Court Opinion

ID: 9405390
Source: CourtListenerOpinion
Date Created: 2023-06-28 14:13:46.141079+00
Date Added: 2024-06-11T17:20:21.703233
License: Public Domain

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SJC-13379

               COMMONWEALTH   vs.   MICHAEL J. MCNEIL.

            Essex.     April 3, 2023. - June 28, 2023.

    Present:    Budd, C.J., Gaziano, Lowy, Kafker, Wendlandt,
                           & Georges, JJ.

Shoplifting. Habitual Offender. Evidence, Other offense,
     Guilty plea. Practice, Criminal, Plea, Finding of guilty.
     Statute, Construction. Words, "Offense."

     Complaint received and sworn to in the Lynn Division of the
District Court Department on June 29, 2021.

     After transfer to the Salem Division of the District Court
Department, a motion to dismiss was heard by Randy S. Chapman,
J., a question of law was reported by him to the Appeals Court,
and a conditional plea was accepted by him.

     The Supreme Judicial Court on its own initiative
transferred the case from the Appeals Court.

     Valerie A. DePalma for the defendant.
     Marina Moriarty, Assistant District Attorney, for the
Commonwealth.
     Michelle May Peterson, pro se, amicus curiae, submitted a
brief.
                                                                    2

     LOWY, J.   General Laws c. 266, § 30A (§ 30A), provides that

first and second offense shoplifting is punishable by fine only.

Third offense shoplifting, however, is punishable by fine or

imprisonment.   G. L. c. 266, § 30A.   The issue we address in

this case is whether a "guilty-filed" disposition constitutes a

predicate "offense" under § 30A.   We conclude that it does.1

     Background.   The defendant, Michael J. Mcneil, was charged

in the District Court with shoplifting, third offense, in

violation of § 30A.   The disposition in one of the predicate

offenses on which the Commonwealth relied in support of the

third offense portion of the charge was a guilty-filed

disposition2 after the defendant pleaded guilty.

     The defendant moved to dismiss so much of the complaint

that alleged a third offense, asserting that his previous case,

which was guilty-filed, cannot serve as a predicate offense.

Thereafter, pursuant to Mass. R. Crim. P. 34, as amended, 422

Mass. 1501 (2004), the District Court judge reported to the

Appeals Court the question whether a guilty-filed disposition

     1 We acknowledge the amicus brief submitted by Michelle May
Peterson.

     2 As discussed in further detail infra, a guilty-filed
disposition occurs where a judge suspends a defendant's sentence
indefinitely only after a defendant's guilt has been
adjudicated, by either a guilty verdict or guilty plea, and both
the Commonwealth and the defendant have agreed to the
disposition. See, e.g., Commonwealth v. Simmons, 448 Mass. 687,
693-694 (2007).
                                                                      3

constitutes a predicate offense under § 30A.3     Subsequently, the

defendant entered a conditional plea to shoplifting, third

offense, pursuant to Mass. R. Crim. P. 12 (b) (6), as appearing

in 482 Mass. 1501 (2019), conditioned on the outcome of the

reported question.    The defendant then filed a notice of appeal

from his guilty plea, which was consolidated with the reported

question, and we transferred the case sua sponte from the

Appeals Court.4

     Discussion.     When construing a statute, "[o]ur fundamental

aim is to discern and effectuate the intent of the Legislature"

(quotation and citation omitted).     Velazquez v. Commonwealth,

491 Mass. 279, 281 (2023).    "To that end, '[t]he language of the

statute is the primary source of insight into the intent of the

Legislature'" (citation omitted).     Id.   "Therefore, where the

statute is clear and unambiguous, our inquiry into the

Legislature's intent need go no further than the statute's plain

     3 The question reported by   the judge stated: "Where a
defendant is charged with third   offense shoplifting, does a
'guilty-filed' disposition on a   shoplifting charge constitute a
conviction which may be used as   a predicate offense?"

     4 Rule 12 (b) (6) of the Massachusetts Rules of Criminal
Procedure allows a defendant to tender a plea "while reserving
the right to appeal any ruling or rulings that would, if
reversed, render the Commonwealth's case not viable." Here,
there was no ruling to appeal, as the judge had reported the
determinative issue without otherwise acting on the defendant's
motion to dismiss. We confine our opinion and the disposition
to the reported question.
                                                                      4

and ordinary meaning" (citation omitted).    Id.   "A fundamental

tenet of statutory interpretation is that statutory language

should be given effect consistent with its plain meaning and in

light of the aim of the Legislature unless to do so would

achieve an illogical result."     Sullivan v. Brookline, 435 Mass.

353, 360 (2001).

    The shoplifting statute penalizes "[a]ny person who

intentionally takes possession of . . . any merchandise

displayed, held, stored or offered for sale by any store or

other retail mercantile establishment with the intention of

depriving the merchant of [its] possession . . . without paying

to the merchant the value thereof."    G. L. c. 266, § 30A.   Where

the value of the stolen goods is less than $250, the statute

provides for imprisonment only "for a third or subsequent

offense."   Id.    Because "offense" is not defined in § 30A, we

are charged with interpreting its meaning as guided by the

principles of statutory interpretation discussed supra.

    "The generally recognized purpose of . . . graduated

sentencing laws [such as § 30A] is to punish offenses more

severely when the defendant has exhibited an unwillingness to

reform his miscreant ways and to conform his life according to

the law" (citation omitted).    Commonwealth v. Resende, 474 Mass.

455, 467-468 (2016).    "[A] second or subsequent offense is often

regarded as more serious because it portends greater future
                                                                    5

danger and therefore warrants an increased sentence for purposes

of deterrence and incapacitation" (citation omitted).

Commonwealth v. Baez, 480 Mass. 328, 332 (2018).    "Particularly

salient here is the implicit link between enhanced punishment

and behavioral reform, and the notion that the former should

correspondingly increase along with a defendant's [forgone]

opportunities for the latter" (citation omitted).   Resende,

supra at 467.

     While we have previously explained that "offense" has

different meanings in different contexts, we have noted, with

specific reference to § 30A, that "sentencing statutes tend to

treat the word 'offense' as synonymous with 'conviction'[5] or

'adjudication'" (emphasis added).   Wallace W. v. Commonwealth,

     5 "The ordinary legal meaning of 'conviction' . . . is the
confession of the accused in open court, or the verdict returned
against him by the jury, which ascertains and publishes the fact
of his guilt; while 'judgment' or 'sentence' is the appropriate
word to denote the action of the court before which the trial is
had, declaring the consequences to the convict of the fact thus
ascertained." Commonwealth v. LeRoy, 376 Mass. 243, 245 n.1
(1978), quoting Commonwealth v. Lockwood, 109 Mass. 323, 325
(1872). The Court in Lockwood did recognize, however, that the
word conviction has sometimes been "used in a more comprehensive
sense, including the judgment of the court upon the verdict or
confession of guilt." Lockwood, supra at 329. The defendant
argues that we should interpret the term offense in § 30A as
synonymous with the latter definition of conviction and as a
result a guilty-filed disposition should not constitute an
offense. For the reasons discussed infra, we conclude that a
guilty-filed disposition constitutes an offense under § 30A by
virtue of the legislative intent behind graduated sentencing
statutes and the adjudication of the defendant's guilt that is
incumbent in a guilty-filed disposition.
                                                                   6

482 Mass. 789, 796 (2019).   Consistent with the legislative

intent behind such statutes, we see no reason to reach a

different conclusion here.

     There is a long-standing practice in this Commonwealth of

entering a guilty-filed disposition in certain criminal matters.

See Commonwealth v. Simmons, 448 Mass. 687, 693 (2007) ("The

earliest written countenance of the practice in Massachusetts is

found in an 1831 decision of the old Municipal Court of

Boston").   A guilty-filed disposition allows a judge discretion

to suspend a defendant's sentence indefinitely so long as the

defendant's factual guilt has been determined, by either a

guilty verdict or guilty plea, and both the defendant and the

Commonwealth consent to the guilty-filed disposition.     Id. at

693-694, quoting Commonwealth v. Dowdican's Bail, 115 Mass. 133,

136 (1874).6   See United States v. Curet, 670 F.3d 296, 302-303

     6 The guilty-filed practice was described in this court's
seminal decision endorsing the practice as follows:

     "It has long been a common practice in this Commonwealth,
     after verdict of guilty in a criminal case, when the court
     is satisfied that, by reason of extenuating circumstances,
     or of the pendency of a question of law in a like case
     before a higher court, or other sufficient cause, public
     justice does not require an immediate sentence, to order,
     with the consent of the defendant and of the attorney for
     the Commonwealth, and upon such terms as the court in its
     discretion may impose, that the indictment be laid on file
     . . . ."

Dowdican's Bail, 115 Mass. at 136. See Simmons, 448 Mass. at
693-694. This long-standing common law practice has been
                                                                    7

(1st Cir.), cert. denied, 566 U.S. 1041 (2012) ("The effect of a

guilty-filed disposition in Massachusetts is to suspend

sentencing of the defendant; such a disposition occurs after

either a verdict or plea establishing the defendant's guilt"

[emphasis added]).   The guilty-filed disposition developed "[a]s

a predecessor to modern probation" and "allow[s] the would-be

sentencing judge discretion in circumstances adjudged to be

unduly harsh."   Simmons, supra at 693.

    We have previously stated that "a judgment of conviction

does not enter unless sentence is imposed" (emphasis added), and

placing a case "on file" means that a sentence is not

immediately imposed; rather, it is suspended indefinitely.

Simmons, 448 Mass. at 688 n.2.   However, when there is a guilty-

filed disposition, the judge "retains the ability, at any time,

to remove the indictment from the file" and to sentence the

defendant (emphasis added).   Id. at 696.   See Commonwealth v.

Bianco, 390 Mass. 254, 259 (1983) ("As we have already

indicated, it is always within the power of the [judge] to

remove an indictment from the file and to impose a sentence

thereon").   The reason that the judge has this authority is that

the defendant's guilt has been formally adjudicated by either an

acknowledged by and "enjoys the support of the Legislature."
Id. at 694 (inferring support where "Legislature has not merely
acquiesced [to guilty-filed practice], but has delineated
expressly crimes where the case may not be placed on file").
                                                                    8

accepted guilty plea or a guilty verdict at trial.   See, e.g.,

Simmons, supra at 693-694 (guilty-filed disposition enters after

guilty verdict); MacDonnel v. Commonwealth, 353 Mass. 277, 278

(1967) ("he pleaded guilty and the complaint was placed on

file").   In short, the entry of a guilty-filed disposition

necessarily entails an adjudication of the defendant's guilt.7

     Thus, "[t]he point of sentence enhancement is to punish

more severely offenders who have persevered in criminal

activity" (citation omitted), Resende, 474 Mass. at 467, and the

purpose of a guilty-filed disposition is to suspend sentencing,

"not to prevent a guilty finding from entering" (emphasis

added), Commonwealth v. Powell, 453 Mass. 320, 329 (2009).    See

Wallace W., 482 Mass. at 796-797; Simmons, 448 Mass. at 692-700.

While no sentence is imposed with the entry of a guilty-filed

disposition, there is a definitive adjudication of guilt, and

therefore, in keeping with the statutory purpose of increased

penalties for those who are repeatedly adjudged guilty of

     7 As illustrated in Commonwealth v. Powell, 453 Mass. 320,
328-330 (2009), a factual determination of the defendant's guilt
is essential to a guilty-filed disposition. The suspension of a
sentence without such a determination necessarily constitutes a
continuance without a finding. Id. See Commonwealth v.
Millican, 449 Mass. 298, 304 (2007) ("A continuance without a
finding requires either a plea of guilty or an admission to
sufficient facts to warrant a finding of guilty").
                                                                   9

criminal wrongdoing, it is clear that a guilty filed disposition

constitutes an offense under § 30A.8    See Resende, supra.

     Conclusion.   We answer the reported question in the

affirmative and hold that a guilty-filed disposition constitutes

an offense under G. L. c. 266, § 30A.

                                    So ordered.

     8 Our conclusion that a guilty-filed disposition constitutes
a predicate offense due to the formal adjudication of a
defendant's guilt is consistent with how the United States Court
of Appeals for the First Circuit has considered the
applicability of a guilty-filed disposition in similar contexts.
See, e.g., Curet, 670 F.3d at 307-308 (defendant's prior guilty-
filed disposition was valid predicate for career offender
purposes because it involved prior adjudication of defendant's
guilt).