James M. Walsh v. Philip J. Picard, Superintendent, Etc.

446 F.2d 1209, 1971 U.S. App. LEXIS 8703
CourtCourt of Appeals for the First Circuit
DecidedJuly 29, 1971
Docket71-1127_1
StatusPublished
Cited by19 cases

This text of 446 F.2d 1209 (James M. Walsh v. Philip J. Picard, Superintendent, Etc.) is published on Counsel Stack Legal Research, covering Court of Appeals for the First Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
James M. Walsh v. Philip J. Picard, Superintendent, Etc., 446 F.2d 1209, 1971 U.S. App. LEXIS 8703 (1st Cir. 1971).

Opinions

ALDRICH, Chief Judge.

This is an appeal from the dismissal of a petition for habeas corpus brought by a state prisoner, Walsh, whose sentence was increased by the Appellate Division of the Superior Court. The Appellate Division is authorized to review sentences on the appeal of a defendant, and to diminish, affirm, or, after hearing, increase the sentence. Mass.G.L. c. 278 § 28A-D. There is no statutory requirement that the reasons for the decision be stated.1 Petitioner, hereafter defendant, asserts that the double jeopardy clause bars the Appellate Division from increasing his sentence. Alternatively, he contends that the court should have been required to state the reasons for its decision. He has exhausted his state court remedies; the Massachusetts Supreme Judicial Court has rejected both contentions.2 Walsh v. Commonwealth, 1970 Mass. A.S. 1315, 260 N.E.2d 911. We have indicated lack of acceptance of defendant’s first, see Bryant v. Moore, 1 Cir., 1971, 438 F.2d 1230, 1231; Marano v. United States, 1 Cir., 1967, 374 F.2d 583, 585 n. 2, but have not before considered his second contention.

Defendant asserts that the Massachusetts practice constitutes double jeopardy, in that it unconstitutionally penalizes a defendant for taking an appeal. We believe this a misconception. Some history, however, is needed to put defendant’s claim in proper perspective.

In Maraño v. United States, supra, we introduced the rule that a defendant who won a new trial on appeal could not have his sentence increased, if he were again convicted, except for matters that had occurred after the first trial. We based our decision upon considerations of due process, stating that to hold otherwise would unduly chill the defendant’s right of appeal. In Patton v. State of North Carolina, 4 Cir., 1967, 381 F.2d 636, cert. denied 390 U.S. 905, 88 S.Ct. 818, 19 L.Ed.2d 871, Chief Judge Sobeloff placed a more restrictive constitutional limitation upon the state — the sentence could not be increased following [1211]*1211a retrial under any circumstance. In addition to due process the court invoked principles of equal protection and double jeopardy, each of which, it stated, compelled its result.

The Patton rule has not stood. In North Carolina v. Pearce, 1969, 395 U.S. 711, 89 S.Ct. 2072, 23 L.Ed.2d 656, the Court rejected, almost summarily, the defendant’s contentions that double jeopardy and equal protection prevented the imposition of a more severe sentence following a retrial. It held, however, that the due process clause limits the right of a state to increase the sentence, announcing the same rule that we had adopted in Maraño. It said:

“[Ejven if the first conviction has been set aside for nonconstitutional error, the imposition of a penalty upon the defendant for having successfully pursued a statutory right of appeal or collateral remedy would be no less a violation of due process of law.” (724, 89 S.Ct. at 2080)
“Due process of law * * requires that vindictiveness against a defendant for having successfully attacked his first conviction must play no part in the sentence he receives after a new trial.” (725, 89 S.Ct. at 2080)

Pearce thus reaffirms the American principle that the double jeopardy clause does not absolutely bar all proceedings which could literally be said to place the defendant twice in jeopardy. See United States v. Tateo, 1964, 377 U.S. 463, 465, 84 S.Ct. 1587, 12 L.Ed.2d 448. A state may condition a right to appeal on submission to retrial so long as that condition does not unreasonably fetter the right to an appeal.

The Massachusetts procedure here challenged should be tested by this same standard of reasonableness. See also Lemieux v. Robbins, 1 Cir., 1969, 414 F. 2d 353, 355, cert. denied 397 U.S. 1017, 90 S.Ct. 1247, 25 L.Ed.2d 432. As in Pearce, the Massachusetts procedure does not permit the state to reopen the question of sentence on its own initiative. Were it to do so, it would of course violate the proscription against double jeopardy. See United States v. Benz, 1931, 282 U.S. 304, 51 S.Ct. 113, 75 L.Ed. 354 (dicta); Frankel v. United States, 6 Cir., 1942, 131 F.2d 756. Instead, Massachusetts simply conditions a defendant’s right to appeal the length of his sentence upon the state’s having a corresponding right to establish that the sentence should be increased rather than diminished. Such a condition might constitute double jeopardy if it subjected the defendant to the dilemma of having to choose between staying in jail under an erroneous sentence for one offense and seeking a review with the accompanying risk of having his overall sentence increased. See Pugliese v. United States, 1 Cir., 1965, 353 F.2d 514. The Pearce rule was designed to alleviate a similar dilemma in the context of an appeal on the merits. The defendant in the instant case, however, faces no such dilemma. He attacks, not the validity of his sentence, but only its appropriateness. In a related context both this court, Lemieux v. Robbins, supra, and the Massachusetts court, Mann v. Commonwealth, 1971 Mass. A.S. 1027, 271 N.E.2d 331, have held that a state may provide as the only appeal from a district court conviction a trial de novo in the Superior Court in which all issues are decided as if there had been no'prior proceeding. Though a defendant is generally entitled to the benefit of any mistake a trial judge may make in setting a sentence too low, it seems not unreasonable for a state to require that he surrender that benefit if he chooses to open up the issue.

While we do not think that, even per se, the Massachusetts procedure is constitutionally impermissible, it is even less so if one considers the benefits to the Commonwealth. A rule barring sentence increases might tend to jeopardize the very purposes for which the Appellate Division procedure was designed. See generally Eighteenth Report of the Judicial Conference (December 1942), Pub.Doc.No. 144, pp. 28-30. One of [1212]*1212these was to provide the Superior Courts with assistance in more accurate and generally uniform sentencing. If the Appellate Division could only reduce sentences, a Superior Court in doubt as to the appropriate sentence might tend to impose a too-long sentence, knowing that such a sentence could be reduced but that a sentence which was too short could not be increased. Cf. Lemieux v. Robbins, supra, 414 F.2d at 356; North Carolina v. Pearce, supra, 395 U.S. at 721-722 n. 18, 89 S.Ct. 2072.

Another purpose was, by reducing untoward disparities in sentence, to improve general prisoner morale. See E.

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Bluebook (online)
446 F.2d 1209, 1971 U.S. App. LEXIS 8703, Counsel Stack Legal Research, https://law.counselstack.com/opinion/james-m-walsh-v-philip-j-picard-superintendent-etc-ca1-1971.