Lead Opinion
B. Dоnald Fielding appeals from two convictions for possession of a controlled substance with intent to deliver. Appellant contends that revocation of his unadjudicat-ed “probation” violated due process of law and double jeopardy principles, that the change in status from deferred adjudication to 60 years’ imprisonment violates the constitutional prohibition against cruel and unusual punishment, that the trial court erred in refusing to hold a hearing on appellant’s motion for new trial, and that the sentencing process and sentence imposed violated due process. These contentions are without merit. We affirm the trial court’s judgment.
I. Facts
On January 9,1985, appellant entered his plea of guilty. After hearing evidence substantiating аppellant's guilt, thé trial court deferred further proceedings without an adjudication of guilt and placed appellant on ten years’ “probation”. See TEX.CODE CRIM.PROC.ANN. art. 42.12, § 3d (Ver
On May 24, 1985, the State filed its motion to proceed with adjudication of guilt. The motion alleged that appellant had violated condition (a) by driving a motor vehicle on a public street when his driver’s license was suspended. On May 31,1985, a hearing was held on the State’s motion. At the close of that hearing the trial court accepted appellant’s plea of true to the allegations in the State’s motion, found that the allegatiоns were true, granted the State’s motion, and proceeded with the adjudication of guilt. The trial court accepted appellant’s plea of guilty entered January 9, 1985, found appellant guilty, and assessed punishment at 60 years in the Texas Department of Corrections on each offense.
II.Decision to Proceed with Adjudication
In appellant’s first five grounds of error, he alleges constitutional violations connected with the trial court’s decision to proceed with adjudication of guilt. A defendant cannot appeal the trial court’s determination to proceed with adjudication of guilt. TEX.CODE CRIM.PROC.ANN. art. 42.12, § 3d (Vernon Supp.1986). This decision is within the absolute discretion of the trial court and is not subject to appellate review. Homan v. Hughes,
III.Cruel and Unusual Punishment
In his sixth ground of error, appellant contends that his change in status from deferred adjudication to sixty years’ incarceration violated the constitutional ban against cruel and unusual punishment. Appellant argues that he has a substantial liberty interest granted by the trial court when it deferred adjudication; that he substantially complied with all the conditions of his deferred adjudication; that his only violations of those conditions were minor traffic offenses unrelated to the offenses with which he was charged; and that, although a lengthy sentence of imprisonment could originally have been imposed, the State is bound by its determination that its best interests were adequately protected by deferred adjudication unless there are sufficiеnt grounds for a redetermination and reevaluation of the decision to impose probation. Appellant further maintains that the justification for the imposition of lengthy prison terms was alleged licensing offenses and that, therefore, the sentences were grossly disproportionate to the minor offenses, thus constituting cruel and unusual punishment.
We note initially that the sixty-year sentences are not punishment for driving with a suspended driver’s license but for the unlawful possession of cocaine with intent to deliver. In essence, appellant’s arguments amount to a contention that the trial court abused its discretion in determining to proceed with adjudication of guilt because there was insufficient evidence to support that determination. This same contention was overruled in Williams v. State,
IV.Motion For New Trial
In his seventh ground of error appellant contends that the trial court
In this case, the only extrinsic matter raised by affidavit concerns appellant’s reason for violating the conditions of his deferred adjudication. At the hearing on proceeding with adjudication, Fielding presented evidence showing that he had been unaware that his driver’s license was suspended. The affidavit attached to Fielding’s motion for new trial was executed by the attorney who represented Fielding for traffic violations. It gave the background facts concerning Fielding’s suspended license “which were known to the trial court, but were not part of the record”, as stated in the motion for new trial. This affidavit simply corroborated Fielding’s testimony at the adjudication hearing. Fielding’s motion for new trial presented no issues that required proof to be developed outside the record. Under these circumstances, the trial court did not err in denying Fielding a hearing on his motion. Darrington v. State,
V. Due Process
Finally, appellant contends that the sentencing process and sentence imposed in this case violate due process. Appellant argues that he substantially complied with the terms of his “probation” and that the trial court determined his sentence before hearing all the evidеnce. We initially observe that, to the extent that appellant’s contention attacks the determination to proceed with adjudication of guilt, it is not reviewable by this court. Contreras,
Appellant argues that the sentence imposed was illegal because the court’s only option after adjudication of guilt was to reinstate appellant’s “probation”. He relies on the Supreme Court decisions in Morrissey v. Brewer,
There is no provision in the statutes for reinstatement of unadjudicated “probation” after guilt has been adjudicated. To the contrary, after an adjudication of guilt, assessment of punishment proceeds “as if the adjudication of guilt has not been deferred.” TEX.CODE CRIM.PROC.ANN. art. 42.12, § 3d(b) (Vernon Supp.1986).
Further, the deferred adjudication statute does not enunciate a “substantial compliance” standard. Violating one condition of deferred adjudication authorizes an adjudication of guilt on the original offense. See Hunter v. State,
When it deferred adjudication in January, the trial court made the following statement:
When these things are adjudicated, if they are, you’re not getting any ten years, you’re not getting, any twenty years, you’re getting a substantial sentence. And I normally don’t do this, but I’m laying my cards on the table, and if you violate the conditions of your probation, you’re talking about 60 and up; is that clear?
Later, in May, when the trial court proceeded with adjudication and assessed punishment at 60 years, he remarked, “I believe I told you when you came before me that if you violated any terms and conditions of your probation what I was going to do, and I couldn’t be any clearer.”
Appellant contends that the trial judge’s statements reveal that he decided at the time adjudication was deferred that if appellant violated any term of his deferred adjudication he would receive at least a sixty-year sentence; that the trial court refused to consider evidence in mitigation of punishment offered by appellant at the hearing on the State’s motion to proceed with adjudication; and that, consequently, the trial court prejudged and predetermined appellant’s sentence in violation of the Fifth and Fourteenth amendments to the United States Constitution and Article I, section 19 of the Texas Constitution. Specifically appellant complains of the trial court’s failure to consider the fairly innocuous conduct relied upon by the State in its motion to proceed with adjudication and appellant’s exemplary conduct during his deferred adjudication.
We first consider appellant’s claim that the trial court refused to hear evidence in mitigation of punishment. Appellant relies upon Black v. Romano,
Neverthelеss, the record reflects that the trial court allowed appellant a full hearing in defense of the motion to proceed with adjudication. Appellant relies on that same defensive testimony as evidence in mitigation of punishment. Although appellant was given the opportunity prior to sentencing to offer additional legal reasons why he should not be sentenced, he merely stated that he would not have been driving if he had known his license was suspended. Thus, the court did not refuse to hear evidence in mitigation of punishment. Once the adjudication hearing was held, the trial court could immediately assess punishment. McNew,
We next address appellant’s contention that the trial court prejudged and predetermined his sixty-year sentence. After hearing the evidence of appellant’s good behavior during deferred adjudication, the trial judge stated that his decision to proceed with adjudication of guilt and assess punishment at 60 years was made “in light of the pre-sentence report and in light of the prior [felony] probation and in light of the amount of cocaine and in light of all the facts and circumstances surrounding the case....” We conclude that the trial judge considered the evidence presented in mitigation of punishment and, after weighing it against the considerations above, arrived at a punishment of 60 years. In light of the trial judge’s statement we cannot presume that he consciously refused to consider the mitigating evidence when he assessed punishment.
We note that, although the trial court is not required to admonish a defendant as to the consequences of deferred adjudication, to do so is the better practice. McNew,
Appellant does not contend thаt sixty years is an inappropriate sentence for each of the charged offenses. The sentences imposed were within the discretion of the trial court. Because they were within the statutory limits for the offenses charged, they will not be disturbed on appeal. United States v. Lane,
Appellant argues that the trial court imposed the sixty-year sentences because of derogatory publicity incurred by the trial court’s placing appellant on deferred adjudication; that because newspapers quoted the district attorney’s statement, “The judge promised to give him at least sixty years if he messed up,” that the trial court did not consider the full range of punishment after adjudicating appellant’s guilt, but arbitrarily gave appellant the same sixty-year sentеnce that the trial court had previously announced he would give appellant if appellant’s guilt were adjudicated. We need not speculate on the validity of these allegations because, so long as the punishment imposed by the trial court is within the range prescribed by statute, the motivation of the trial court in imposing the sentence is irrelevant. See White,
Additionally, any error in the trial judge’s treatment of appellant’s mitigating evidence is harmless. The following cases support this proposition. Singletary v. State,
Appellant’s due process argument is grounded mainly on the allegation that the trial judge refused to consider mitigating evidence of the appellant’s good behavior during his unadjudicated “probation”. Assuming, without holding, that the trial judge failed to fully and properly consider appellant’s mitigating evidence, we conclude that the error, if any, was harmless because excluding the mitigating evidence would not have been reversible error. See Singletary,
Finally, if appellant felt that the trial court was precluding itself from considering all of the evidence, the appellant could have called attention to the error. At no time during either hearing did appellant object to the trial judge’s statements or actions. If the trial judge committed errors sufficient to warrant reversal on appeal, they deserved at the least an objection or even a motion to recuse. Nevertheless, appellant’s first complaint of the trial judge’s actions appears in appellant’s motion for new trial. Appellant’s failure to timely object or file a recusal motion waived the error, if any. Rogers v. State,
Affirmed.
Dissenting Opinion
dissenting.
I cannot agree that appellant’s sentence of sixty years was imposed in accordance with “the due course of the law of the land” as required by article I, section 19 of the Texas Constitution. Review of this record has convinced me that the trial judge, when he deferred adjudication and placed appellant on probation, prejudged the sentence to be imposed in the event of а revocation of probation, and that later, after revoking probation and adjudicating guilt, the judge refused to consider pertinent evidence bearing on punishment. Consequently, I would reverse and remand for a new hearing on punishment before a different judge.
The majority takes the view that, at the original hearing, the judge did no more than admonish appellant concerning the range of punishment in the event probation should be revoked. I cannot agree. On receiving appellant’s plea of guilty, the judge properly admonished appellant of the statutory range of punishment for both of the two offenses charged: for one, confinement for life or any term not less than five years and a fine not to exceed $50,000, and for the other, confinement for life or any term not less than ten years and a fine not to exceed $100,000. At the close of the hearing, however, the judge declared:
[If] you violate your conditions— you’ve really had more than your share of second chances — and if you come before me again, let me tell you something: When these things are adjudicated, if they are, you’re not getting any ten years, you’re not getting any twenty years, you’re getting a substantial sentence. And I normally don’t do this, but I’m laying my cards on the table, and if you violate the conditions of your probation, you’re talking about 60 and up; is that clear?
In response to the State’s motion to adjudicate guilt, appellant pleaded “true” to the allegation that he had violated a condition of his probation in that he had driven his automobile when his operator’s license was suspended. He offered evidence, however, that he had employed a lawyer and was under the impression that an occupational driver’s license had been obtained. He also offered evidence that, although he had suf
At the close of the hearing, the judge remarked that appellant “may have done 99 percent of what I asked,” but that in view of all the circumstances, he “just didn’t have any margin for error.” The judge assessed his punishment at sixty years confinement in each case, and added:
THE COURT: I believe I told you when you came before me that if you violated any terms and conditions of your probation what I was going to do, and I couldn’t be any clearer.
I cannot cоndone this procedure. When granting probation, a judge may wish to impress the offender with the seriousness of any violation of the conditions imposed, but in doing so, he cannot properly prejudge the ultimate sentence in the event of violation and thus preclude consideration of mitigating circumstances that might be relevant. We do not know what sentence the judge would have imposed originally if he had not granted probation. It seems likely that the severity of the threatened sentence was influenced by a desire to deter appellant from any violation. Nor do we know what sentence the judge would have imposed at the second hearing if the defendant had not originally been threatened with a sixty-year sentence,, but the judge leavеs no doubt that he would not, under any circumstances, have reduced the sentence from that specified at the earlier hearing.
The trouble with this procedure is that the judge may originally threaten a heavier sentence than he would actually impose if no probation were granted, and then, if the defendant has committed even a trivial violation of probation, he may feel bound to maintain his credibility by imposing the threatened sentence regardless of any further evidence. I conclude that such a procedure is not in accordance with the due course of the law because (1) it effectively excludes evidence relevant to punishment, specifically, the evidence of appellant’s rehabilitation while on probation; (2) it precludes the judge from considering the full range of punishment prescribed by law; and (3) it deprives the defendant of a fair and impartial tribunal at the punishment hearing. Moreover, I cannot agree that appellant waived these errors.
1. Relevance of Evidence of Rehabilitation
The relevance of the evidence of appellant’s rehabilitation is supported by two statutory provisions. Section 1.02(3) of the Texas Penal Code (Vernon 1974) lists among the stated purposes of the Code “to prescribe penalties ... that permit recognition of differences in rehabilitation possibilities among individual offenders.” Also, article 37.07, section 3(a) of the Code of Criminal Procedure (Vernon 1981) expressly provides that at a punishment hearing evidence of the defendant’s character may be offered either by the State or by the defendant. In my opinion, the evidence of appellant’s rehabilitation while on probation is relevant to appellant’s character.
Both of these statutory provisions are apparently based on the philosophy of modern sentencing to take into account the person as well as the crime by considering information concerning every aspect of a defendant’s life. See Williams v. New York,
With respect to fixing of punishment after revocation of unadjudicated probation, article 42.12, section 3d(b) of the Texas Code of Criminal Procedure (Vernon Supp. 1986), provides:
After an adjudication of guilt, all proceedings including assessment of punishment, pronouncement of sentence, granting of probation, and defendant’s appeal continue as if the adjudication of guilt had not been deferred.
I read this statute to mean that punishment should be assessed as if at the time of the punishment hearing adjudication of the defendant’s guilt had not previously been deferred, not as if the hearing were being held at the earlier date. Thus, it means that the court should consider the defendant’s conduct while on probation, whether positive or negative, as if no probation had previously been imposed.
I find support for this interpretation of the statute in McNew v. State,
The majority opinion dоes not hold that the evidence of appellant’s rehabilitation was not admissible or relevant on the issue of punishment, but only that any error in the judge’s treatment of this evidence is harmless. I cannot agree. In the light of the strong evidence of rehabilitation in this record, I am not persuaded that a fair-minded judge would have excluded this evidence from his consideration of punishment, or that this judge would have done so if he had not announced in advance his intention to assess a sixty-year term.
In none of the cases cited by the majority in support of its application of the harmless error rule did the evidence show the complete change of personal habits and style of living that appellant showed in this case. Most of these cases did not сoncern any conduct of the defendant bearing on rehabilitation since the offense. Singletary v. State,
The leading case and the only case cited by the majority that concerns conduct since the offense, is Allaben v. State,
Evidence to be offered at the hearing on punishment pursuant to the provisions of Article 37.07, Section 2(b), Vernon’s Ann. C.C.P. is by no means limited to the defendant’s prior criminal record, his gеneral reputation and his character. Evidence legally admissible to mitigate punishment or evidence that is relevant to the application for probation, if any, is also admissible.
It appears that the Court should have admitted the testimony excluded, but we cannot conclude, in light of the entire record, that trial court’s action consti*370 tutes such error as to call for reversal. [Emphasis added.]
Evidently the court concluded that the treatment, in itself, was but slight evidence of rehabilitation. Here, by contrast, the evidence of actual rehabilitation was strong and undisputed. Consequently, I cannot conclude in the light of this record that the error was harmless.
2. Consideration of Full Range of Punishment
After admonishing appellant at the earlier hearing concerning the range of punishment for the two offenses to which he had pleaded guilty, the trial judge, in unequivocal language, informed appellant that he would not consider that full range if the defendant should come before him again, but would consider only a sentence of at least sixty years — the maximum effective sentence under current law for a prisoner eligible for parole. See TEX.CODE CRIM. PROC.ANN. art. 42.18, § 8(b) • (Vernon Supp.1986). After pronouncing that sentence at the later hearing, the judge informed appellant that he had done exactly what he had said he would do. Thus the judge’s own declaration establishes that he refused to consider the full range of punishment provided by law. In effect, he excluded from consideration in assessing punishment the evidence of rehabilitation, which he had previously heard at the hearing on probation revocation.
I conclude that in this respect the trial court erred seriously — even еgregiously— in that he failed to give appellant a fair trial on the issue of punishment. At the adjudication hearing, the defendant is entitled to offer appropriate evidence in mitigation of punishment if such evidence has not already been elicited during the proceeding. Duhart v. State,
I recognize the general rule that a sentence will not be disturbed on appeal if it is within the range provided by law, Jackson v. State,
3. Fairness of Sentencing Tribunal
This conclusion brings me to the constitutional question raised by appellant. In McClenan v. State,
This holding is in accordance with authorities holding that a fair trial by a fair tribunal is a basic requirement of due process. In re Murchison,
In a number of situations a judge’s announced prejudgment has been held to constitute bias depriving the party of due process. United States v. Brown,
I would hold that a procedure by which the judge announces in advance what punishment he will assess in the event of revocation of probation denies due process because the punishment is likely to be determined by that announcement rather than by the relevant evidence at the punishment hearing. I do not reach this conclusion on federal constitutional grounds because I consider that the same requirement of a fair tribunal is made by article I, section 19, of the Texas Constitution. See Mel-linger v. City of Houston,
4. Waiver
Finally, I cannot agree that appellant waived the improper and unconstitutional procedure by which his punishment was assessed. The majority opinion holds that such a waiver occurred because appellant should have called the judge’s attention to its error in precluding himself from considering all the evidence. Failure to object does waive rights unless the futility of an objection is apparent. Rovinsky v. McKaskle,
Here, since the court held a combined hearing and the evidence had already been introduced and heard by the judge, the defendant was not required to offer the same evidence again. At the same time that the judge pronounced sentence, the judge announced, in effect, that he had not considered the mitigation evidence. This announcement was tantamount to excluding the evidence from consideration on the punishment issue. It must have been clear to appellant’s counsel, as it is to me in rеading the record, that the ultimate decision had already been made and that no further request or objection would be entertained. Consequently, I would hold that no further objection or request was necessary to complain on appeal of this arbitrary and improper exclusion of evidence highly relevant to the issue of punishment.
The majority opinion also holds that appellant’s failure to file a recusal motion waived the error. This holding assumes that the judge’s remark at the original hearing threatening a sixty-year sentence was in itself ground for recusal. I conclude that notwithstanding this remark, the court’s prejudgment of the casе was not so evident at the beginning of the revocation-punishment hearing that a motion for recu-sal was then required. The court was still free to consider all relevant evidence and assess the punishment in the light of the evidence. Appellant might reasonably have supposed at the beginning of the second hearing that the judge’s previous remark was made in the context of the original hearing and, therefore, was intended as an indication of what he would probably do on the basis of the evidence previously heard. The judge’s remark might reasonably have been interpreted as an effort to impress appellant with the serious consequences of a possible violation of probation rather than a prejudgment of the punishment tо be assessed regardless of any further evidence, as the judge later showed it to be. Consequently, appellant could reasonably assume that the judge would perform his solemn duty to assess the punishment on consideration of any relevant evidence presented at a later hearing. At the close of the evidence, appellant’s counsel urged the court to consider the evidence of appellant’s rehabilitation. Not until the very end of the punishment hearing did the judged the punishment and had given no consideration whatsoever to this evidence. At that juncture the decision was made, and in my opinion no recusal motion was necessary.
In these circumstances, and in the absence of an intentional waiver such as that shown in Rogers, I would hold that appellant has not waived his basic constitutional right of assessment of punishment by a fair and unbiased tribunal. Although constitutional rights can be waived, such a waiver must be “an intentional relinquishment or abandonment of a known right or privilege.” Johnson v. Zerbst,
