Commonwealth v. Ballard
Commonwealth v. Ballard
Opinion
*701
The Commonwealth appeals from a judgment dismissing its petition to commit the defendant as a sexually dangerous person (SDP) pursuant to G. L. c. 123A, § 12. On the date the petition was filed, the defendant was serving a criminal sentence; some two and one-half years later, the defendant was allowed to withdraw the guilty pleas to the offenses for which he had been sentenced. This led a Superior Court judge to rule, based on his interpretation of
Coffin
v.
Superintendent, Mass. Treatment Center
,
Background . In the 1980s, the defendant was convicted of a number of sexual offenses against women in both the Commonwealth and California. He received State prison sentences in both jurisdictions, completing his sentence in the Commonwealth in 2003, at which time the Commonwealth successfully petitioned to commit him to the Massachusetts Treatment Center (treatment center) as an SDP. Following a trial in which the defendant was found no longer sexually dangerous, he was discharged in 2007.
In 2013, based on an incident in which the defendant approached a seventeen year old female working at a farm stand, criminal complaints issued from the District Court charging him with accosting or annoying a person of the opposite sex in violation of G. L. c. 272, § 53, 1 threatening to commit a crime in violation of G. L. c. 275, § 2, and intimidation of a witness in violation of G. L. c. 268, § 13B. In January, 2014, the defendant pleaded guilty to *1182 the charges and was sentenced to concurrent sentences amounting to nine months in the house of correction, with credit for time served. 2
In February, 2014, while the defendant was serving his sentences, the Commonwealth petitioned in Superior Court to have him civilly committed as an SDP. In April, 2014, a different judge found probable cause to believe the defendant was an SDP and committed him to the treatment center for examination and diagnosis by two qualified examiners. Based on their reports, the Commonwealth moved for a jury trial; after that motion was allowed, the defendant obtained funds to retain his own experts for the purposes of trial.
In January, 2015, while trial preparations were ongoing and the defendant remained at the treatment center, he filed a motion in the District Court to withdraw his guilty pleas and for a new trial, asserting that the plea colloquy was defective by reason of the prosecutor's failure to state sufficient facts to establish the elements
*703
of each offense.
3
That motion was denied. The defendant appealed and in August, 2016, in a memorandum and order issued pursuant to our rule 1:28, a panel of this court reversed, holding that the prosecutor's statement was inadequate to establish that a sufficient factual basis existed for any of the charges, thus resulting in constitutional error.
Commonwealth
v.
Ballard
,
In September, 2016, the defendant moved in Superior Court to dismiss the Commonwealth's petition to commit him as an SDP. He argued that the result of the 2016 order allowing him to withdraw his guilty pleas was that, at the time the petition was filed in 2014, he had been serving a "constitutionally unlawful sentence." He asserted that therefore he was not a prisoner under G. L. c. 123A, § 12(
b
), as interpreted in
Coffin
,
Discussion
. Under § 12(
b
), the Commonwealth may "file a petition for civil commitment as an SDP only for a 'prisoner or youth in the custody of the department of youth services.' Because G. L. c. 123A is 'a statute in derogation of liberty,' ... the statute must be interpreted narrowly."
Coffin
,
In
Coffin
, the Supreme Judicial Court confronted the question "whether, for purposes of § 12(
b
), a person placed in custody pursuant to an unconstitutional statute is nevertheless a 'prisoner.' "
On Coffin's request for relief under G. L. c. 211, § 3, the Supreme Judicial Court held that the Legislature could not have intended "the term 'prisoner' in § 12(b) ... to encompass a person who is held in custody solely pursuant to a statute that itself is facially unconstitutional."
The case now before us is quite different from
Coffin
. First and most important,
*1184
none of the statutes under which the defendant here was charged and sentenced has been declared unconstitutional, either facially or as applied to him. The petition for the defendant's commitment thus satisfies
Coffin
's requirement that a person is a "prisoner" for § 12(
b
) purposes "only if he is serving a sentence imposed under a statute that is constitutionally sound."
Second, at the time the Commonwealth petitioned to commit this defendant as an SDP, he was serving sentences pursuant to guilty pleas that were presumptively valid at the time of the petition and remained undisturbed for two and one-half years thereafter. The pleas were accepted and the defendant was sentenced in January, 2014; the petition to commit him was filed in February, 2014; only later, in August, 2016, were the guilty pleas ruled invalid. Compare
Coffin
,
Third, where the fundamental question is one of legislative intent, and in light of the principle that G. L. c. 123A, as a statute in derogation of liberty, must be narrowly construed, see
Coffin
,
At the same time, however, the Legislature must also be presumed to be aware that convictions are occasionally invalidated,
*706
sometimes many years after the fact, based on a wide variety of constitutional or nonconstitutional errors in individual trials, or where it otherwise "appears that justice may not have been done." Mass.R.Crim.P. 30(b), as appearing in
That § 12(
b
) must be construed narrowly does not mean it must be read to exclude as many incarcerated persons as possible; that would be inconsistent with the acknowledged public safety goals of G. L. c. 123A. "The SDP statute seeks to balance the dual concerns of protecting the
*1185
public from sexually dangerous persons and preserving individual liberty."
Gillis
,
Our conclusion draws further support from
McIntire,
petitioner
,
The Supreme Judicial Court disagreed. "[B]ecause the 2002 judgment had not been reversed at the time of the petitioner's 2005, 2008, and 2010 discharge proceedings, that earlier judgment remained validly in effect, and the petitioner was therefore legally held at the treatment center as an SDP when he filed the three later discharge petitions," meaning the Superior Court had jurisdiction to adjudicate them and a fact finder could determine that he remained an SDP.
*1186
Id
. at 265-266,
*708 To be sure, McIntire involved the effect on earlier-initiated SDP proceedings of the invalidation of an SDP judgment, rather than the invalidation of criminal convictions such as those involved here. We nevertheless view McIntire as illustrating that, for purposes of G. L. c. 123A, a commitment or criminal confinement as a prisoner is not automatically rendered retroactively invalid ab initio by a subsequent determination of error in the underlying proceedings. 9
We also acknowledge that
McIntire
turned in part on whether the critical 2002 judgment was void, as McIntire claimed, or merely voidable for error, as the court ultimately held. 458 Mass. at 264-266,
As there is no single rule governing whether a withdrawn guilty plea or the resulting conviction is void or merely voidable, 10 we decline to rest our decision on that distinction. We hold only that, notwithstanding the later withdrawal of his guilty pleas, the defendant was a prisoner under § 12( b ) at the time the petition was filed, and thus he was subject to being committed as an SDP.
*709 Conclusion . The judgment on the defendant's motion to dismiss the Commonwealth's petition is reversed.
So ordered .
In 2014, G. L. c. 272, § 53, was amended to substitute "another person" for "persons of the opposite sex." St. 2014, c. 417.
More specifically, the defendant received a nine-month sentence on the witness intimidation charge with 159 days of credit for time served; a six-month concurrent sentence on the threatening charge; and a three-month sentence on the accosting or annoying charge, from and after the sentence for threatening and concurrent with the sentence for witness intimidation.
The defendant moved for a stay of the SDP proceedings pending a ruling on his motion to withdraw his pleas and for a new trial. In allowing the motion for a stay, the judge in the SDP proceedings had the following notation added to the docket: "Defendant stated under oath, he was in agreement with the request, that he understood it may result in him being held in custody for a longer time and he has ample time to confer with counsel. Defendant will remain in custody."
The judge denied the Commonwealth's motion to stay execution of the order releasing the defendant.
The statute further requires that the person be someone:
"[1] who has ever been convicted of or adjudicated as a delinquent juvenile or a youthful offender by reason of a sexual offense as defined in section 1 [of G. L. c. 123A], regardless of the reason for the current incarceration, confinement or commitment, or [2] who has been charged with such offense but has been found incompetent to stand trial, or [3] who has been charged with any offense, is currently incompetent to stand trial and has previously been convicted of or adjudicated as a delinquent juvenile or a youthful offender by reason of a sexual offense."
G. L. c. 123A, § 12( a ), as amended by St. 2004, c. 66, §§ 7-9.
Indeed, in
Allen
, the Commonwealth had filed its petition "the day after the defendant's motion to correct the sentence had been allowed, and almost three weeks after his sentence had ended."
Later, the Supreme Judicial Court found the lifetime community parole statute unconstitutional as applied to repeat offenders as well.
Commonwealth
v.
Cole
,
The judge relied on the statement in
Coffin
that the Legislature did not intend § 12(
b
) "to be triggered by a custodial arrangement that should not have been imposed in the first place ...." 458 Mass. at 189,
Compare
Lynch, petitioner
,
Compare
Commonwealth
v.
Berrios
,
Case-law data current through December 31, 2025. Source: CourtListener bulk data.