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Ex parte Lemke13 S.W.3d 791March 8, 2000 Nos. 73,594-73,602 IN THE COURT OF CRIMINAL APPEALS OF TEXAS NOS. 73,594 - 73,602 EX PARTE JOHN LEMKE, Applicant ON APPLICATION FOR A WRIT OF HABEAS CORPUS FROM JACKSON COUNTY Meyers, J., delivered the opinion of the Court, joined by Mansfield, Price, Holland, Womack, Johnson and Keasler, J.J.. Keller, J., concurs in Part I and otherwise joins the opinion. McCormick, P.J., concurs. O P I N I O N On December 13, 1993, applicant pled guilty to nine separate offenses: six for Unlawful Delivery of Cocaine and three for Possession of Cocaine. In exchange for his guilty pleas, the State recommended that applicant be sentenced to forty years confinement for each of the delivery offenses and twenty years confinement for each of the possession offenses, all to run concurrently. Applicant was sentenced in accordance with the States recommendation. On August 17, 1994, applicant filed in the district court an Application for Writ of Habeas Corpus (the initial application), alleging he was deprived of effective assistance of counsel on the ground that his trial lawyer had been disbarred at the time of his representation of applicant. The initial application was denied by this Court on May 17, 1995. Applicant filed in the district court a second application for writ of habeas corpus (the instant application) on November 28, 1995.1 In the instant application, applicant alleges he was denied effective assistance of counsel on the ground that his attorney did not inform him of plea bargain offers made by the State.2 We ordered an evidentiary hearing and the trial court entered Findings of Fact. We dismissed the instant application on February 5, 1997. Applicant filed a Motion for Reconsideration (On the Courts Own Motion) of the Refusal to Grant Relief in Application for Writ of Habeas Corpus (Motion for Reconsideration), arguing that the instant application should not be barred as a subsequent application under Texas Code of Criminal Procedure article 11.07, section 4, because applicant did not become aware of the facts giving rise to the instant application until several months after the initial application was denied. We granted the Motion for Reconsideration and filed and set the instant application for submission. I. Section 4 We initially address whether the instant application is barred as a subsequent application under Section 4, or whether it falls within an exception to such bar. Section 4 provides, in relevant part:
Tex. Code Crim. Proc. art. 11.07 § 4. Thus, we are barred from considering the merits of the instant application unless the facts giving rise to the claims made in the instant application (the existence of the States plea bargain offers) could not have been presented in the initial application because they were not ascertainable through the exercise of reasonable diligence on or before the date of the initial application. On May 27, 1994, applicants trial attorney, William Satterwhite, Jr., was indicted in Jackson County for falsely holding himself out as an attorney to applicant. Tex. Penal Code § 38.122 (felony offense of Falsely Holding Oneself Out as a Lawyer); see Satterwhite v. State, 979 S.W.2d 626 (Tex. Crim. App. 1998)(affirming Satterwhites conviction under section 38.122). In August of 1995, several months after this Courts denial of the initial application, applicant was bench warranted to Jackson County to testify against Satterwhite pursuant to the section 38.122 charges. During the course of preparing for such testimony, in a conversation with Jackson County District Attorney Robert E. Bell, the same district attorney who had prosecuted applicants underlying conviction, applicant learned that the State had made two plea offers (for twenty and sixteen years) that were never communicated to him.3 Applicant testified that during his pending cases Satterwhite had repeatedly told him that there were no plea bargain offers on the table. Applicants wife also testified that she was present during many discussions between applicant and Satterwhite and at no time during those meetings did Satterwhite inform applicant of any plea bargain offers by the State for sixteen and twenty years. Reasonable diligence within the context of Section 4 has not been defined or explored by this Court. The term suggests at least some kind of inquiry has been made into the matter at issue. Cf. Anderson v. State, 621 S.W.2d 805, 809 (Tex. Crim. App. 1981)(in context of best evidence rule, stating that production of original document depends on circumstances of each case, the only requirement being that all reasonable avenues of search should be explored to the extent that reasonable diligence under the circumstances would dictate and holding that copy should be admitted where a reasonable effort has been made to obtain the original and there is no suspicion that the copy might differ from the original ); Jordan v. State, 520 S.W.2d 388 (Tex. Crim. App. 1975)(viewing reasonable diligence by grand jury as some inquiry of the relevant witnesses on the issue). In the instant case, the plea bargain offers were not made a part of the record, so any review of the record would not have uncovered their existence. Applicant testified he asked Satterwhite during the pending cases whether the State had made any plea bargain offers, and Satterwhite told him repeatedly that the State had made no offers.4 We hold applicant exercised reasonable diligence by making several inquiries of his lawyer as to the existence of plea bargain offers by the State. Applicant was not required to query the district attorney about the existence of a plea bargain offers when he had been assured by his attorney that there were none. Given that applicant had previously asked his attorney about the existence of plea bargain offers, was told that none were made, and applicant otherwise did not doubt his attorneys representations,5 applicant satisfied section 4's requirement of reasonable diligence. We conclude the instant application contains sufficient specific facts establishing that applicants claim is one that could not have been presented in the initial application because the factual basis for the claim was unavailable (in that it was not ascertainable through the exercise of reasonable diligence) on the date the initial application was filed. We therefore address the merits of applicants claim. II. Ineffective Assistance of Counsel In order to establish a claim for ineffective assistance of counsel, applicant must prove that (1) counsels representation fell below an objective standard of reasonableness; and (2) counsels deficient performance resulted in prejudice to the defense. Ex parte Wilson, 724 S.W.2d 72, 73 (Tex. Crim. App. 1987) (applying two-part test set forth in Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.E.2d 674 (1984)). Failure of defense counsel to inform a criminal defendant of plea offers made by the State is an omission that falls below an objective standard of professional reasonableness. Id. at 73-74 (failure of counsel to advise defendant of plea bargain offer by government constitutes gross deviation from accepted professional standards); see also United States v. Blaylock, 20 F.3d 1458, 1466 (9th Cir. 1994)(failure to communicate plea bargain offer constitutes unreasonable performance under prevailing professional standards); Johnson v. Duckworth, 793 F.2d 898, 902 (7th Cir.) (recognizing defense attorneys have duty to inform clients of plea agreements proffered by state and failure to do so constitutes ineffective assistance), cert. denied, 479 U.S. 937 (1986); United States ex rel. Caruso v. Zelinsky, 689 F.2d 435, 438 (3rd Cir. 1982)(failure to communicate plea bargain offer is denial of 6th and 14th amendment rights); Barentine v. United States, 728 F. Supp. 1241, 1251 (W.D.N.C.)(federal courts have been unanimous in finding that [defense counsels failure to inform the defendant of a plea offer] constitutes a violation of the defendants Sixth Amendment constitutional right to effective assistance of counsel), affd, 908 F.2d 968 (4th Cir. 1990). In its Findings of Fact on the instant application, the trial court found that (1) prior to applicants guilty pleas, the State had conveyed to applicants attorney a plea bargain offer of twenty years and an amended plea bargain offer of sixteen years; (2) applicants attorney never advised applicant of the States plea bargain offers of twenty and sixteen years; (3) applicant would have accepted the States proposed plea bargain offer of twenty years, if it had been conveyed to him; (4) applicant would have accepted the States amended plea bargain offer of sixteen years, if it had been conveyed to him; and (5) at the time applicant entered his pleas of guilty on December 13, 1993, in exchange for a plea bargain offer of forty years as to the six delivery offenses and twenty years as to the three possession offenses, applicant was not aware of and had not been advised of, any prior plea bargain offers by the State. The trial courts findings are supported by the record. While this Court is not bound by the findings of a habeas court, we should follow them where they are supported by the record. Ex parte Minott, 972 S.W.2d 760, 761 (Tex. Crim. App. 1998); Ex parte Torres, 943 S.W.2d 469, 476 (Tex. Crim. App. 1997); Ex parte Brandley, 781 S.W.2d 886 (Tex. Crim. App. 1989), cert. denied, 498 U.S. 817 (1990) ; Ex parte Adams, 768 S.W.2d 281 (Tex. Crim. App. 1989). We therefore accept the trial courts findings that the State conveyed two plea bargain offers to applicants attorney (the first offer was for twenty years, and the second offer for sixteen years) that were never communicated to applicant, and that applicant would have accepted either offer had they been communicated to him. Satterwhites failure to inform applicant of the States plea bargain offers was an omission that fell below an objective standard of reasonableness. Wilson, 724 S.W.2d at 74. The further question is whether applicant was prejudiced by Satterwhites unprofessional conduct. While a trial court is not obligated to accept the terms of a bargain reached by the parties, courts generally have not required that the defendant show the trial court would have accepted a plea bargain in establishing prejudice in these circumstances. The prevailing view is that a defendant is prejudiced by the missed opportunity of accepting such bargain and presenting it to the trial court for consideration in sentencing.6 Caruso, 689 F.2d at 438 ([f]ailure by defense counsel to communicate a plea offer to defendant deprives defendant of the opportunity to present a plea bargain for the consideration of the state judge and, on acceptance by the state judge, to enter a guilty plea in exchange for a lesser sentence); State v. Simmons, 309 S.E.2d 493, 498 (N.C. 1983)(because of attorneys failure to inform defendant of plea bargain offer, defendant was denied the opportunity to accept the plea offer, which, according to his affidavit, he would have accepted and in this regard defendant was clearly prejudiced). Applicant was deprived of the opportunity of accepting the States twenty year plea bargain offer and presenting it to the trial court for consideration in setting applicants sentence. We hold applicant was prejudiced in this respect. Caruso, supra. III. Remedy Courts have held that tailoring the remedy to the injury suffered where defense counsel failed to convey a plea bargain offer means reinstating the offer:
Blaylock, 20 F.3d at 1468-69. We agree with this rationale and hold the harm suffered as a result of applicants ineffective counsel is best redressed by reinstatement of the States plea bargain offer of twenty years.8 Relief is granted. These causes are remanded to the trial court with orders that the trial court withdraw applicant's pleas, require the State to reinstate its twenty year plea bargain offer,9 and allow applicant to re-plead to the indictments in these causes. MEYERS, J. Delivered March 8, 2000
4 While applicants testimony on this issue is not as fully developed as it might have been, it is clear that he asked Satterwhite on more than one occasion about the existence of a plea bargain offer: Q.[Defense counsel] Im going to direct your attention to the day that you pled guilty on December 13, 1993 and ask if that was the day that these causes were set for trial by jury here in Jackson County, Texas?5 The State questioned applicant about a bondsman who may have had knowledge of the sixteen year offer: Q.[Prosecutor] Mr. Lemke, youre aware that David Egg is in the bonding business, are you not? The point to this line of inquiry by the State is not clear. Perhaps they were trying to show that applicant had some reason to doubt Satterwhites representations that there were no plea bargain offers. However, applicants responses to Mr. Eggs inquiries demonstrate (1) that applicant had not been told about any plea bargain offers, and (2) that applicant viewed Mr. Egg as simply mistaken about the existence of a plea offer. 6 One court suggested, but didnt decide, that a defendant may be required to prove the trial court would have accepted the plea bargain. Compare Alvernaz v. Ratelle, 831 F. Supp. 790, 792-93 (S.D. Cal. 1993)(stating that in order to prove prejudice resulting from defense attorneys failure to inform petitioner of plea bargain offer, petitioner was required to show (1) that he would have accepted the offer, and (2) that trial court would have accepted the plea)) with id. at 796 (holding that this Court does not decide whether a petitioner must demonstrate that a trial court would have accepted the plea offer to prove prejudice because assuming such a requirement exists, petitioner met the requirement). Another court explicitly declined to place a burden on the petitioner to prove the trial court would have accepted the plea agreement, but allowed the State the opportunity to prove the trial court would not have accepted the arrangement: [W]e are unpersuaded by the States argument that [petitioner] failed to prove prejudice because he did not establish that the state trial court would have approved the two-year plea arrangement. Although the State is correct in stating that a plea agreement must be approved by the trial court before it becomes dispositive [citations omitted], we do not believe that [petitioner] was required to demonstrate a reasonable probability that the trial court would have approved the two-year plea arrangement. [citation omitted] We know of no case or statute that imposes such a requirement and we think it unfair and unwise to require litigants to speculate as to how a particular judge would have acted under particular circumstances.[fn] Turner v. Tennessee, 858 F.2d 1201, 1207 (6th Cir. 1988), cert. granted and judgment vacated, 492 U.S. 902 (1989). We do not view after-the-fact speculation into whether or not the trial court would have granted the plea bargain as particularly meaningful. Even if a trial judge were to testify that he would not have accepted the plea bargain, the existence of the plea agreement might have affected his judgment as to the sentence he would have ultimately imposed. It makes more sense to reinstate the plea offer and if accepted by the defendant, allow the trial judge the opportunity to accept or reject it at that point. This information is made available as a free public service for your personal, non-commercial use. While every effort has been made to provide accurate material at this site, it is provided "as is" and no representations are made that it is free of mistakes or inaccuracies. This file was derived from the text posted on the web site of the Texas Court of Criminal Appeals, by the automatic operation of conversion software, and may contain errors. Baker's Legal Pages are a public service of Freelance Enterprises, Inc.
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