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Palm v. State
656 S.W.2d 429
Tex. Crim. App.
1981
Check Treatment

*2 DAVIS, Before TOM G. McCORMICK TEAGUE, JJ. OPINION McCORMICK,Judge.

Appellant pled guilty County in Harris 14, 1979, charge aggrava- November to a robbery. appel- ted The trial court found lant and assessed years Department twelve in the Texas Corrections. September

The record reflects that on apparently pled guilty had 302,991to an aggravated in cause number bar- robbery charge to a gain years sentenced to ten been It was Department Texas of Corrections. that at the time of the later discovered plea there entry September charging no instrument had been valid indict- He had not been against appellant. indictment nor had an ed nor had waived 1,1979, information been filed. On October filed a motion for new trial which the trial court. granted by was thereafter indicted Oc- Appellant 16, 1979, aggravated robbery for the tober that had been the basis of the new indictment was cause This proceeding. 304,319. November number in court for trial back indictment, cause num- robbery aggravated appel- again offered ber The State Appellant ten-year plea, bargain. lant pled offer accept declined to made guilty before the court. State Introduced recommendation. evidence into evidence this trial was posses- appellant had a 1973 conviction sion marihuana. tion is without merit. apparently This was The record shows origi- not before the trial court initial that the re-offered at the He, nal not the bargain. asked proceedings September. The State State, 582 bargain. Lyles re-offered court to consider the evidence before it (Tex.Cr.App.1979). S.W.2d 138 had not previously considered. *3 trial court assessed twelve Finally, appellant complains that years’ confinement. pun impermissibly trial court increased the finding guilt of on No ishment after Appellant complains that initially 1979, 14, appel thereby violating vember 14, guilty plea proceeding on November process rights. lant’s due 1979, placed him in jeopardy. double jurisdiction of the trial had not been court argues that on 14 The State November 21, during pro invoked 1979 September had it the trial court before information If ceedings. jurisdiction of the trial 1979, 21, spe- on possess did not invoked, is never conviction that any conviction, 1973 marihuana cifically the may result is Plant void. American Food v. and, therefore, punishment. could increase State, 508 (Tex.Cr.App.1974). S.W.2d 598 Bowman, 677 In 523 parte Ex S.W.2d Jeopardy will attach if generally not this Court dealt with (Tex.Cr.App.1975), trial court never jurisdiction by the similar as now advanced argument State, (Tex. case. Ward v. 520 395 S.W.2d in that case it was held that State. Cr.App.1975). also, v. See Ball United permissibly punishment, order to increase States, 662,16 163 41 L.Ed. U.S. S.Ct. for the increase in the punish- reason (1896). Further, making 300 by motion oc- by ment set the trial court must have trial, new for precluded sen- original curred after the date of the raising See, his double jeopardy argument. Supreme United Court tence. The States (5th Spradley, Martin v. 341 89 Cir. F.2d Pearce, 395 North Carolina U.S. 1965); State, (Tex. Jones v. 768 465 S.W.2d said: (1969), 89 23 L.Ed.2d 656 Cr.App.1971). law, then, that process requires “Due Next, appellant complains that the trial against a vindictiveness defendant court lacked authority grant new trial con- successfully attacked his first having its own on motion and cites cases of play part viction must the sentence State, (Tex.Cr. Ramirez v. 587 144 S.W.2d since after a new trial. And received State, App.1979), and Zaragosa v. 588 un- may the fear such vindictiveness 322 (Tex.Cr.App.1979). S.W.2d exer- constitutionally deter a defendant’s collaterally appeal cise of the record, however, a motion reflects conviction, first attack his due for new trial was filed by that also a defendant be freed requires 1,1979, granted October and that it moti- of such a apprehension retaliatory Therefore, that date. case neither cited part sentencing vation on relevant. judge. Appellant next complains aggra- that the such to assure the “In order absence robbery allege vated indictment failed to motivation, we have concluded offense because it list specifically failed to judge imposes whenever more severe type of taken. The property what had been upon a sentence defendant after a indictment, pertinent read: part, reasons must doing for his * * * while in “Charles Alvin Palm affirmatively appear. Those reasons course of committing proper- theft upon objective must be based information ” ty owned ..:. identifiable conduct on concerning in Hill This same contention was occurring part of the State, (Tex.Cr.App.1978). S.W.2d original sentencing proceed- time of Appellant next accuses the ing. And the factual data be prosecutorial This conten- sentence is based must vindictiveness. increased record, so made the con- In a rehearing, stout motion for the State legitimacy stitutional increased Prosecuting application our Attorney urges fully Estelle, reviewed on ap- (CA5 1981)1 of Ehl v. 656 F.2d peal.” added). case; (Emphasis facts of motion has 726, 89 S.Ct. at occasioned our careful review reconsid- eration the facts reflected record If the marihuana conviction had occurred before us. after September the increase in the sentence would have been permissible. We first that the essence of Ehl observe conviction, Since it was a 1973 the trial already. in Texas law embodied See court could not use that as a basis State, Bouie v. (Tex.Cr.App. 565 S.W.2d543 increasing punishment. Nothing rec- 1978); Alvarez v. S.W.2d357 appears ord orig- to have occurred after the logic Indeed (Tex.Cr.App.1976). *4 inal sentence that would justify an in- exegesis hardly Ehl’s can be assailed with punishment. creased viz: North feeling, the rationale of Carolina Pearce, and supra,2 progeny

The is remanded for the its does not cause trial court apply defendant —aware of the where the punishment assess accordance with price of Pearce, rejecting plea a offer—nevertheless supra. See, North Carolina v. Ex parte his entered Bowman, subsequently withdraws supra. or

plea otherwise attacks sentence after TEAGUE, J., conviction; not participating. restated, repudiation belated a of a bargain places a defendant in Before the court en banc. who refuses to posture carry as one part bargain pretrial out his OPINION ON STATE’S MOTION prosecutor serves release the from the FOR REHEARING well. obligation carry part out CLINTON, Judge. But record in the instant case does submission, a original panel appellant repudiated not establish Court remanded this cause to the trial court bargain; contrary affirmatively for a reassessment of in accord- in all respects indicates did Pearce, ance with North Carolina carry bargain, out his but part 2072, 23 L.Ed.2d in a whirlwind of the swept up thereafter (1969). indicated that panel machinations, oversight, prosecutor’s attacking for new trial filed motion conditions, amendment and ultimate sentence, his ten assessed year sum, anger. erupted frustration into plea bargain, then later declined why there Ehl does not are several reasons ten again year State’s offer to recommend a before us. apply the case punishment. panel granted appellant relief year from a twelve sentence assessed His Conviction Appellant Not Attack Did by the trial court without recommenda- day Appellant tion from the because the increased was arrested robbery, committed and he clearly aggravated due to a misde- next to the crime. The readily meanor extant at time of the confessed bearing issued original day, complaint sentencing. charging conviction, cessfully reasons cited as Ehl. attacked Hereinafter upon retrial be Odom, a more sentence must severe Presiding Judge Judge re- Onion upon objective dissenting opinion. information about identi- spectively, based Since have a latter, overlaps we men- former fiable occurring conduct “dissenting original sentencing, tion “dissent” hereinafter the after the opinion” dissenting opin- affirmatively upon to the the reference is spread record must be Judge. Presiding ion of our legitimacy of in- so that the constitutional fully reviewed creased prohibits of law vin- That since due higher court. against suc- a defendant who has dictiveness * * * Cause No. The following day, Palm, THE COURT: Mr. you don’t your days? counsel was want ten appointed and the parties ap- peared for trial.3 There is no MR. PALM: No.” indication from the record that appellant to, or The court the sen- thereupon pronounced was asked to waive indictment. The tran- tence than at not less than five nor more scription the hearing reflects confinement, years ten with sentence was admonished as to range punish- begin September the date of the ment, though he was not offense. advised that the

court was not bound to prosecu- follow the days plea, Three after the the district tor’s recommendation. In discussing the County clerk issued an order to the Harris plea bargaining agreement appellant, Depart- Sheriff to deliver the court inquired, (10th) ment of Corrections “after the tenth day following sentencing.”6 the date of you personally

“Do agree to that bargaining when, agreement aware The record does not reflect but being clearly it was sometime between the date of you have no appeal if I follow 24), the district clerk’s order (September agreement?”4 that... and October deputy district clerk Appellant agree. assigned to the convicting court “discover- He then entered of guilty, and ed,” judicial offered his confes- complete “I could not work7 my paper *5 sion, agreement to stipulate and waiver of because I could not find a waiver of in- rights.5 constitutional This document dictment executed in the I Court trial. part: states in “I intend to enter asked for the defendant reappear guilty and the will recommend Court possibly retaking and the plea or * * * that my should be set at ten something of that nature. I issued (10) years [confinement], agree and I a bench warrant.” that recommendation.” The court assessed The record next a truly reflects inscruta- the punishment at ten years. The trial preprinted ble form “Motionfor New Trial” court said, then ostensibly filed on behalf of appellant ground

“You October 1979.8 The alleged have ten days which to file a a new trial justify judg- is that “the Motion for New Trial or a motion in ment ... contrary is to the law and evi- Arrest of Judgment, or you may waive dence in said cause.” There is no indication that time and be sentenced now. What is from either the instruments contained in your desire in that matter? or the testimony, appellant He wishes to [DEFENSE COUNSEL]: present any hearing was on this motion be today. sentenced trial, or, matter, for new for that that ap-

pellant even was aware of its existence. Prosecuting Attorney 3. The State Department is incorrect in and SENTENCED to the Texas asserting the record does not contain the tran- Corrections...” scription plea hearing of this appellant’s plea guilty. Thus, contrary to his work,” by Apparently, “paper deputy position, any pre- this Court need not resort to sentence; judgment clerk and meant we sumption regularity regarding pro- those say this because neither is contained in the ceedings. record; the clerk’s “entire file” is certified as being before us. emphasis supplied throughout by 4. All is opinion writer of this unless otherwise indi- signed impossible It who this discern cated. document, thus, clear than intimated less by panel “appellant filed a motion for 1.15, 5. See Article V.A.C.C.P. case, trial....,” average in the and while assume, it is a material would be safe to 302,911 Ehl, 6. The pronouncements order recites that in No. Cause issue on which under appellant TRIED, CONVICTED, proof. been “[has] State has the burden of Another form document dated the his offer on 16: tor withdraw October clerk, deputy day executed district appoint- the record contains an instrument recites: “By Order the Court on the date; new counsel on that at the bot- ing October, day following A.D. 1979 the appears of this a handwrit- tom instrument action is in the styled directed above ten notation: cause:;” numbered an “X” in a appears are “All recommendations the State square by for printed which it is “Motion off.”11 granted.” new trial day, appellant the same indicted So, document, this latter which we liber- 304,316, No. conduct Cause identical ally construe to be an order of the trial against previ- in the alleged complaint him court, day indicates that on the same filed No. ously Cause someone, late motion9 filed the trial granted it.10 Strangely enough, on the next Octo- day, Insist Trial Appellant Did Not on a County ber the Sheriff of Harris deliv- on the Merits Department ered of Cor- later, one month on No- Approximately rections. 304,319 vember Cause No. was called days Nine after he arrived at Appointed trial. counsel that a insisted (October 10), a Department of Corrections jeopardy of former be be- considered bench warrant issued for apparent- else, anything upon arraignment, fore unwitting ly appellant, stating that Cause coun- replied, guilty,” “not 302,911 was “set on docket for the entered;” plea’ sel asked that ‘special “a October, 1979.” day 16th On October the court’s docket sheet reflects again present in Harris Coun- “a entered of not due to double ty-

jeopardy.” Sign Appellant’s Uncounseled Refusal *6 testimony Counsel adduced deputy of the of Waiver Indictment Did Not Consti- district clerk his of regarding “discovery” the Bar- Repudiation Original tute of prior the proceeding. defective On crossex- gain amination, the the fol- prosecutor elicited the does reflect the Though record lowing: appellant actually date back in Har- arrived “Q: It is the your that understanding County, ris inference the record only the brought defendant was back from is his supports that it was refusal —without of sign penitentiary possi- a waiver indictment and with a counsel —to confronted district prosecu- bility doing plea clerk which caused the since again over days late; appellant; the tran- he did not “attack his conviction” 9. This motion was ten demonstrates, hearing ap- successfully scription plea of the or otherwise. right pellant had his to file such waived pro- already con- been notation like another document motion and sentence had 11.This “signed” by prosecu- nounced. in the is tained record Appar- tepee. depiction tor with a of an Indian that the trial court 10. The dissent observes initials, ently cryptogram for Ted Poe’s clever did,” have, ap- “apparently set could ... sup- “tepee” the instruction found under motion; pellant’s aside on own its ap- sought ports the that the State conclusion proceeds apply inexplicably, then to the dissent way pellant’s cooperation in some to obviate legal relief to this case a rationale which denies perforce, ap- proceeding (and trial “successfully attacked to one because he has counsel). refus- pointment When his conviction.” starting cooperate, over so ed to Contrary suggestion we that the dissents’ ap- imminent, simultaneous with “give no to the fact that the court consideration counsel, pointment of “all recommendations jurisdiction original proceed- had no over the post See at 435 off.” [were] ings,” heavily: neces- we this fact consider n. any sity relitigating the cause was not due this effort on failure or affirmative that, jurisdiction agreed waiver.” He also in the words absolutely had Court he had to “re- prosecutor, refused the plea guilty?12 to take ease plead having juris- with this Court Yes, A: sir. years....”13 He diction for Q: And that he to waive indict- refused been for the acknowledged he had indicted ment in that case. same conduct under a new cause number. Yes, A: sir he did. The prosecutor inquired: Q: why And that is we are today, here is “Q: that your position you And that correct? trial in No. go want Cause Yes, A: sir. 304,319 want to you and that do not Q: you person- Have ever [district clerk] plead guilty, right? asked him ally regarding waiver jeopardy.” A: A of double of indictment or not? Yes, sir, A: I on have numerous occa- if he prosecutor finally asked sions. 302,991 were No. was no aware that Cause Q: you And he has made it clear to him, that it had longer pending against he does not want to waive indictment been was not Appellant dismissed. said he Cause No. aware of such action. Yes, A: sir.” report- Finally, transcription placed Defense counsel also er’s *7 of Judge the in September....”14 standing that he was from the In con- returned prosecutor clusion argued, the penitentiary sign to Harris “to a County plea proceeding “possibility” doing something no new necessary. 12. The other would be of 16, post. “doing plea again” pops up See also n. than the over re- throughout record; peatedly [see, e.g., this tes- dissent, however, apparently The reads the timony deputy clerk, 433]; of district ante at prosecutor’s question appellant’s last af- yet notably vague is the alter- the record about reply firmative out of context to that “show[ ] native course the State had in mind to correct again after indictment the State offered the proceeding the in—if defect not the itself—the appellant year plea bargain the same ten if he 13, post. records of the But see n. cause. guilty plea, entered a and that this was by appellant.” the But there is no evidence in 13. The from the testimo- clear inference above support reading; the record entire to such a ny deputy appellant indeed, clerk evidence, district if the record contained such when viewed as is “alterna- sharply a whole that the the Court would not be so this case. divided in by “doing plea tive” to the over” envisioned the merely appellant to have execute a was prosecutor negotiated original request 14.This the waiver of trict at the of the dis- indictment plea clerk, appellant with September his taken on and back date it to counsel September original 21. Under the record before us is a date was entered. prerelease plan, appellant report September interview this not need counsel and dated would Blackburn, Frank v. just Quoting 646 F.2d 873 “I ask the Court consider would (CA5 1980), Prosecuting Attorney previ- the Court did not evidence that plea bargain: of a observes constituents September. to in have access ously negotia- Thank is you.” bargaining “Plea judge prosecutor, trial tion in did, trial court And consider it the —im- jus- or in the criminal some other official mediately assessing appellant’s punishment certain offers system tice years. at twelve AN FOR IN EXCHANGE concessions appel- Even if the record demonstrated OF GUILT. -The conces- ADMISSION his convic- plea, lant withdrew his attacked the offense may relate to sions offered tion, repu- a trial or otherwise insisted or imposed, to be charged, original bargain, diated there of other circumstances. ben- variety responsive evidence whatever “cru- defendant, however, is by the efit offered Ehl as the “key cial inquiry” cited A PLEA the same: ENTRY OF always vindictiveness,” disarming allegation OF GUILTY.” deleted] [Footnotes was aware of and “whether accused shows, appellant this record As far as rejecting bargain,”15 knew price and did enter guilt his in open admit Hayes, Bordenkircher quoting 21, and both September 54 L.Ed.2d 604 98 S.Ct. He com- furthermore November (1968). original plied term of the every either bargaining agreement reflected In Conclusion made filed or in oral recitations papers we are bewildered Faced with this hearing Cause during Prosecuting appel- assertion of the State is devoid of evidence record new trial was occasioned or as- Attorney that “the lant to waive indictment negotiat- in that cause. And withdrawal from sistance of counsel appellant’s surprising new trial was ed Yet not a late motion for guilty plea.” though was made with filed, conduct there is no evidence it points specific he nowhere knowledge; indeed which consti- consent appellant’s of this appellant’s from nego- gleaned “withdrawal intent alleged tutes the reme- post waiver of all personal plea.”16 tiated guilty implicit “prior that the State Prose- convictions” that 16. It seems which reflects under charged Attorney cuting concedes that with two counts County solely pur- obviously, possession marihuana. for the to Harris returned “P/M” — pro pose executing “nunc waiver of tunc” presume that the therefore We might prior clerk indictment district misde- about and evaluated knew thereby paper “complete work” and “cov- coming [his] terms of his meanor conviction this, oversight. attempt prosecutor’s plea appellant A blank waiver fault er” the In view of offer. form, up September 21 speaking this matter about dated indictment hearing particularly (which, original papers in the file of in he unlike all other —and 302,911, highest us as the file not asked—strikes bears no Cause No. hindsight clerk) supports not vindictiveness. form of this conclusion. mark —if certainly State’s assert- manifest that the It is only during open ed offer previously, appellant noted commit- As was *8 represent appointed ted, for, to counsel was pleaded time before him, was arrested confessed and to, the State guilty robbery, “all aggravated since recommendations an all in the appoint- eagerness days. with of three No doubt his off” simultaneous course [were] ante, accompanying and text. to “make a deal” did not occasion a n. discussion ment. See “price regarding rejecting bargain.” Further, the of the indictment it new is clear plea bargaining could extant on which assign significance was dissent to The seems appellant in arrived back original plea begin the bargain “that at time of anew when fact the the ap- sought County; appellant until and his were that was not counsel aware Harris possession pellant in of [the the 1973 conviction for of to waive indictment mari- “refused huana;” appellant See original] occasions].” while we have no doubt was cause numerous [on prior ante, testimony deputy aware of his own the relevance of we do not see clerk of district inquiry. fact to the our 434^35. dies, including appeal.17 Stranger clarity still is so as to demonstrate its detail with the appellant fact transferred to correct conclusion: the rec- eminently Since day (1) the of one af- Department Corrections not establish that appellant: ord does conviction; ter the motion for trial was and (2) filed his successfully attacked re- granted18 judgment sen- what the the same jected an offer State for —under tence one extant wonders. original and conditions as the bar- terms gain; (3) price or was aware of the of origi- There is no evidence that appellant offer, have no rejecting original the we indictment, nally either to waive but to remand the cause for reassess- choice of any counsel or claim double jeopardy of in accord North ment with might arise as result of the State’s Pearce, supra. Carolina negligence19 —yet day, clear things, refusal to do one or of all these rehearing motion for is over- State’s cooperate in getting the State’s house in ruled. order, in which resulted the trial court’s years assessment twelve in Cause ONION, Presiding Judge, dissenting. 304,319, at urging prosecutor. to file a granted We the motion for leave least, At very duty it is a of the prose- rehearing to motion for consider the State’s cutor to insure the dis- jurisdiction opin- vigorously urged panel contention imple- trict court somehow invoked remanding in cause to ion was error in menting so as to re- bargain avoid the trial court to re-assess in peated that, proceedings. failing But opinion accordance with said and North steps insistence that take Pearce, Carolina correct his error constitutes an amendment (1969), progeny. 23 L.Ed.2d 656 and its original terms the bargain. appears felony complaint charg- It that a holdWe has failed to es ing aggravated robbery with tablish appellant rejected original plea in originally filed the district court offer, pros because record indicates the invoking judge’s authority the trial as a ecutor amended the con terms thereof and 2.09, Article magistrate. See V.A.C.C.P. did not sequently, offer the same Clear, parte also Ex See S.W.2d deal. (Tex.Cr.App.1978). The trial court cause slightly This case does not even resemble number was Ehl.20 only It seems the omission entered a panel original waiving said charge, submission was a failure before the court to sequence bargain develop jury factual in sufficient to a Surely appeal position squared personal if 17. the decision to with North such cannot Pearce, convict, supra. too is the criminal decision Carolina v. move for a new trial. “overly charges that ob- dissent we are 20.The examples inept- pointing record all but the obvious: The out all shouts sessed ness, imagined, occurring motion for new trial was filed at the instance of in the both real and problems the pletion com- our effort determine because of with court below.” But work,” “paper clearly happened to a due in this case from a less than what poignant by scrutinizing failure of the State. It is that —unlike been made model record has Attorney Prosecuting document, every entry, Harris the State notation and each —the County gued Attorney’s us; ar- page District Office has never entire record before contained filing together, integrated of this motion for new trial putting piece each reflected, appel- any clarity. event constituted emerged other If we are to whole has bargain. repudiation of drawing lant's our from all conclusions be faulted the facts and it. But even the shown, then so be circumstances clear, highest degree Though selective far from one thrust dissenting opinion facts out context to be that after consideration of isolated seems support void, appel- will not to be contained result ney this record discovered *9 Prosecuting urged by claim the State Attor- lant’s Amendment assertion a Fifth dissenting opinion justified Obviously, illustrates. well punishment. an increased —as State, his was assessed in accordance punishment with the re-assess (10) Pearce, the court at ten confinement v. years’ supra, since the North Carolina Corrections. Department conviction was not 1973 marihuana shown part on the to “identifiable conduct be thereafter, it discovered that Shortly occurring after the time of the defendant had never been indicted for original sentencing proceeding.” offense, present said had not waived 725, 726, 89 S.Ct. indictment, infor felony ment of an and no 1.141, mation had been filed. Article See held in Supreme The United States Court appellant’s plea At the time V.A.C.C.P. Pearce, that supra, North Carolina 302,991, No. no guilty in Cause there was the Fourteenth Due Process Clause pleadings the district invoking valid State’s requires Amendment vindictiveness were jurisdiction. proceedings court’s The having successfully a defendant against for a war nullity. The was bench play first must no attacked Department ranted from the of Corrections a in the sentence he receives after new part As County. original panel Harris applied principle trial. The same was later opinion indicated, the motion for appellant’s a a prohibit reindicting a court granted. new trial The trial felony charge misdemeanant on a convicted jurisdiction had no at the time of the first after the defendant had invoked appel- “conviction” offense involved. remedy, since in situation there late (Tex.Cr.App. Ward v. S.W.2d 395 a realistic of vindictive- was also likelihood 1975). nullity and proceedings The were a Blackledge Perry, 417 U.S. ness. could have set the conviction court aside (1974). L.Ed.2d 628 motion, apparently on its own which is Pearce the court wrote: question There is what it did. no need new of the a validity granting order law, then, process requires “Due trial. a defendant against vindictiveness his first attacked con- having successfully On October must in the sentence play part viction 304,319 for the same indicted Cause after new trial. And since he receives Novem- aggravated robbery. offense of On of such un- the fear vindictiveness ber the court heard evidence constitutionally deter a defendant’s exer- overruled motion to dismiss appellant’s appeal collaterally cise of jeopardy. on the basis indictment of double conviction, his first due attack hearing and testified at such requires that a defendant be freed of also that he offered acknowledged had been retaliatory of such a moti- apprehension ten-year bargain sentencing the part vation on of the before, that he had the same. but judge. jeopardy motion was overruled. The double entered before guilty plea then Appellant the absence such “In order assure trial Introduced waiving by jury. the court motivation, concluded that we have convic- appellant’s into evidence judge a more severe imposes whenever ap- This marihuana. possession tion for after upon defendant the court at was not before parently doing so must reasons for his proceedings September. initial Those reasons affirmatively appear. pun- no recommendation as State made upon objective based information must be ishment, did ask court to consider but concerning identifiable conduct been

the evidence before occurring part of assessed The court previously considered. original sentencing proceed- time imprison- (12) at twelve years’ And the data ing. factual ment. must the increased sentence based the con- so that made panel, original submission increased legitimacy stitutional trial cause was remanded to the

439 on fully ap- reviewed and that he ishment had peal.” charge. to the escape defense After an evidentiary hearing, the court allowed Ehl clear, however, Pearce made absent his on the guilty plea escape withdraw vindictiveness or vindic- possibility of appeal “passing” and to his convic charge tiveness more severe sentences fol- imposed tion, later affirmed this court. lowing are constitutionally reconviction val- 123 (Tex.Cr.App. Ehl v. 557 S.W.2d id. See also Chaffin v. Stynchcombe, 1977) (Table) (unpublished opinion). 17, 29, 36 L.Ed.2d (1973); 47, v. Michigan Payne, 412 U.S. being permitted After withdraw his 93 S.Ct. 36 L.Ed.2d 736 (1973); charge, Colten to the guilty plea escape Ehl was Kentucky, v. 407 U.S. 92 S.Ct. for the offense escape pri- indicted as the 1953, 1960, 32 L.Ed.2d 584 (1972); mary prior felony United offense with two convic- (5th v. Floyd, alleged States 519 F.2d punish- tions for enhancement of Cir.1975). ment. urges State that Pearce and Black- At the bifurcated trial while the jury

ledge are not applicable deliberating to the of this guilt facts on issue of of the escape Estelle, case and cite Ehl v. charge, plea agreement 656 F.2d second (5th Cir.1981), support thereof. If the Ehl jury guilty reached. found escape paragraphs enhancement Estelle, In Ehl v. supra, the held court indictment would have been abandoned and judicial there was no or prosecutorial years’ would recommend ten im- although punish- vindictiveness where prisonment to complet- commence Ehl imposed ment following dis- ed time on “passing” his conviction. cretionary withdrawal of guilty plea jury found Ehl escape and the than greater imposed plea bargain as to was carried guilty plea defendant was aware price out. rejecting the bargain in that of a possibility greater punishment due to likely outcome, enhanced Displeased Ehl ex- charges, which remedies, were withdrawn as corpus hausted state habeas plea agreement, was proceeded to the to federal communicated district where he defendant and attorney in the initial relief obtained with the court relying upon bargaining stages. Pearce, supra, North v. Carolina and Black- ledge Perry, supra. v.

Ehl was indicted for passing forged instrument. While awaiting trial the Fifth Court of appeal Ap- Circuit charge, Ehl was charged felony with the peals reversing court wrote:1 district offense jail. escape As a result of reliance on and Blackledge “Ehl’s Pearce convictions, prior felony possi- Ehl faced the misplaced. their progeny Those bility of enhanced as a habitual cases involved a situation where there had offender. In exchange for the prosecutor’s appeal been an of a unlike contested agreement not to seek the habitual offender present situation in which Ehl has not status, Ehl agreed plead both guilty to any error the trial court in the claimed the “passing” escape Pursu- charges. Furthermore, original guilty plea hearing. plea bargain, ant two Ehl received Court, sitting en banc Frank five-year concurrent sentences. Blackburn, (5th Cir.1980) 646 F.2d 873 has

While awaiting transfer to the Texas De- cast applicability doubt Pearce Corrections, partment of plea bargaining Ehl wrote the trial situations. ‘We find the judge that he had been pun- offered lesser rule of North Carolina v. Pearce to be com- ishment on the “passing” charge pletely inapplicable post-plea bargaining before occurred, Accord, escape been guilty pleas sentencing proceedings. Martin pun- Blackburn, (5th Cir.1979), coerced because of threat of enhanced 606 F.2d opinion 1. The footnotes of omitted. are Ehl

440 911,100 denied, 1841,

cert. 446 free accept reject U.S. 64 cused is to or prose- S.Ct. the (1980) 265 cution’s (“it questiona L.Ed.2d is offer. highly ble whether Pearce applies plea bargain to Bordenkircher, 363, 434 at U.S. 98 S.Ct. at ing situations”)’, Frank, 646 F.2d at 668, 54 L.Ed.2d at 610-11. The En Banc Court ‘a reasoned that if “A that we inquiry glean crucial successfully defendant can the demand Bordenkircher, therefore, whether the ac- is exchange in for a leniency guilty plea, price knew cused was aware the all to disap the incentives plea bargaining rejecting bargain. the We find the record pear; the defendant has to nothing lose point. before us clear on this As reflected going to trial.’ Id. evidentiary hearing possibility at the enhanced lengthier likely sentence due to in light pronouncement “In of this Frank charges was communicated to Ehl and case, present the facts of the we find plea bargaining in the initial attorney 357, Bordenkircher v. 434 98 Hayes, stages. 663, (1978) S.Ct. 54 L.Ed.2d 604 more analo “Further, stresses, a as Bordenkircher gous In Blackledge. than either Pearce leeway has to prosecutor good deal prosecutor Bordenkircher offered to forego rights to to induce defendants their if prison recommend a five sentence year in guilty. The interest plead not State’s plead defendant would to a for guilty, subsequent Ehl to to inducing plead gery prosecutor indictment. The further after allowing him to stand trial Court’s made it that he clear would reindict effectively guilty plea, he withdrew his accused under State’s habitual offender to its interest to his aborted prior identical act plead if he not guilty. chose Borden guilty pleas. stage process, At kircher, 665, 358, 98 at 54 434 U.S. had, effect, rejected in the bar- since Ehl case L.Ed. at 607. defendant no gain, why there was reason prosecution chose to stand trial and the be able to indict Ehl all should not expressed purpose. carried out its The Su cause even charges supported probable preme no Court concluded that there was induce him not to enter though might prosecutor due violation when the of not plea guilty. carried with terms which through promised fact, pre- has recognized “In this Court during plea nego accused was aware of Foti, process in Moore v. 546 F.2d cisely this tiations, ultimately but which he chose (5th Cir.1977). appellant’s We stated ‘an 67 reject. In its explaining the rationale for bargaining challenge successful holding, distinguished Pearce and Court repudiation the bar- is tacit Blackledge, stating: gain, allowing prosecute the Government to dealing In those cases Court was Moore, greater charges.’ 546 him on the imposition pen- unilateral of a State’s Estelle, v. citing Martinez F.2d at upon a defendant who had chosen alty (5th Cir.1976); Arechiga 1331-32 F.2d origi- legal right exercise a attack his Texas, (5th Cir.1972); v. 469 F.2d “very differ- nal conviction —a situation U.S., 1190,1194 (5th F.2d Harrington negotiation give-and-take from the ent Cir.1971). between the plea bargaining common in “It clear under Bordenkircher equally is defense, prosecution arguably Court’s find- —contrary District relatively equal bargaining pow- possess chronology events ings Carolina, 397 U.S. er.” Parker North —that enhanced Ehl’s indict- prosecutor which the [1479-80], 90 S.Ct. Bordenkircher, In not ments is decisive. Brennan, J.). (opinion of L.Ed.2d 785 actually not obtain prosecutor ****** indictment until recidivist However, his in- bar- “give-and-take” negotiations But in the had ended. clearly expressed pun- is tentions to do so gaining, there no such element of outset, in that case long ac- and the accused ishment or retaliation fully short, aware of the terms of the in any offer event. if the excessive made his decision plead refuses to carry out his The Court thus guilty. reached conclu- no under obli- bargain, matter, sion practical short, ‘[a]s gation part. there carry out his And this case would be no the grand different if prosecutorial no vindictive- appearance jury Hayes had indicted as a [defendant] and, addition, necessity for the ness— prosecutor *12 prosecu- recidivist from the outset and the any explanation offer tor drop charge part had offered to the is the actions—where fixed of Bordenkircher, the bargain.’ promised to seek punishment he U.S. at at 54 L.Ed.2d the event throughout plea negotiations in again, Once the key disarming an that the defendant insisted on his allegation of the vindictiveness is knowl- plead guilty guilt. not and contest edge and awareness the accused of the terms the plea bargain price and the “III.

rejecting bargain with a not guilty. allegations ‘judicial of his support “In vindictiveness’, again Ehl looks persuasive

“Also this holding is Court’s in case, Chapman Estelle, (5th requires: Pearce which F.2d 687 Cir. 1979), where we stated that in those cases imposes Whenever a a Judge more severe rejections involved belated a upon sentence a defendant after a new bargain, the prosecution’s in securing action trial, doing the reasons for his so must resentencing on a more charge serious does affirmatively appear. Those reasons not appear even ‘minimally vindictive.’ objective based information upon must be Chapman, 593 at 690 n. 5. this And concerning identifiable conduct accused, so especially where as in the after part occurring case, present presents little for re- reason proceed- the original sentencing time of

jecting plea bargain or a motion for ing. upon And factual data other general trial than dissatisfaction the increased sentence is must be based Id.; with the sentence. see supra. note the con- made “We have not found a from any case legitimacy stitutional the increased jurisdiction that holds that a defendant can fully approved be on ap- sentence accept plea bargain, take his part back peal. the bargain, insist a trial mer- Pearce, 395 U.S. S.Ct. at its, and yet prosecutor, bind the and thus again, following L.Ed.2d at 670. Once in Court, original promised recom- pronouncement in Court’s recent of punishment prosecu- mendation after the Frank, reject we of Pearce applicability tor bargain. has lost all benefits of the To present, plea bargaining when a situation is permit this situation would undercut to Frank for instruction. look instead purpose bargain- entire and aim of the plea attempts “Ehl us that Frank convince Rather, ing process. two results should distinguished can be because the trial court First, flow from the rejection. accused’s only in one Frank sentenced the accused the prosecutor authority under the of Bor- disrupted plea bargain time—after a rather be Chapman denkircher and should able to Frank, the Judge than a new trial. In through carry any expressed promises twenty year return made if the accused of not persists offer, plea. for a Frank guilty Second, guilty. should not guilty stood was found and received a be required prof- under the Constitution to Frank, year at 875. thirty-three sentence. deal, fer again identical it would since ease, two five- Judge imposed defendant, Ehl’s again rejected by who not year guilty terms only plead now concurrent wishes to pleas, dropping contest and a charge, additionally appeal but believes a waiver of charges. Subsequently, that the earlier negotiated punishment was enhancement sought granted Ehl and was a withdrawal Clearly the facts the instant case are case, of his the effect of guilty plea. This had not on all fours with Ehl’s but the repudiating plea agreement and the ne- Fifth opinion persuasive. Ap- Circuit’s cessity of his trial on the standing pellant plea bargain enhanced with the entered indictment. ten (10) years’ State for a imprisonment pleaded guilty before the argues “Ehl that the creating factors imposed, court. agreed penalty ‘reasonable likelihood of vindictiveness’ juris- but it was soon discovered Court’s following Pearce —the increased sentence diction had never been invoked aby proper present case, new trial —are in Ehl’s but felony State’s an indictment or pleading, lacking in Frank. Ehl submits differ- information. and, ence is consequently, fundamental controlling. Pearce should be disagree. presented, We After an indictment had been appellant sought on the basis quash *13 “Both Frank and Ehl ultimately rejected hearing ap- of double At the jeopardy. the plea bargains and chose to contest their motion, at the pellant’s it was shown that guilt by standing they trial. The fact that plea bargain appellant time of the original opted rights to exercise their constitutional were and his counsel aware of stages legal process different of the does of marihuana. At possession judicial not determine the ultimate issue it hearing, was also shown that after is, vindictiveness. critical factor rath- again indictment the offered the State er, presence or plea negotia- absence of year plea bargain ten if tions. Frank makes it clear that there once this guilty plea, he entered and that bargain it be reduced —whether rejected by the After the double appellant. sentence, charges, recommended or some overruled, motion was jeopardy appel- other it is ‘the rejected, concession—and plea enter guilty lant did before court. complain defendant cannot denial produced evidence to support The State offer constitutes a punish- plea such as well as evidence of the 1973 or is of judicial ment evidence vindictive- conviction. The made no marihuana To is to accept argument ness. such punish- to the court as to recommendation ignore completely underlying philoso- ment. The court then assessed appellant’s phy purposes bargaining (12) imprison- punishment years’ twelve Frank, system.’ F.2d at 883. ment. present can- judge “The trial in the case were Blackledge In Pearce and there con- not vindictively be held to have acted pleas guilty tested of not followed trials imposing on Ehl a sentence expressly from which obtain- by convictions him and the etc., and there- by way appeal, ed relief he uncoerced unqualified, exercised was as- more severe after a not right to stand trial and at time trial. sessed the second whether he would would not know bargain followed there was a Here found guilty. plea. Although appears ap- aby guilty addition, had the bene- judge “In the trial a motion for new filed pellant fit the trial hearing testimony, a nullity whole were because proceedings sen- prior of Ehl’s and the aware jurisdiction. the court had no prescribed than that greater tence returned, Wainwright, 608 When an indictment Blackmon v. statute. bargain, but (5th Cir.1979). Finally, since the the same State offered F.2d appellant, who rejected by judicial are this was allegations of vindictiveness the asser- nevertheless entered a great dependent upon extent no rec- making indictment with the State which prosecutorial tion vindictiveness Although punishment. claim also ommendation as to we wanting, have found introduced, I do prior conviction was (Footnotes omitted.) fails.” not conclude that Pearce and Blackledge teaching This is based on the of Borden control under the circumstances of Hayes, the case. kircher v. 98 S.Ct. [434 (1978)].” 54 L.Ed.2d 604 I would grant State’s motion for rehearing, the order testified that he Appellant personally withdraw for reassess- re- so, ment jected Having and affirm the done judg- plea bargain. ment. he should to complain not be allowed about the consequences.

The majority give seems to no considera- tion to the fact court juris- that the had no DAVIS, J., joins opinion. W.C. diction over the initial proceedings. It seems overly pointing obsessed out all

examples ineptness, both real and imag-

ined, occurring in below. Fur-

ther, it infers that the State withdrew all

recommendations because the re-

fused to act counsel. without infer- Such

ence is based on the drawing of an Indian tepee on several portions record Ray parte Billy Ex MARTIN. majority indicates to the the crypto- gram for the prosecutor’s initials. The ma-

jority then assumes that because a tepee is Appeals Texas, Court of Criminal *14 found on the order appointing counsel for En Banc. is compelled conclusion bargain Nov. was withdrawn because the exercised counsel. So Rehearing Sept. Denied much for the trip Disneyland. I dissent for the reasons stated. DAVIS, JJ.,

TOM G. DAVIS and W.C.

join this dissent.

ODOM, Judge, dissenting. State, Alvarez S.W.2d

(Tex.Cr.App.1976) the Court held: perceive

“We why no reason an accused

who changes his guilty to not

guilty on retrial should be able at

same time to hold pun- the State to the

ishment sought or secured at the first

trial.”

Although did not change here

plea to guilty, reject he did on retrial plea bargain of first trial. The

same principle as that announced in Alvarez apply,

would stated in Bouie 546 (Tex.Cr.App. S.W.2d

1978):

“If a defendant withdraws on retrial bargain

from a at the first obtained

an increased would be a le-

gitimate response State to the agreement.

defendant’s of that rejection notes events November Appellant having stand. testified to the trial reflects conducted through September hear- been 304,319: in Cause en- merits No. ing, and to having everything done he had guilty. tered a do bargaining under the plea agreement, waiving days ten including sentencing waiving appeal. No Showing Appellant Understood He also testified he days had served nine the Consequences the Department of Corrections A very routine hearing is reflected— cross, ten year prose- sentence. at least until the prosecutor requested per- cutor elicited appellant’s agreement question mission to appellant. prosecu- judicially aggravated confessed to the tor’s focus was aggravated facts robbery and that confes- offense, prior and a misdemeanor sion true. Appellant agreed with the possession marihuana, conviction for prosecutor that he had never waived indict- which the prosecutor ment, repeatedly emphasized 302,- nor been indicted Cause appellant had “never Appellant stated it was under- mentioned... front

Case Details

Case Name: Palm v. State
Court Name: Court of Criminal Appeals of Texas
Date Published: Oct 7, 1981
Citation: 656 S.W.2d 429
Docket Number: 67133
Court Abbreviation: Tex. Crim. App.
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