Victor Lynn FARRIS, Appellant, v. The STATE of Texas, Appellee.
No. 1016-84.
Court of Criminal Appeals of Texas, En Banc.
June 11, 1986.
712 S.W.2d 512
I dissent to remanding this cause to the court of appeals. This only reflects dilly dallying around at its best.
James Stafford, Ken J. McLean, on appeal only, Houston, for appellant.
John B. Holmes, Jr., Dist. Atty., James C. Brough and John Holleman, Asst. Dist. Attys., Houston, Robert Huttash, State‘s Atty., Austin, for the State.
CAMPBELL, Judge.
Appellant was convicted by a jury of aggravated rape. Punishment was assessed at confinement for life in the Texas Department of Corrections. The Court of Appeals, relying upon testimony provided in a supplement to the appellate record, reversed the conviction because the State failed to disclose promises made to an accomplice regarding leniency in exchange for testimony. Farris v. State, 676 S.W.2d 674 (Tex.App.-Houston [1st] 1984). We granted the State‘s petition for discretionary review on five grounds for review. However, we will dispose of the case on the two grounds which pertain to supplementation of the record. We will reverse and remand.
At appellant‘s trial, Timothy Huffman testified against appellant. Huffman was an accomplice; therefore, the appellant sought disclosure of any promises of leniency made to Huffman in exchange for his testimony. The following facts, explicated in the opinion below, were disclosed to the trial judge and the jury:
“Prior to Huffman‘s testimony, the assistant district attorney disclosed to the trial court, out of the presence of the jury, that the only agreement with the witness had been to drop the aggravated kidnapping and aggravated sexual abuse charges, to allow him to plead guilty to the aggravated rape charge, and to notify the judge who was hearing the case that Huffman had been cooperative and truthful in testifying against appellant. Huffman‘s attorney also testified before the judge, out of the jury‘s hearing, that the state had made no promises regarding recommendations for leniency. Huffman testified before the jury that he had received no promises of leniency.” Farris, supra at 675.
Appellant was convicted and gave notice of appeal. On December 16, 1983, the record was filed in the Court of Appeals.
Several months after the record had been filed with the Court of Appeals, appellant discovered that, in a hearing on a motion for new trial in Huffman‘s case, testimony was presented which arguably showed that the State did not disclose to appellant certain promises of leniency made to Huffman in exchange for Huffman‘s testimony at appellant‘s trial. See Huffman v. State, 676 S.W.2d 677 (Tex.App. - Houston [1st] 1984), pet. ref‘d. Appellant sought to include a supplemental record containing this new testimony from Huffman‘s case with
On April 25, 1984, appellant filed a motion with the trial court seeking to supplement the record and mailed a copy of that motion to the State. The trial court granted the motion on the same day. On April 26, the State waived its right to notice of completion of the supplementation. On May 2, the trial court approved the supplemental record, having found that no objections had been filed within five days after notice of completion of the record. On May 9, the supplemental record was filed in the Court of Appeals.
The State presents two grounds for review regarding supplementation of the record. First, the State argues that the trial court lacked authority to supplement the record once the original record had been filed in the Court of Appeals. Second, the State argues that, even if the trial court properly had authority, a record may not be supplemented by testimony from a separate and different case.
1. Did the trial court lack the authority to supplement the record after the original record had been filed with the Court of Appeals?
A trial court‘s power to act in a given case ends when the appellate record is filed in the court of appeals, except for matters concerning bond. Duncan v. Evans, 653 S.W.2d 38 (Tex.Cr.App.1983);
In the instant case, the trial court‘s authority to act in appellant‘s cause concluded on December 16, 1983, when the record of appellant‘s trial was filed in the First Court of Appeals. The trial court had no authority to approve the supplemental record presented on April 25, 1984. The supplemental record, therefore, was not properly before the Court of Appeals.2
An appellate court may not rely upon an invalid supplement to a record in deciding a defendant‘s appeal; an appellate court is limited to those portions of the record which have been properly approved. Lynch v. State, 502 S.W.2d 740 (Tex.Cr.App.1973). See also Evans v. State, 622 S.W.2d 866 (Tex.Cr.App.1981); Hale v. State, 509 S.W.2d 637 (Tex.Cr.App.1974). Cf. Davis, supra; Clewis v. State, 415 S.W.2d 654 (Tex.Cr.App.1965). However, reliance upon an invalid record is harmless if the appellate court could have cured the error by correctly supplementing the record on its own motion. Armstead v. State, 692 S.W.2d 99 (Tex.Cr.App.1985).
“Since we conclude that we could still order such a hearing even now upon our own motion, we accept the supplemental record as prepared rather than indulging in a wasteful use of judicial time by ordering the trial court to conduct another hearing, at which the same exhibits and same testimony would be received, and have that record filed with us. If we could not now by our own order cure what may have been original error by the trial court conducting such hearing without proper order from this Court, then a different question would be presented.” Armstead, supra at 100, quoting Armstead v. State, 677 S.W.2d 266, 269 (Tex. App.-El Paso 1984).
In the instant case, the Court of Appeals relied upon an invalid supplement to the record. If, upon remand, the Court of Appeals could cure this error by ordering the testimony from the hearing on Huffman‘s motion for new trial to be correctly included in an identical supplement, then the error would be harmless. Therefore, we must address the remaining ground of review in which the State argues that testimony from a separate cause can not be used to supplement a record.
2. Can testimony from a separate cause be used to supplement an appellate record?
“but shall always include, whether designated or not, copies of the material pleadings, material docket entries made by the court, the court‘s charges, the jury‘s verdicts, the judgment or any order revoking probation, the motion or amended motion for new trial, the notice of appeal, any appeal bond, copies of all exhibits on file, other than physical exhibits or documents of unusually large bulk or weight, and all formal bills of exception. The matter so prepared shall be assembled and shall constitute the record on appeal.”
Art. 40.09, sec. 1, V.A.C.C.P.
New evidence, which has been developed subsequent to any proceedings surrounding a defendant‘s trial, does not constitute part of a defendant‘s “record” within the meaning of
In Bradley, supra, a defendant‘s probation was revoked after the trial judge took judicial notice of the record of a prior trial involving the same defendant which was held before the same trial judge. We abated defendant‘s appeal to allow the record to be supplemented by a transcript of that prior trial. The defendant argued that use of the record of a prior trial constituted “new evidence” that had not been developed in the revocation hearing. We rejected the defendant‘s argument and held that the trial judge, by taking judicial notice of the prior trial, intended to include “all of the documents and papers and pleadings and participants and all that” from the prior trial in the record of the revocation hearing.
In the instant case, appellant requested the trial court to supplement the record with testimony that arose in a hearing on Huffman‘s motion for new trial. This testimony was not developed in proceedings surrounding appellant‘s trial. Nor did the trial court take judicial notice of the hearing on Huffman‘s motion for new trial during appellant‘s trial. (Indeed,
We reverse the judgment of the Court of Appeals and remand this cause to that Court for consideration of appellant‘s remaining grounds of error.
TEAGUE, J. dissents.
CLINTON, Judge, concurring.
The first question posed by the Court need not be answered since the second disposes of the cause. See Lewis v. State, 711 S.W.2d 41 (Tex.Cr.App.1986). But since it is, I find a different answer.
Without any doubt Duncan v. Evans, 653 S.W.2d 38 (Tex.Cr.App.1983), says exactly what the majority opinion paraphras- es. However, nearly every statement of law of any significance in an appellate opinion must be considered in context of the issue was being decided and that which is not implicated. In Duncan v. Evans, supra, this Court framed an issue it felt called on to address, viz:
“What authority is available to the courts of appeals to enforce the responsibility of appointed appellate counsel for an indigent appellant to insure the filing of an appellate brief.”
Id., at 39. Patently, nothing said in Duncan touches
Facially,
As enacted in 1965 and extant in 1979,
“Upon the appellate record being filed in the Court of Criminal Appeals, all further proceedings in the trial court, except as to bond as provided in Article 44.04 and the proceedings in Article 40.09, shall be suspended and arrested until the judgment of the Court of Criminal Appeals is received by the trial court. * * ” 1
During that period of some fourteen years, in its relation to
In sum, the Court deemed proper filing an appellate record to be the event that terminated power and authority in the trial court to conduct further proceedings under
In one particular, however, the Court encountered some difficulty. A “proceeding” contemplated by
By Acts 1979, 66th Leg., Ch. 324, p. 731, § 1, the Legislature amended § 7,
“An Act relating to the procedure to be followed by the trial court whenever the record is supplemented or modified in any respect in order that it may speak the truth ...”
The content of the bill was confined to that single matter. Changes actually made are twofold: first, between the second and third sentences of former
“Notice of completion of the record shall be made by the clerk of the court by certified mail to the parties or their respective counsel. If neither files and presents to the court in writing any objection to the record, within fifteen days after the mailing of such notice and if the court has no objection to the record, he shall approve the same. If the trial court deems that a supplemental record or any other modification of the record be necessary to make the record speak the truth, for any reason, with or without objections from the state or the defendant, and whether on the court‘s own motion or the motion of either party or by order of the Court of Criminal Appeals, the defendant and the state shall be notified by certified mail of same and given five days from receipt of notice for objections to such modification or supplementation. If [such] objection be made, or if the court fails to approve the record within five days after the expiration of such fifteen-day period, the court shall set the matter down for hearing, and, after hearing, shall enter such orders as may be appropriate to cause the record to speak the truth and the findings and adjudications in such orders, if supported by evidence, shall be final.... Such proceeding shall be included in the record, and the entire record approved by the court.”
Finally, by Acts 1981, 67th Leg., Ch. 291, p. 804, § 108, in § 7 “the court of appeals or” was inserted just before “the Court of Criminal Appeals.” In the same Act, § 129 amended
Therefore, when the 1981 Act became effective, § 7 of
The problem thus presented is whether those two seemingly inconsistent developments in the same legislative act may be harmonized so that effect is given to each. See
Though awkwardly framed and placed, there can be no doubt about the clear intendment of the Legislature in making those 1979 amendments to § 7: to grant trial courts jurisdiction, power and authority to supplement or modify appellate records “to make the record speak the truth” pursuant to the procedure therein prescribed.5 The grant was reaffirmed in 1981 when § 7 was amended and, as amended, then reenacted. Merely that the exception provided in
The injunction of
Under § 1 after the clerk of the trial court has made and prepared a true copy of the matter designated by the parties and, whether designated or not, the other matter prescribed therein and has assembled the matter so prepared, it constitutes “the record on appeal“---subject, however, to approval by the trial court pursuant to § 7.
After the clerk has completed the record and notified the parties, § 7 provides several separate and distinct procedures to gain approval by the trial court, including the one in question. If at the outset there is no objection, the trial court will approve the record assembled by the clerk; if there is timely objection or if the court fails timely to approve the record a hearing is required for the court to enter such orders needed “to cause the record to speak the truth.” Also, without being restricted to a given time, “[i]f the trial court deems that a supplemental record or any other modification of the record be necessary to make the record speak the truth, for any reason,” the parties are notified and given five days to make objections “to such modification or supplementation” and if there is objection then the matter will be heard and then the court shall enter orders “to cause the record to speak the truth.”
In either event the proceeding shall be included in the record and “the entire record [shall be] approved by the court,” § 7. Thus the “entire record” may consist of that which the clerk has assembled and without objection the trial court has timely approved, or it may consist of that and in addition thereto but made separately and apart therefrom any supplement or modification also approved by the trial court.
For purposes of
As the majority sees the matter, because an appellate court has power and authority to order a trial court to supplement an appellate record, it may accept a supplemental record and thereby cure “error” by a trial court in making an “invalid supplement,” rendering it “harmless.” However, it does not identify or explain any “harm” in the first place. Since the whole idea is “to make the record speak the truth,” how is it that a party may be harmed?
Nevertheless, I agree with the ultimate disposition and, therefore, join the judgment of the Court.
MILLER, J., joins.
CAMPBELL
Judge
