included offense has two significant consequences. First, double jeopardy prohibits a defendant from being convicted, and, therefore, sentenced, for both the greater and lesser offense as a result of the same act. See Commonwealth v. Vick, 454 Mass. 418, 431-433 (2009); Commonwealth v. Ogden O., 448 Mass. 798, 808 (2007). In contrast, where "each offense requires proof of an additional element that the other does not, `neither crime is a lesser-included offense of the other, and the convictions on both are deemed to have been authorized by the Legislature and hence not [duplicative].'"
Second, where one offense is a lesser included, a single indictment for the greater offense allows a jury to be instructed on and to consider any lesser included offenses for which the evidence may support a conviction. See Commonwealth v. Walker, 426 Mass. 301, 303 (1997); Commonwealth v. Perry, 391 Mass. 808, 809, 813-814 (1984). See also Commonwealth v. Gagnon, 387 Mass. 768, 769 (1982), cert. denied, 461 U.S. 921 and 464 U.S. 815 (1983). Lesser included offenses serve an important purpose by "allowing the jury to convict of the offense established by the evidence, rather than forcing them to choose between convicting the defendant of an offense not fully established by the evidence or acquitting, even though the defendant is guilty of some offense." Commonwealth v. Woodward, 427 Mass. 659, 664-665 (1998).
Although we have repeatedly reaffirmed the elements-based approach to lesser included offenses, see, e.g., Commonwealth v. Pimental, 454 Mass. 475, 482 (2009), we have recognized rare circumstances where the purposes of our lesser included offense jurisprudence are not served by a strict application of the doctrine in a particular case. See Commonwealth v. Walker, supra at 305; Costarelli v. Commonwealth, 374 Mass. 677, 684 (1978). In general, the cases where we have diverged from a strict application of the Morey rule have involved instances where, although each offense contains an element that the other does not, the different element in the lesser included offense is routinely undisputed and was not in dispute in the particular case.
In Commonwealth v. Walker, supra at 301-302, a defendant charged with the rape of two six year old children was convicted of indecent assault and battery on a child under the age of fourteen. We affirmed the convictions, concluding that indecent assault and battery on a child under fourteen years of age is a lesser included offense of forcible rape of a child under the age of sixteen, even though the element regarding the victim's age
In Costarelli v. Commonwealth, supra at 683-684, we concluded that unauthorized use of a motor vehicle was a lesser included offense of larceny of a motor vehicle, even though the lesser offense included an element, use on a public way, that was not required for conviction of the greater offense. We noted that, in practice, this element would not often be contested, and that "the characterization of use without authority as a lesser included offense of larceny is in accord with the realities of the offenses and the circumstances within which they occur." Id. at 684. See Commonwealth v. D'Amour, supra at 748-749 (conspiracy is lesser included offense of accessory before fact to murder where accessory charge is based on theory that defendant hired killer).
This case requires us to determine whether each theory of assault is a lesser included offense of assault and battery. The attempted battery theory of assault is clearly a lesser included offense of intentional assault and battery; the elements are the same except that intentional assault and battery contains the additional element that the battery be completed by an actual touching of the victim. The threatened battery theory of assault, however, contains elements not found in either theory of assault and battery: the intent to place the victim in fear of an imminent battery, Commonwealth v. Musgrave, 38 Mass.App.Ct. 519, 523-525 (1995); and the victim's actual apprehension, or
While it does not fit neatly into our elements-based definition of a lesser included offense, we conclude that the threatened battery theory of assault is a lesser included offense of intentional assault and battery. The elements in threatened battery are generally incidental to an intentional assault and battery: the defendant will usually intend to put the victim in fear and the victim will usually recognize the threat posed by the imminent battery.
We have long recognized the Morey rule as a doctrine that respects the Legislature's role as "the primary body that creates, and defines, crimes." Commonwealth v. Jones, 441 Mass. 73, 75 (2004). See Commonwealth v. Vick, 454 Mass. 418, 431-432 (2009). Our decision that a defendant charged with assault and battery faces a single conviction under either theory of assault and battery or either theory of assault is consistent with the Legislature's statutory grouping of these common-law offenses. See G. L. c. 265, § 13A (a) ("Whoever commits an
The defendant cannot fairly contend that he did not receive fair notice that an assault and battery charge includes a charge of assault under a theory of threatened battery. Our common law has long recognized two theories of assault, see Commonwealth v. White, 110 Mass. 407, 409 (1872), and courts have assumed, without deciding, that both forms of assault were lesser included offenses of assault and battery. See, e.g., Commonwealth v. Chambers, supra at 48 & n.1.
3. Lesser included offense instruction. Having concluded that both theories of assault are lesser included offenses of intentional
In a typical case, the issue is posed in the context of a defendant who was convicted of the greater offense and claims that the judge erred in failing to give a requested lesser included offense instruction or that counsel was ineffective in failing to ask for such an instruction. See, e.g., id.; Commonwealth v. Staines, 441 Mass. 521, 537 (2004); Commonwealth v. Campbell, 352 Mass. 387, 391-392 (1967). In these cases, we have concluded that a defendant's entitlement to a lesser included offense instruction depends not only on the existence of a possible factual scenario justifying a conviction of the lesser but not the greater offense, but also on evidence of a dispute at trial about the element that distinguishes the two offenses. See Commonwealth v. Staines, supra at 538; Commonwealth v. Donlan, supra at 336-338. "[T]here must be `some evidence on the element differentiating the greater and lesser offenses,'" that is, some evidence that specifically puts in question an element of the greater offense that is not required of the lesser offense. Id. at 336-337, quoting Commonwealth v. Egerton, 396 Mass. 499, 505 (1986). The "some evidence" that is required, "in ordinary circumstances, cannot be the mere possibility that the jury might not credit a portion of the Commonwealth's evidence." Commonwealth v Donlan, supra at 337. "The judge need not reconstruct all possible factual scenarios subsumed in the evidence presented, no matter how unreasonable, and charge the jury accordingly." Id., quoting Commonwealth v. Egerton, supra.
Less typically, the issue is posed where a defendant is convicted of the lesser included offense and claims that the judge erred in
This case, like Commonwealth v. Thayer, supra, requires us
The jury, however, reasonably could have found the defendant guilty of threatened battery assault but not guilty of the intentional assault and battery charged. The evidence permitted the jury reasonably to conclude that they had a reasonable doubt whether the defendant intended to strike the victim or his motorcycle, but no doubt that he at least intended to scare the victim by swerving close to him. While the defendant, who testified in his own defense, stated that he did not know the victim was to his left when he swerved, and no attorney in closing argument claimed that the defendant meant to scare the victim, a jury
Because a lesser included instruction as to the offense of assault by means of a dangerous weapon based on a theory of threatened battery, but not attempted battery, was warranted by the evidence at trial, the defendant may be retried on this theory alone, limited to the defendant's final swerve, which resulted in contact with the victim.
Conclusion. The defendant's conviction of assault by means of a dangerous weapon is reversed and the verdict is set aside. The case is remanded to the Superior Court. For the reasons discussed above, we conclude that the defendant may be retried for assault by means of a dangerous weapon on a threatened battery theory of assault only.
So ordered.