Smallwood v. State
Smallwood v. State
Opinion
Fader, J.
*393 The appellant, Robert P. Smallwood, presents us with the question of whether an incarcerated individual whom a circuit court has determined is imprisoned on an illegal sentence, and thus must be resentenced, has a right to counsel for the resentencing. We hold that he or she does.
BACKGROUND
In 1982, a jury sitting in the Circuit Court for Baltimore City found Mr. Smallwood guilty of first-degree murder and use of a handgun in the commission of a crime of violence. After a dialogue in which the court made clear its intent to provide Mr. Smallwood with credit for 72 days he had served while awaiting trial, the court pronounced Mr. Smallwood's sentence on the murder count as "for the term of his natural life less 72 days," concurrent with a sentence of 15 years for the handgun conviction. On direct appeal, we affirmed.
Thirty years later, Mr. Smallwood filed a pro se motion to correct an illegal sentence pursuant to Rule 4-345(a) in which he contended that his sentence was "ambiguous, indefinite, and therefore illegal." In a February 2013 hearing, Mr. Smallwood made the somewhat contradictory arguments: (1) that his original sentence of "life less 72 days" was ambiguous and vague; and (2) that the sentence required the State to calculate his remaining life expectancy so that it could set a release date 72 days before his expected death. Although the motions *394 court judge was initially skeptical, she ended up granting his motion. 1 She then, in the same hearing, imposed a new sentence: "Your sentence for the murder, sir, will be life suspend all but 80 years. And, for the concurrent sentence, it's 15 years and you get credit for the 72 days." The court also added five years' probation to the split sentence.
Two other aspects of the relatively brief hearing are noteworthy for our purposes.
*144 First, on two occasions Mr. Smallwood raised his lack of counsel. Early in the hearing, Mr. Smallwood stated: "I'm sorry. I want to apologize, too. I don't have counsel. I tried to get counsel for years; I couldn't do it. So, I tried to speak as best I could." And just before the court ruled, Mr. Smallwood again addressed his lack of counsel:
See, that's why I knew I shouldn't have came back without an attorney. I tried for years to get an attorney. I already knew this was-this sentence was ambiguous. I knew it was vague. I tried for years to get an attorney; I couldn't put myself in a position to get one, so I decided to come down here anyway because I'm getting-you know, I got 31 years in, so I can't wait any longer.
The court did not follow up on either occasion.
Second, after imposing the new sentence, the court requested the assistance of an Assistant State's Attorney not involved in Mr. Smallwood's case to advise Mr. Smallwood of his appeal rights. The prosecutor advised Mr. Smallwood that he had 90 days to file a motion to modify his new sentence and 30 days to ask a three-judge panel to review his new sentence, but that he had no direct appeal right. Neither Mr. Smallwood nor the State took an appeal at that time.
*395 More than a year later, in July 2014, Mr. Smallwood filed a pro se postconviction petition challenging the motions court's failure to provide him with counsel or advise him of his right to counsel at resentencing. Mr. Smallwood conceded that he did not have a right to counsel for the presentation of his motion, but argued that once the court found his "sentence illegal, then the only thing to do is impose a new sentence. And at that new sentencing procedure, I'm saying I should have been advised of my right to an attorney." After the postconviction court raised sua sponte whether Mr. Smallwood's postconviction claim should have been raised on direct appeal, the court learned that Mr. Smallwood had been advised that he had no right to appeal. In supplemental briefing, the State conceded that Mr. Smallwood had a right to direct appeal of his new sentence and suggested that "the appropriate remedy is to allow [Mr. Smallwood] to file a belated appeal."
In a written opinion, the postconviction court rejected Mr. Smallwood's right-to-counsel claim. The court held that the right to counsel applies only through direct appeal, and does not extend to collateral proceedings like a motion to correct an illegal sentence. But, noting the State's concession as to Mr. Smallwood's appeal rights, the postconviction court awarded Mr. Smallwood the right to file a belated appeal from the order imposing his new sentence. Mr. Smallwood's belated appeal is the matter now before us.
DISCUSSION
Although this matter arises out of a rather complicated procedural history, most of that is irrelevant to the straightforward issue before us: Once a court has granted a motion to correct an illegal sentence, and so is going to impose a new sentence, does the convicted person have a right to counsel? We hold that he or she does. 2
*145 *396 I. MR. SMALLWOOD'S APPEAL IS PROPERLY BEFORE THIS COURT .
The State raises three arguments as to why we cannot, or should not, address the merits of Mr. Smallwood's right-to-counsel claim in this appeal. 3
First, the State argues that Mr. Smallwood has no right to appeal from the circuit court's grant of his motion to correct an illegal sentence. But Mr. Smallwood appeals from the sentence imposed by the circuit court, not from the grant of his motion. To accept the State's argument would require us to hold that no sentence imposed by a court after granting a motion to correct an illegal sentence could be subject to direct challenge by the convicted person. The State has not pointed us to any authority for that proposition.
4
We rejected a similar
*397
argument in
Sanders v. State
,
Second, the State contends that because Mr. Smallwood did not argue below that he had a right to counsel at his resentencing, "there is, technically speaking, no circuit-court ruling denying Smallwood's counsel-related claims." Although Mr. Smallwood did not expressly argue that he had a right to have counsel present, he did twice call to the motions court's attention his desire to have counsel present. On neither occasion did the court ask a question.
Moreover, if Mr. Smallwood did not preserve the issue, it is likely because he lacked the assistance of counsel to help him recognize the need to do so. Indeed,
*146
the right to counsel is important precisely because it "seeks to protect a defendant from the complexities of the legal system and his or her lack of understanding of the law."
Brye v. State
,
Third, the State argues that Mr. Smallwood's right-to-counsel claim would more appropriately be considered in an appeal from the denial of Mr. Smallwood's postconviction petition, consideration of which this Court has stayed pending the resolution of this direct appeal. We see no reason to further postpone resolution of the important issue raised here to await that collateral challenge.
Cf.
Greco v. State
,
Finding no impediment to our consideration of Mr. Smallwood's challenge, we proceed to the merits.
II. THE PROCEEDING IN QUESTION WAS A SENTENCING .
A central point of dispute between the State and Mr. Smallwood is over how we should view the part of the proceeding *147 below in which the motions court imposed a new sentence on Mr. Smallwood. According to the State, the imposition of a new sentence was simply a non-severable part of the proceedings on Mr. Smallwood's motion to correct an illegal sentence. Thus, the State contends, it was not really a sentencing at all. Case law stating that convicted persons have no right to counsel in collateral proceedings generally, and no right to counsel to bring motions to correct illegal sentences in particular, is therefore dispositive.
Mr. Smallwood, on the other hand, views the imposition of his new sentence as analytically distinct from the decision to grant his motion. He concedes that he had no right to counsel in preparing or arguing his motion to correct an illegal sentence. He argues, however, that once the court granted that motion, and thus was required to impose a new sentence, what followed was a sentencing.
We agree with Mr. Smallwood. As a practical matter, it cannot seriously be disputed that the court imposed a new sentence. After granting his motion, the court declared that Mr. Smallwood's "sentence for the murder ... will be life suspend all but 80 years." The court thus imposed on Mr. Smallwood a new sentence for the crimes of which he had been convicted 30 years earlier. It is also clear that the judge understood that she had just imposed a new sentence, as she
*400
requested the assistance of an Assistant State's Attorney to advise Mr. Smallwood of certain rights that follow imposition of a sentence.
See
Rule 4-345(e) (stating that court has revisory power over a sentence upon "a motion filed within 90 days after imposition of a sentence"); Rule 4-344(a) (allowing defendant to seek review of sentence by three-judge panel when an application is filed "within 30 days after the imposition of sentence"). Although not the first sentence imposed, a resentencing is a sentencing.
Jones v. State
,
Additionally, in imposing the new sentence, the court did not merely correct a technical error in the prior sentence or comply with an appellate mandate to enter a particular sentence; the new sentence was both materially different and an exercise of the court's discretion. Whether the old sentence was life, with no part of it suspended (but with credit for 72 days' time served)-as the State had claimed-or life, with 72 days suspended-as Mr. Smallwood claims to have understood it-both are different from a sentence of life suspend all but 80 years, with five years' probation. 6
We again find
Sanders
instructive. There, the circuit court had granted Mr. Sanders's Rule 4-345(a) motion, concluding that his original 20-year sentence for a handgun violation was illegal because the maximum possible sentence was 15 years.
Under
Sanders
, the portion of the proceeding that followed the court's decision to grant Mr. Smallwood's motion became a sentencing. That the court imposed the new sentence after granting a motion to correct an illegal sentence-as opposed to initially, on remand, on reconsideration, on a motion for modification, after postconviction relief, or otherwise-does
*402
not make it less of an imposition of a sentence. Our courts have similarly recognized that sentences imposed after granting other collateral motions "constitute[ ] the imposition of a new sentence."
Hoile
,
III. MR. SMALLWOOD HAD A RIGHT TO COUNSEL FOR RESENTENCING.
We now turn to whether a convicted person has the right to counsel at the imposition of a sentence after a determination that the prior sentence was illegal. Our courts have identified two different sets of constitutional sources for the right to counsel. First, "[t]he Sixth Amendment to the United States Constitution and Article 21 of the Maryland Declaration of Rights guarantee a right to counsel, including appointed counsel for an indigent, in a criminal case involving incarceration."
Rutherford
,
Second, "[u]nder certain circumstances, the requirements of due process include a right to counsel, with appointed counsel for indigents, in civil cases or other proceedings not constituting critical stages of criminal trials."
*403
Rutherford
,
A. Sentencing Is a Critical Stage.
The Supreme Court's jurisprudence regarding the right to counsel at sentencing has evolved in stages. In
Townsend v. Burke
, a decision that predates the Supreme Court's application of the Sixth Amendment as against the States, the Court found a due process violation when the absence of counsel led to a sentencing decision that was premised on false assumptions.
In
Gideon v. Wainwright
,
*150
Mempa v. Rhay
,
The State of Washington sentencing scheme at issue in
Mempa
allowed sentencing to be deferred pending completion of periods of probation.
*405
The State argued that Mr. Mempa was not entitled to counsel at his sentencing upon revocation of probation because, with the trial court bound to sentence Mr. Mempa to the maximum possible sentence, that resentencing was "a mere formality constituting part of the probation revocation proceeding."
Subsequently, in
Gardner v. Florida
, a plurality of the Court observed that although a "defendant has no substantive right to a particular sentence within the range authorized by statute, the sentencing is a critical stage of the criminal proceeding at which he is entitled to the effective assistance of counsel."
B. Resentencing Is a Critical Stage. 10
We see no ground for distinguishing a resentencing such as that here from a sentencing when it comes to the application of the right to counsel. A resentencing, like a sentencing, involves the imposition of a sentence, and can alter both the fact and duration of a defendant's incarceration.
See
Sanders
,
Although no Maryland appellate court has yet addressed this issue directly, our preliminary conclusion that the right to counsel applies on resentencing finds strong support in
Bartholomey v. State
,
Mr. Bartholomey had been convicted of first-degree murder.
Id. at 180,
While Mr. Bartholomey's case was before the Court on direct appeal, the case of Elisha Sterling, Jr. was not properly before the Court at all because Mr. Sterling had improperly filed his petition with the Court itself, rather than with the appropriate circuit court.
Id. at 191,
Mr. Sterling was convicted of rape, not first-degree murder. As a result, unlike in Mr. Bartholomey's case, the circuit court on remand was not restricted by statute as to the sentence it could impose.
Id. at 192-93,
*409
Courts in other jurisdictions have agreed that there is a right to counsel in a resentencing that follows the grant of a collateral motion. In
State v. Scott
, for example, the Florida Supreme Court held that a prisoner whose sentence was found illegal, and who was therefore "entitled to a modification of the original sentence or the imposition of a new sentence," was then also entitled to "the full panoply of due process considerations," including the right to counsel.
Similarly, and for the same reason, the Supreme Court of Ohio has held that a defendant is entitled to counsel even at a resentencing hearing "conducted for the limited purpose of properly imposing statutorily mandated postrelease control."
State v. Schleiger
,
We agree with these courts that, for largely the same reasons that an initial sentencing is a critical stage of a criminal proceeding at which a defendant is entitled to counsel, a resentencing after the grant of a motion to correct an illegal sentence is also a critical stage at which a defendant is entitled to counsel.
C. Article 24 of the Declaration of Rights Provides a Right to Counsel at Resentencing.
Independent of our analysis under the Sixth Amendment and Article 21, Mr. Smallwood also had a right to counsel at his resentencing under Article 24 of the Declaration of Rights.
12
The Court of Appeals has interpreted the right to counsel under Article 24 broadly to "attach[ ] in any proceeding that may result in the defendant's incarceration."
DeWolfe II
,
The Court of Appeals's decision in
DeWolfe II
is instructive as to the breadth of this right. There, the Court determined that Article 24 provides a right to counsel at a defendant's initial appearance before a district court commissioner, during which the commissioner makes a preliminary determination as to whether the defendant "is eligible for pretrial release" and, if so, whether and in what amount to impose bail.
In a dissent joined by two other judges, Chief Judge Barbera pointed out that the Court had not previously extended the due process-based right to counsel beyond circumstances involving "in-court proceedings, conducted by a judge and having the potential to result in a judge-ordered term of incarceration that was final, save for the possibility of a subsequent court proceeding at which the defendant would have the right to counsel."
Here, as discussed above, a resentencing after the grant of a motion to correct an illegal sentence has the potential to affect the term of incarceration, which the majority in DeWolfe II viewed as sufficient by itself to invoke a due process right to counsel. Notably, such a resentencing also meets the DeWolfe II dissenters' criteria for application of the right as the proceeding is in court, conducted by a judge, and has the potential to result in a judge-ordered term of incarceration that is final, subject to appeal. We thus hold that there is a right to counsel at a resentencing that follows the grant of a motion to correct an illegal sentence under Article 24.
*412 D. The Circuit Court Erred in Not Inquiring Further Regarding Mr. Smallwood's Lack of Counsel Before Resentencing Him.
Once the motions court determined that Mr. Smallwood's existing sentence was illegal, Mr. Smallwood needed to be resentenced. In resentencing him, the court was "not limited by the strict rules of evidence and [wa]s invested with wide discretion in determining the sentence to be imposed within the authorized statutory limits ..."
Sanders
,
Moreover, in considering the appropriate sentence, the court was not restricted
*155
to the information that was available at the time of the original sentencing, but could have taken into account, for example, Mr. Smallwood's conduct during his 31 years of incarceration, as well as any other factors the court considered relevant.
Jones
,
Given the stakes of a resentencing, the amount of discretion available to the resentencing court, and the possibility for error and mistake, the potential utility of counsel is unquestionable. In this case, although the presence of counsel for Mr. Smallwood may not have changed the result at all, it also may have. See DeWolfe I , 434 Md. at 429 (stating that "the likelihood that the Commissioner will give full and fair consideration to all facts relevant to the bail determination can only be enhanced by the presence of counsel"). And counsel almost certainly would have challenged the advice given to Mr. Smallwood that he lacked a right of appeal from his new sentence.
In sum, we hold that Mr. Smallwood had a right to counsel at his resentencing both because sentencing is a critical stage of a criminal proceeding and because he had a due process right to counsel at a proceeding in which the fact and length of his future incarceration were at issue. Had Mr. Smallwood had counsel present, resentencing could have proceeded immediately. Because he did not, and in the absence of an appropriate determination on the record that he had knowingly and intelligently waived his right to counsel, the court was required to postpone sentencing until a later date. 14
We make one further comment for the guidance of the circuit court on remand. The "upper bound" for a new sentence after a prior sentence has been found illegal, for purposes of application of
*414
§ 12-702(b) of the Courts and Judicial Proceedings Article, is either: (1) "a previous lawful sentence imposed, if any"; or (2) the "resulting legal sentence" after the illegality is removed.
Greco
,
SENTENCE FOR MURDER VACATED; CASE REMANDED TO THE CIRCUIT COURT FOR BALTIMORE CITY FOR RESENTENCING CONSISTENT WITH THIS OPINION. COSTS TO BE PAID BY THE MAYOR AND CITY COUNCIL OF BALTIMORE.
The motions court judge did not identify the basis on which she found the original sentence illegal. In announcing her decision, the court stated: "So, Mr. Smallwood, I'll grant your request. I will modify your sentence, and I'm going to note the objection of the State." Of course, Mr. Smallwood's request was not to modify his sentence, which would have been untimely, but to correct an illegal sentence. Both the State and Mr. Smallwood agree that the circuit court's action, in context, should be understood as having granted the motion that was before it, and not as improperly granting a modification that was not, and could not properly have been, requested. We agree.
We take no position as to whether Mr. Smallwood's initial sentence was illegal or whether the motions court erred in granting that motion. The State concedes that we are not in position to address that decision because the State did not appeal from it. We do, however, note that Mr. Smallwood's claim here is based entirely on the specific language used by the trial court in imposing his sentence for murder: "for the term of his natural life less 72 days." Mr. Smallwood did not argue that there is any inherent ambiguity in imposing a life sentence in which credit is awarded for time served. To the contrary, he argued that the court's reference to 72 days was not intended merely to provide credit for time served, but was instead intended to limit the time he would serve going forward to 72 days less than the anticipated length of his natural life. Thus, the issue before the motions court was whether the specific language "life less 72 days" was vague and ambiguous-Mr. Smallwood argued that it was; the State argued that, especially in the context in which the sentence was imposed, it was not. The current procedural posture of the case precludes us from weighing in on that issue.
The State also argues that Mr. Smallwood was not entitled to counsel because what he really wanted from the motions court was not to correct an illegal sentence but to order a correction to his commitment record. We disagree, both because Mr. Smallwood unquestionably argued that his sentence was illegal and because regardless of what he requested, what the court actually did was vacate his initial sentence and resentence him. That is the decision before us for review.
The State instead cites authority for inapposite legal propositions. For example, the State, relying on
Evans v. State
,
Expounding on this right, our Court of Appeals has quoted favorably the following passage from the Supreme Court's plurality decision in
Von Moltke v. Gillies
,
The constitutional right of an accused to be represented by counsel invokes, of itself, the protection of a trial court, in which the accused-whose life or liberty is at stake-is without counsel. This protecting duty imposes the serious and weighty responsibility upon the trial judge of determining whether there is an intelligent and competent waiver by the accused. To discharge this duty properly in light of the strong presumption against waiver of the constitutional right to counsel, a judge must investigate as long and as thoroughly as the circumstances of the case before him demand.... A judge can make certain that an accused's professed waiver of counsel is understandingly and wisely made only from a penetrating and comprehensive examination of all the circumstances under which such a plea is tendered.
Parren v. State
,
In addition to being literally different sentences, a convicted person sentenced to life is potentially eligible to be considered for parole at a different time than a convicted person sentenced to life with all but 80 years suspended.
Compare
A resentencing hearing is not required in every case in which a court grants a motion to correct an illegal sentence. In
Holmes v. State
, for example, the Court of Appeals held that a sentence in which home detention was imposed as a condition of probation entered pursuant to a guilty plea was illegal.
Article 24 provides "[t]hat no man ought to be taken or imprisoned or disseized of his freehold, liberties or privileges, or outlawed, or exiled, or, in any manner, destroyed, or deprived of his life, liberty or property, but by the judgment of his peers, or by the Law of the land."
Prior to
Gideon
, the right to counsel was not uniformly applied to the States. Instead, under
Betts v. Brady
,
As a preliminary matter, the State argues that the Sixth Amendment and Article 21 do not apply at all here because a motion to correct an illegal sentence is not a stage of a criminal proceeding, but "a single civil proceeding in the nature of a collateral attack on the original judgment of conviction." To the contrary, unlike a postconviction proceeding, a motion to correct an illegal sentence is "part of the same criminal proceeding and not a wholly independent action. [ ] Rule [4-345(a) ] simply grants the trial court limited continuing authority in the criminal case to revise the sentence."
State v. Kanaras
,
The Court's statement that Mr. Sterling was entitled to representation by counsel for his resentencing proceeding was dicta, both because the Court admittedly lacked jurisdiction over the case and because it is not clear that the right to counsel was placed at issue-the decision does not analyze the issue or contain any indication that the parties had taken contrary positions on it. We nonetheless accord the statement substantial weight, both because the Court made it in the course of purposefully providing guidance to lower courts as to how to conduct resentencing proceedings and because the Court expressly intended the statement to apply to the very situation at issue here, a resentencing following the grant of a motion to correct an illegal sentence.
Because the protections of Article 24 with respect to the right to counsel are broader than those of the Fourteenth Amendment,
DeWolfe II
, 434 Md. at 457 n.9,
The State's contention that a resentencing is unlike an original sentencing because it cannot be the cause of an individual's incarceration-because the individual is already incarcerated and will remain so-is wrong on both ends. First, there are many situations in which an individual is, and has been, incarcerated at the time of his or her initial sentencing, including where the individual was denied or did not make bail on the charge at issue or where the individual was already incarcerated on a different offense. Second, there are also situations, as here, in which an individual at least theoretically could be released on resentencing, and so the sentencing court's decision to impose a sentence that is longer than time served would actually be the cause of continued incarceration.
During his postconviction hearing, Mr. Smallwood expressed his lack of preparedness to address sentencing issues after the court granted his motion:
"If I had a lawyer, I would have been better off. I definitely would have been better off because he would have been able to speak for me. I wasn't in no position right then and there. I wasn't expecting to be sentenced right after she just declared my regular sentence illegal."
Case-law data current through December 31, 2025. Source: CourtListener bulk data.