DUFFLY, J.
Early in the evening of October 26, 2007, the defendant engaged Luis Acevedo in a fight in the middle of a residential street in Worcester. After the two men threw several
At trial, the Commonwealth proceeded under the theory that the defendant, who did not actually possess the gun, was guilty of the charged offenses as a joint venturer. Before the case was submitted to the jury, the judge allowed the defendant's motion for a required finding of not guilty on the indictment charging assault with intent to murder Robinson. The jury found the defendant guilty of both indictments charging assault by means of a dangerous weapon, and of the following firearms charges: carrying a firearm without a license; carrying a loaded firearm without a license; and possession of ammunition without a firearm identification (FID) card.
In his motion for a new trial, the defendant asserted that a new trial was required because of newly discovered evidence. The motion judge, who was also the trial judge, denied the motion, and the defendant appealed. In an unpublished memorandum and order issued pursuant to its rule 1:28, the Appeals Court affirmed the defendant's convictions and the denial of the motion for a new trial. See Commonwealth v. Humphries, 81 Mass.App.Ct. 1130 (2012). We allowed the defendant's application for further appellate review.
The defendant contends that his firearms convictions should be reversed because the Commonwealth failed to prove beyond a reasonable doubt that his coventurer had not been issued a
The defendant argues also that his counsel was ineffective for failing to discover certain allegedly exculpatory evidence before trial, that the judge provided an incomplete definition of a "firearm" in his final charge, and that the evidence was insufficient to prove that the firearm met this definition. We affirm the defendant's convictions and the denial of his motion for a new trial.
Facts. We recite the facts the jury could have found, reserving certain details for our discussion of the specific issues raised.
During the party, Acevedo confronted Kumah, asking her
Approximately twenty-five minutes after Kumah's departure, Bottom was standing with her cousin on the third-floor porch of her aunt's house, which faces Gates Street and overlooks Crystal Park directly across the street. Gates Street borders one side of Crystal Park and Crystal Street borders the opposite side. The park is also bordered by Main Street and by Illinois Street. Bottom could see the defendant to her right, approaching from the direction of Main Street. The defendant, who told police he had parked his car a block away so that it would not get damaged, turned left onto Gates Street from a side street. He was moving fast and walking in the middle of the street. Bottom also saw Acevedo standing by himself in front of the house.
When the defendant reached Acevedo, he made gestures with his hand, as if to draw Acevedo into the street. The defendant and Acevedo approached each other in the middle of the street. At that point, the defendant was facing Acevedo with his back to the park and Acevedo was facing the park, with his back to Bottom. The two men argued loudly about a woman. Then the defendant said, "Let's shoot the fair one." According to Bottom, this meant that the defendant was suggesting a one-on-one fight with no weapons. A fistfight between the two men ensued. After approximately forty-five seconds, the defendant stepped quickly back in the direction of Main Street, out of the way, loudly calling out "Bobo" and pointing towards the park.
Immediately after the defendant yelled "Bobo," a man in a gray hooded sweatshirt stepped out from behind a tree in the park and reached for something in his waistband. The man was ten
Following the initial gunshot, Acevedo hid behind an automobile that was parked on the opposite side of the street, in front of Bottom's aunt's house. A white Mercedes sedan that Robinson used on a regular basis was parked nearby, on the same side of the street. Robinson was in the house during the shooting. When the shooting stopped, Robinson, joined by Acevedo, ran to the white sedan; Acevedo got in on the passenger side and Robinson on the driver's side. Robinson turned the automobile around and drove towards Illinois Street. It appeared to Bottom that they were going to drive around Crystal Park.
Following the shooting, the defendant walked over to Holley, and they engaged in a quick verbal exchange; Holley then fled into Crystal Park and the defendant ran down a side street away from the park. After the white sedan had driven out of sight, Bottom heard two more gunshots. When Acevedo and Robinson returned to Gates Street in the white sedan several minutes later, Bottom could see what appeared to be bullet holes in its exterior. According to a police expert, the damage was consistent with the vehicle having been struck with projectiles from a handgun and not a rifle.
Worcester police officers interviewed the defendant several days later. Portions of the videotaped interview were introduced in evidence at trial. During the interview, the defendant admitted
Discussion. 1. Defense of license. The Commonwealth's position at trial was that the jury could find the defendant guilty of the firearms offenses as a joint venturer because he had encouraged Holley to carry a loaded firearm while the defendant fought Acevedo, and had acted as a decoy so that Holley, his coventurer, could shoot Acevedo. No evidence was introduced establishing that Holley was not licensed to carry a firearm or to possess ammunition.
In the ordinary case, a defendant charged with a possessory firearms offense can raise the defendant's own license as a defense. See Commonwealth v. Gouse, 461 Mass. 787, 802-803 (2012) (Gouse), and cases cited. Such a defendant must, prior to trial, provide notice of intent to raise the defense of license, see Mass. R. Crim. P. 14 (b) (3), and must produce "some evidence" of license at trial before the burden shifts to the Commonwealth to prove the absence of the defendant's license beyond a reasonable doubt. See Gouse, supra at 806.
Here, however, the defendant was convicted of the firearms offenses on a theory of joint venture; the Commonwealth did not pursue theories of joint or constructive possession of a firearm.
In this case, the defendant's culpability for carrying a firearm without a license on a theory of joint venture depends on whether Holley unlawfully carried a firearm; Holley could not have been convicted of the charged offenses if he had been issued a license to carry a firearm. Had a license been issued to Holley, and not to the defendant, the existence of the license would provide a complete defense to the charge of joint venture possession of a firearm (and of joint venture possession of ammunition) without a license.
We have not previously considered whether a defendant's burden of producing evidence of a license, as provided by G. L. c. 278, § 7, applies where a defendant must rely on the existence of a license held by a coventurer to establish his own defense.
"The phrase `affirmative defense' is a term of art." Commonwealth v. Cabral, 443 Mass. 171, 178-179 (2005) (discussing definition in Model Penal Code § 1.12[3][c] [1985]). The "primary characteristic of an affirmative defense [is] whether it `involves a matter of ... justification peculiarly within the knowledge of the defendant on which he can fairly be required to adduce supporting evidence.'" Commonwealth v. Vives, 447 Mass. 537, 540-541 (2006), quoting Commonwealth v. Cabral, supra at 179. Where a defendant's defense to a charged firearms offense depends on his own license, the existence of that license is peculiarly within the knowledge of the defendant. See Gouse, supra at 805-806. For such a defendant, meeting this initial burden of production "would involve the `very simple task' of `produc[ing] that slip of paper indicating [such authorization]." Id. at 806, quoting Commonwealth v. Jones, supra at 408, and Commonwealth v. Couture, 407 Mass. 178, 182, cert. denied, 498 U.S. 951 (1990). By comparison, requiring the Commonwealth to "prove in its case-in-chief that no such license
The reasons that support allocating to a defendant the burden to produce evidence of a firearms license, where the defendant is charged with actual possession of a firearm without a license, do not support allocating this burden to a defendant charged as a joint venturer of unlicensed possession of a firearm, where the firearm is actually possessed by a third party. "[I]mposing the burden of production on a joint venturer in these circumstances might be unfair because he would be in no better position than the prosecutor to ascertain whether an FID card [or license] had been issued to the person who allegedly possessed the ammunition [or carried the firearm]." Gouse, supra at 807 n.20. Because the existence of a license establishing a third party's lawful authority to carry a firearm does not fall "peculiarly within the knowledge of the defendant on which he can fairly be required to adduce supporting evidence," Commonwealth v. Vives, supra, quoting Commonwealth v. Cabral, supra, it does not constitute an affirmative defense to joint venture possession of a firearm. See generally Commonwealth v. Cabral, supra at 180. Consequently, the affirmative defense of license provided by G. L. c. 278, § 7, is inapplicable in the circumstances of this case.
Although the existence of a license is not an affirmative defense in circumstances such as those present here, we conclude that license remains a defense to a possessory firearms offense. In reaching this conclusion, we are guided by Commonwealth v. Cabral, supra at 172, where we considered whether a defendant acting as a Massachusetts surety posting bail for a principal could raise his lawful authority to apprehend and detain the principal as an affirmative defense to a charge of kidnapping. We held that, although such lawful authority could constitute a defense to kidnapping, it was not an affirmative defense because the existence of the relevant authority was not "peculiarly within the knowledge of the defendant." Id. at 180, quoting Model Penal Code § 1.12(3)(c) (1985). Because the Commonwealth reasonably could be expected to prove the absence of a defendant's authority based on accessible court records, we required
Similarly, whether a third party holds a firearms license is not something "peculiarly within the knowledge of the defendant." Id. at 180, quoting Model Penal Code § 1.12(3)(c). A defendant is in no better position than the Commonwealth to produce evidence of a third party's license to carry a firearm or to posses ammunition. Therefore, a defendant charged with joint venture possession of a firearm bears only the burden of raising the defense of license. Once raised, the Commonwealth must prove beyond a reasonable doubt that the coventurer was not authorized to possess the firearm or ammunition. See id. 180-181.
The question remains whether the defendant properly raised the defense of license. Rule 14 (b) (3) of the Massachusetts Rules of Criminal Procedure provides:
Failure to provide notice under rule 14 "renders the claim [of license] unavailable as a defense." Commonwealth v. O'Connell, 438 Mass. 658, 665 (2003). Given the absence of notice pursuant to rule 14, the Commonwealth had no burden to prove the absence of a license beyond a reasonable doubt, see Commonwealth v. O'Connell, supra, and the defendant's failure to comply with the notice requirement is fatal to his claim.
2. Ineffective assistance of counsel. The defendant sought a new trial based on newly discovered evidence. In connection with his motion, he submitted insurance reports suggesting that some of the bullet damage to the white sedan driven by Acevedo
A defendant is denied the constitutional right to effective assistance of counsel where the conduct of the defendant's attorney falls "`measurably below that which might be expected from an ordinary fallible lawyer' and thereby `likely deprived the defendant of an otherwise available, substantial ground of defence.'" Commonwealth v. Glover, 459 Mass. 836, 842 (2011), quoting Commonwealth v. Acevedo, 446 Mass. 435, 442 (2006). "[A]n ineffective assistance of counsel challenge made on the trial record alone is the weakest form of such a challenge because it is bereft of any explanation by trial counsel for his actions and suggestive of strategy contrived by a defendant viewing the case with hindsight." Commonwealth v. Peloquin, 437 Mass. 204, 210 n.5 (2002).
Here, even had counsel's conduct fallen measurably below that of an ordinary fallible attorney, the defendant was not deprived of an otherwise available, substantial ground of defense. See Commonwealth v. Lanoue, 409 Mass. 1, 5-6 (1990). At trial, a ballistics expert opined that most of the damage to the white sedan was consistent with gunshots fired from a handgun. This testimony was relevant to establish that Holley had fired a weapon with a barrel of less than sixteen inches, an element of the charged firearms offenses.
In addition, other evidence unrelated to the projectile damage to the sedan supported the conclusion that Holley fired a handgun. According to two witnesses, Bottom and a sixteen year old bystander, Holley reached for his waistband, grabbed something small enough to fit in his hand but a little longer than his hand, and then raised his arm; the witnesses thereafter heard gunshots. Bottom also testified to hearing gunshots while Robinson and Acevedo were driving the white sedan around the park into which the shooter had fled. Because evidence of prior projectile damage to the vehicle would not have undermined this testimony, the defendant was not deprived of a substantial ground of defense as a result of his counsel's failure to introduce the insurance reports in evidence.
3. Supplemental jury instruction. The defendant argues that the judge provided the jury an incomplete definition of the term "firearm," and that the Commonwealth failed to prove beyond a reasonable doubt that Holley was carrying a firearm meeting the statutory definition.
General Laws c. 140, § 121, defines a "firearm" as a weapon "from which a shot or bullet can be discharged and of which the length of the barrel or barrels is less than [sixteen] inches...." Exempt from this definition is
Id. In his final charge, the judge instructed the jury that a firearm is a weapon capable of discharging a shot or bullet, and having
"The Commonwealth's burden to prove that a weapon is a `firearm' in the statutory sense is not a heavy one." Commonwealth v. Barbosa, 461 Mass. 431, 435 (2012), quoting Commonwealth v. Loadholt, 456 Mass. 411, 430-431 (2010), S.C., 460 Mass. 723 (2011). "`It requires only that the Commonwealth present some competent evidence from which the jury reasonably can draw inferences that the weapon will fire, ...' and that it is under a certain length" (emphasis in original). Commonwealth v. Loadholt, supra at 431, quoting Commonwealth v. Nieves, 43 Mass.App.Ct. 1, 2 (1997). We have never required a judge to instruct on the statutory exceptions to the definition of a "firearm" where the evidence raises no such issue, and we decline to do so here. The evidence raised no issue involving the applicability of any statutory exception to the definition of a firearm.
Judgments affirmed.
Order denying motion for new trial affirmed.