The defendant, Paul Simmons, pleaded guilty to thirteen indictments in 1981. He was sentenced immediately on six indictments, and the remainder were “placed on file.” Approximately five years later, the defendant was arrested for a new crime. At his arraignment, one of the 1981 indictments was removed from the file and brought before a different judge to impose a prison sentence on the defendant. The Appeals Court vacated the denial of the defendant’s fourth motion for postconviction relief involving this sentence, see Commonwealth v. Simmons,
1. Background. On September 22, 1981, the defendant, represented by counsel, pleaded guilty to thirteen indictments.
The defendant first challenged this sentence with a pro se motion for a new trial in 1994. His motion claimed that no plea colloquy occurred on September 22, 1981, and that he was not in the court room when his guilty plea was tendered; likewise, he alleged a version of the proceedings in which he did not consent to filing the indictments. The motion was denied by the trial judge. On appeal, the Commonwealth produced an affidavit from the trial judge, who had retired, indicating that he had no specific recollection of the original sentencing, but his usual practice conformed with Mass. R. Crim. R 12,
Claiming newly discovered evidence, the defendant filed a second pro se motion for a new trial in April, 2002. The motion was denied after another Superior Court judge found that no such evidence existed and the defendant’s allegations of prejudice from the lost transcript either were waived or decided previously. This decision was affirmed by the Appeals Court. Commonwealth v. Simmons,
In September, 2002, the defendant filed a motion for jail credit, arguing that his sentence on indictment no. 81-1918 did not properly account for his detention time prior to the case being filed. After counsel was appointed for the defendant, the motion was denied on grounds that the defendant’s pretrial detention was accounted for at his 1981 sentencing on the six armed robberies. The defendant did not appeal from this ruling.
Now represented by counsel, the defendant filed the motion presently before the court in August, 2003, fashioning it as a motion “to vacate sentence, dismiss indictment, and credit defendant for time served under an erroneous sentence.” The motion was denied, but the Appeals Court vacated the sentence on indictment no. 81-1918 and ordered that the defendant be given credit for time served thereunder on the sentence imposed for the 1986 armed robbery. Commonwealth v. Simmons,
2. Analysis, a. Waiver. The defendant’s claims are waived. There can be no disagreement that the defendant was aware of the basis of his claims since his sentencing in 1986, yet he failed to object or appeal from the sentence directly and omitted
b. Rule 30 (a). The Appeals Court treated the defendant’s motion as if it were made under Mass. R. Grim. P. 30 (a),
In Commonwealth v. Lupo,
c. “Placed on file.” The Appeals Court concluded that, based on prior practice, the procedure of reviewing a case placed on file has been approved in only two circumstances: (1) when a related conviction is reversed on appeal, see, e.g., Commonwealth v. Bianco,
Few aspects of our criminal justice system can claim the tenure of indictments “laid on file” in the courts of the Commonwealth. As a predecessor to modern probation, the practice of placing a case on file allowed the would-be sentencing judge discretion in circumstances adjudged to be unduly harsh. See Commonwealth v. Simmons, supra at 276, citing Grinell, Probation as an Orthodox Common Law Practice in Massachusetts Prior to the Statutory System, 2 Mass. L.Q. 591, 592-612 (1917). The earliest written countenance of the practice in Massachusetts is found in an 1831 decision of the old Municipal Court of Boston, authored by Judge Peter Oxen-bridge Thacher, describing the reasons that the defendant’s indictment was “laid on file” after a guilty plea:
“It has sometimes been practised in this court, in cases of peculiar interest, and in the hope that the party would avoid the commission of any offence afterwards, to discharge him on a recognizance of this description. The effect is, that no sentence will ever be pronounced against him, if he shall behave himself well afterwards, and avoid any further violation of the law.”
Commonwealth v. Chase, Thacher’s Crim. Cas. 267, 268 (Boston Mun. Ct. 1831).
The seminal decision in this court establishing our common law practice followed in 1874:
“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 . . . .”
Commonwealth v. Dowdican’s Bail,
The practice of placing cases on file is not defined expressly in the General Laws. Although G. L. c. 277, § 70B, requires a written statement of reasons prior to the filing of a case, it does not specifically authorize the practice, define its boundaries or include the common-law necessity of consent. See DuPont v. Superior Court,
Yet it is not the filing itself that gives rise to the defendant’s
There is no merit to the defendant’s assertion that the process of removing his case from the file violates substantive due process. The concept of substantive due process protects against certain governmental actions that cannot be undertaken regardless of the procedural protections that accompany them because they are said to “shock the conscience”
It may be true that indictments placed on file typically are left on file, barring either of the two scenarios identified by the Appeals Court. Commonwealth v. Simmons,
“I cannot doubt the court may, on motion, have the party brought in and sentenced at any subsequent period. For what was the duty of the court to do at any one time, cannot cease to be its duty by delay. . . . If it should be said, however, to be hard measure to pronounce judgment after it has been suspended for years; I answer, that the party might at any time have appeared in court, and demanded the judgment of law. It has been delayed from tenderness and humanity, and not because it had ceased to be the right of the government to claim the judgment.”
Commonwealth v. Chase, Thacher’s Crim. Cas. 267, 268-269 (Boston Mun. Ct. 1831). See Commonwealth v. Dowdican’s Bail,
Likewise, although our appellate jurisprudence on the practice of removing a case from the file typically has included only instances where a defendant either successfully appealed from a parallel conviction or violated some express condition of the filing, no common-law rule has so limited the practice. See Com
The defendant also argues that the sentencing judge’s action violated his right to a speedy sentencing. Although the contours of such a right are difficult to define,
The defendant’s remaining claim alleges that the sentencing judge inappropriately took into account his subsequent actions in sentencing him to from eighteen to twenty years on the filed indictment. In support, he cites the Commonwealth’s concession that the motion to remove the case from the file was motivated by the defendant’s arrest on the new armed robbery charge in 1986. In keeping with due process, a judge may not punish a defendant for conduct unconnected to the facts underlying the case, Commonwealth v. LeBlanc,
It is true that once removed from the file, the sentencing judge retains the same discretion in punishment as that afforded
In the present case, the sentencing judge handed down a prison term of from eighteen to twenty years on a single count of armed assault with intent to rob.
Further, although today we uphold the practice of the placing of cases on file with the consent of the defendant, we recognize that Massachusetts now stands alone in this regard. See Commonwealth v. Simmons,
For the foregoing reasons, we reverse the denial of the defendant’s fourth motion for postconviction relief and remand the case for resentencing on indictment no. 81-1918.
So ordered.
Notes
The thirteen indictments consisted of six that alleged armed robbery, one that alleged escape or attempt to escape, one that alleged assault and battery on a public employee, one that alleged unlawful possession of a firearm or ammunition, three that alleged assault and battery, and one that alleged armed assault with intent to rob, indictment no. 81-1918.
We note that our jurisprudence commonly has referred to this practice as placing “convictions” on file. See, e.g., Commonwealth v. Ford,
The defendant eventually was tried and convicted of the December 5, 1986, armed robbery. He received a prison term of from twenty to thirty years, to be served from and after the sentence arising from indictment no. 81-1918. To the extent that this prison term is relevant, it will be discussed below.
No transcript of the December 9, 1986, proceedings is available, nor is there written record of the motion that prompted the case to be removed from the file.
The defendant has no basis to claim the protection of the “clairvoyance” exception to the waiver doctrine, where a constitutional claim is treated as though properly preserved if the doctrine on which it was based was not developed sufficiently at the time of trial or direct appeal such that the defendant was not afforded a genuine opportunity to raise it. See Commonwealth v. Randolph,
We note that the defendant’s motion could not be considered under Mass. R. Crim. P. 29 (a),
In his “motion to vacate sentence, dismiss indictment, and credit defendant for time served under an erroneous sentence,” the defendant states, without citation to the record, that he already has served the eighteen-to-twenty year sentence on indictment no. 81-1918.
Although this was a decision of the old Municipal Court of Boston, a footnote to the decision reports that Chief Justice Lemuel Shaw “delivered an opinion” for the Supreme Judicial Court sustaining Judge Thacher’s decision after a hearing on the defendant’s petition for certiorari. Commonwealth v. Chase, Thacher’s Crim. Cas. 267, 270 n.1 (Boston Mun. Ct. 1831).
Although the defendant raises constitutional concerns about the validity of the filing process, they are without merit. The defendant argues that such a process violated his procedural due process rights because it was not accompanied by notification that a judge has the power at any time, however distant, to resurrect the indictment and impose sentence. Acceptable due process is “ ‘not a technical conception with fixed content,’ . . . but a ‘flexible’ concept that ‘calls for such procedural protections as the particular situation demands.’ ” Commonwealth v. Torres,
It certainly does not shock the conscience that a case is removed from the file and a sentence is imposed in response to the defendant’s arrest for another armed robbery.
The fault for the lack of any transcript does not lie with either the Commonwealth or the defendant. In the course of the 1986 proceedings, the stenographer reported that she was unable to locate her stenographic notes of the 1981 plea colloquy and sentencing after a diligent search, and therefore, no transcript could be produced. Unlike our decisions on postconviction motions in which the absence of a transcript is attributable to proper destruction of stenographic notes under S.J.C. Rule 1:12, as appearing in
See Pollard v. United States,
Armed assault with intent to rob, proscribed by G. L. c. 265, § 18 (b), carries a maximum punishment of twenty years in prison.
Armed robbery, proscribed by G. L. c. 265, § 17, carries a maximum punishment of life, or any term of years, in prison.
