Pelt v. Hon Johnson (Der)
IN THE
TENTH COURT OF APPEALS
No. 10-91-149-CV
        JOHN HENRY PELT, INDIVIDUALLY AND AS
        PARTNER OF AZTEC GENERAL AGENCY,
        A TEXAS GENERAL PARTNERSHIP, ET AL,
                                                                                       Relators
        v.
        HONORABLE DERWOOD JOHNSON, JUDGE,
        74TH DISTRICT COURT, MCLENNAN COUNTY,
        TEXAS,
                                                                                       Respondent
ORIGINAL PROCEEDING
                                                                                                               Â
                                                                    Â
Dissenting Opinion
                                                                                                    Â
          If we follow the recent Supreme Court guidelines in determining whether the "death
penalty" sanction is proper, we should approve its imposition in this case. See Transamerica
Natural Gas Corp. v. Powell, 811 S.W.2d 913, 917-18 (Tex. 1991).
          In determining whether a sanction is "just", the Court suggested two standards to be
followed. First, there should be a direct relationship between the offensive conduct and the
sanction imposed, meaning that the sanction must be directed against the abuse and toward
remedying the prejudice caused the innocent party. Second, "just" sanctions must not be excessive
and a sanction imposed for discovery abuse should be no more severe than necessary. See Id. at
917. Discovery sanctions cannot be used to adjudicate the merits of a party's claims or defenses
unless a party's hindrance of the discovery process justified a presumption that its claims or
defenses lack merit. However, if a party refuses to produce material evidence, despite the
imposition of lesser sanctions, the court may presume that an asserted claim or defense lacks merit
and dispose of it. Id. at 918. (Emphasis added). Further, the court should not impose "death
penalty" sanctions absent a party's flagrant bad faith or counsel's callous disregard for the
responsibilities of discovery under the rules. See Id. at 918.
          In this case, Pelt was noticed for a deposition with subpoena duces tecum requiring him
to bring several documents, including canceled checks and deposit slips from the business account
where the money in controversy had been deposited. He appeared for the deposition on October
22, 1990, without the requested documents. Neither he nor his counsel advised opposing counsel
at that time that Relators routinely disposed of his canceled checks and deposit slips each month
after he reconciled his bank statement. On November 20, the court heard Relators' motion for
protection and the plaintiffs' motion to compel. It is important to note the court's ruling set out
in the order dated December 6, 1990, ordered the Relators to produce the requested items to the
plaintiffs within 10 days and ordered him to pay $250 to plaintiffs' counsel as a reasonable
attorney's fee for having to prepare and prosecute the motion to compel.
          After plaintiffs' counsel notified Relators' counsel by letter dated January 23, 1991, that
none of the ordered documents had been received and further stating that a motion to strike
pleadings would be filed if the documents were not received by January 28, Relators' counsel
delivered all the requested documents but the canceled checks and deposit slips on February 7 and
paid the $250 fine. Note that neither Relators nor their counsel advised plaintiffs' counsel at that
time that the canceled checks and deposit slips had been destroyed.
          On April 28, two weeks before the trial was scheduled, plaintiffs' counsel advised Relators
by letter that discovery was still incomplete because of their failure to deliver the checks and
deposit slips. The letter further advised that a motion to strike pleadings would be filed if the
missing documents were not provided within ten days.
          On April 25, plaintiffs agreed in a letter to move the trial setting to August 5 to allow time
to complete the depositions of Relators. They stated in the letter their understanding that Relators
were obtaining the missing items from the bank. On May 7, plaintiffs advised Relators that if
documents were not delivered by May 14 that a motion to strike pleadings would be filed.
          Finally, on May 10, Relators advised Plaintiffs that Pelt had not kept the canceled checks
and deposit slips, but that Relators had obtained approval for the plaintiffs to obtain the same from
the bank at plaintiffs' expense, estimated to be from $3,000 to $5,000. Plaintiffs' acknowledged
receiving this information and advised Relators in a letter on May 15 that the burden was on
Relators to produce the court-ordered documents.
          On June 24, as an apparent last remedy, plaintiffs filed a motion for sanctions seeking to
strike Relators' pleadings and to recover attorney's fees. On June 26, Relators responded with
a motion for protection, which was aptly described by plaintiffs' counsel as "a motion seeking
protection from the court's own order."
     Here, the court had already ruled on December 6, 1990, that the requested documents were
material; however, in the hearing on motion for sanctions and Relators' motion for protection
presided over by visiting judge, Honorable J. F. Clawson, Relators sought to argue that the checks
and deposit slips were not relevant. The visiting judge was correct in advising Relators that the
relevancy matter had already been litigated and was not before the court. In Pelt's testimony at
the hearing, he stated that "I throw away the checks . . ." Even so, Relators made a final
argument that the canceled checks and deposit slips were not discoverable because they were no
longer under the "care, custody and control" of Relators, but were obtainable from the bank. The
court responded to the effect that no one is obligated to keep canceled checks and
deposit slips, but that it is probably prudent for business people to keep adequate records,
especially in view of IRS requirements. The court further ruled that this argument was not timely,
that it should have been raised at the November 20, 1990, hearing.
          In ordering the Relators' pleadings stricken, the court could have reasoned that the
offensive conduct was caused directly by the Relators in destroying his canceled checks and
deposit slips. The court could have also reasoned that Relators were intentionally dilatory in not
advising plaintiffs' counsel of this fact when the other requested documents were delivered on
February 7, 1991. After hearing Relators testify and watching the interaction of the Relator with
his counsel, the court could have also reasoned that Relators were intentionally attempting to abuse
the discovery process, for it was the Relators who destroyed the items sought to be discovered,
not Relators' counsel. In making its decision, the court could have concluded that Relators'
counsel was simply following his clients' directives. Relators failed to advise the court at the
hearing on the motion to compel on November 20, 1990, that Pelt had thrown away the canceled
checks and deposit slips or at any of the other communications between the parties' counsel until
it was finally revealed on May 10, 1991, at which time Relators' position was that plaintiffs could
get the documents, but only at a cost of $3,000 to $5,000. From this conduct, the court could
have found the Relators were acting in bad faith. Here, the court could have considered the
precedent that would have been established if Relators' position had been followed. All a party
would have to do to avoid discovery would be to destroy the requested records and make it either
impossible or too costly for the requesting party to obtain them.
     Here, the court followed the Supreme Court's guideline in that, before ordering the pleadings
stricken, it had ordered lesser sanctions, which Relators had refused to follow, thereby availing
the court of the presumption that the Relators' pleadings lacked merit and could be stricken. See
Id. at 918.
     In Justice Gonzales's concurring opinion in Transamerica, he states that "...trial judges should
not be trigger happy. They should first issue orders compelling discovery." This is exactly what
occurred in this case, followed by the Relators' continued refusal to comply with the order
compelling discovery dated December 6, 1990, until finally the court had little other alternative
than striking the pleadings. The choice of sanctions is left to the sound discretion of the trial
court. Id. at 917. After considering the record in this case, along with the guidelines provided
in the majority and concurring opinions in Transamerica, I cannot find that the court's imposition
of the "death penalty" was arbitrary or unreasonable, but to the contrary, it follows the rules and
suggested guidelines and appears to be reasonable under the circumstances of this case.
Â
                                                                                 BOBBY L. CUMMINGS
Opinion delivered and filed October 30, 1991
Publish
nt-family:Palatino'>
a.         Â
The first paragraph of the
opinion is in reference to the two items and says his complaint is that the
district clerk will not file them. This presents two problems.Â
First, if that is what he is complaining about, those documents are not items
addressed to this Court and should not be filed by the clerk of this Court as
freestanding documents seeking relief. Rather they should be, as Mr. Long
seeks to have them considered, exhibits to something else. Second, Mr.
Longs complaint, in this proceeding, is not that that the district clerk
refused to file these documents. In Âthis proceeding which is
10-06-00311-CR, not 10-07-00084-CR, he wants to use these as exhibits to his
motion. He wants to use them in his appeal(s) too, but his appeal is
apparently not here yet.
b.        Â
The second paragraph of the
opinion is in reference to the motion in which Long seeks to know why Judge
Jackson determined he was a vexatious litigant. This paragraph is, in
fact, correct except that it implies that it is a separate proceeding. It
is not. This is only a motion filed in an existing proceeding,
10-06-00311-CR, not a separate proceeding now docketed as mandamus
10-07-00084-CR.
c.         Â
The next paragraph then
discusses a little history regarding only one of LongÂs mandamus proceedings
and a part of the district judgeÂs response thereto. A nice little ditty,
but it is both incomplete and irrelevant to the relief or ruling sought by Mr.
Long.
d.        Â
The holding paragraph then
dismisses as moot a mandamus proceeding that Long did not file and that does
not rule on the relief he has sought.
       The Âmotion that we should be ruling on
was set up in case management in docket number 10-06-00311-CR. That is
the proceeding in which Mr. Long indicated the motion should be filed. If
this is only considered as a motion, there is no reason that motion could not
simply be denied and end that issue now.Â
       I guess the Clerk could send him back a
copy of the letter he requested, but I would also tell him that we do not
normally make copies for the parties and that this is the last time we will
make copies for him.
       And we could then have our Clerk make
inquiry of the district clerk to see if, in fact, there are one or more notices
of appeal filed in regard to the alleged failure to file the two exhibits
attached to the motions that will need to be set up as an appeal(s).Â
Alternatively, we could just wait and see if they get forwarded to us as such
because Mr. Long does indicate they were actually filed by the district clerk.
       In addition to the writ-of-attachment and
the application-for-bill-of-review, the motion about why Mr. Long is declared a
vexatious litigant by the trial court is also set up in case management as a
pending motion in the new proceeding, 10-07-00084-CR. Thus, the same
motion was docketed in two proceedings. It is not ruled on by the opinion.
       After making the foregoing comments based
upon the documents provided with the draft opinion, I decided that, given the
confusion, I had better pull the pleading and correspondence files for
10-07-00084-CR and 10-06-00311-CR. I could not find the correspondence
file for 10-06-00311-CR. In the pleading file, I found a copy of the
motion with the new docket number in the file for 10-07-00084-CR, although the
copy being circulated with the opinion is not so stamped.Â
       In the new proceeding that was set up as
an appeal, Mr. Long was sent the standard new-criminal-file letter and
docketing statement. He returned it and said that this new criminal
appeal related to the attachments that had been provided with the earlier
mandamus, which would be the writ-of-attachment and the
application-for-bill-of-review that were also attachments to the motion.Â
I still have not found what mandamus he is referring to unless it was
10-06-00311-CR, or possibly one of the two written by Justice Vance,
10-06-00325-CV and 10-06-00329-CV. Basically, by the docketing statement,
Mr. Long has converted what should have been set up as a motion but was set up
as a criminal appeal to a new mandamus proceeding. Thus, what is actually
the most important document to understand what is being done in the opinion,
which is Mr. LongÂs docketing statement, was not being circulated with the
draft opinion but was left in the file. I question if this new proceeding
would be properly denominated as a criminal proceeding with the designation
ÂCRÂ if the other two mandamus proceedings regarding the trial court
proceedings in which Mr. Long wanted to file documents with the district clerk
were designated as civil proceedings, ÂCV.ÂÂ But this whole thing is a
mess because we are letting Mr. Long get away with making a mockery of the
rules. It is this type litigant where it is critical to proceed one step
at a time and why I advocated that only one chamber deal with this type of
repeat litigant. That is what we have been doing in the
appeals/proceedings in which other repeat litigants are involved. And that is
what we did in an appeal in which it was clear from the beginning that we had a
difficult litigant who refused to regard the rules as applying to proceedings
in which they were representing themselves, and who refused to respond as
requested to our notices and requests of this CourtÂs clerk. In fact, it
was what we were doing in Mr. LongÂs numerous proceedings until the two
mandamus proceedings were taken over by a different chamber and those two
requests for mandamus were granted rather than requiring Mr. Long to proceed in
the proper manner.
       What I would do, after cleaning up the
filing and case management, with everything other than the motion and a copy of
the exhibits, is to return it all to Mr. Long and tell him we cannot tell what
he is requesting and that his motion filed in 10-06-00311-CR for an explanation
of why Judge Jackson determined him to be a vexatious litigant is DENIED, unless
our plenary power has expired, in which case I would tell him it is dismissed
because our plenary power has expired and we have no jurisdiction to grant any
relief in that proceeding.
       I asked the authoring justice if he would
consider cleaning up these proceedings, both as to what is in case management
and the opinion, before I have to do anything else in response to the draft
opinion in circulation.
       And this is where my original
communication and request to the authoring justice ended. The authoring justice
rejected my request.
Where to Next?
       When my request was rejected, I conducted
a further examination of the files.Â
Upon further review I have determined that the following is what should be done
with the plethora of documents now presented to us by Mr. Long.
       The writ-of-attachment apparently relates,
though only generally, to the mandamus proceeding written on by Justice Vance
in 10-06-00239-CV. That mandamus related to the district clerkÂs refusal
to file a suit against Elaine and Jorja Stout. The writ of attachment
sought to be filed by Mr. Long was a result of the trial courtÂs alleged
failure to require Mr. and Mrs. Stout to attend and give testimony at Mr.
LongÂs habeas proceeding. Mr. Long has properly denominated this document
as an exhibit to his motion and possibly as an exhibit to 10-06-00239-CV or a
new proceeding that has not yet been filed related to the district clerkÂs
alleged refusal to accept the document for filing.Â
It is unclear if this document was filed in the habeas proceeding or not.Â
What is clear is that this is not a document seeking a ruling from this Court,
because it is only an exhibit to some other request. Giving the absolute
broadest construction to Mr. LongÂs pleadings before this Court, in particular the
docketing statement filed in this proceeding, I believe Mr. Long is requesting
that the district clerk be compelled to file this writ-of-attachment, although
I am not sure in which proceeding Mr. Long wanted to file it. Because
there is actually no live pleading before us in which Mr. Long articulates his
request, I would inquire of Mr. Long which of the numerous proceedings either
in the trial court, or this Court, to which this document relates, and what
relief he seeks with regard to it.
       The application-for-bill-of-review
apparently relates to Mr. LongÂs effort to have the trial court reconsider its
prior ruling denying the requested disclosure of the informant in Mr. LongÂs
criminal conviction. Mr. Long has properly designated this document as an
exhibit to the motion. By the docketing statement, it is clear that he
sought to file this document with the district clerk but it, too, was
rejected. It is unclear whether the application was to have his habeas
corpus proceeding or his original criminal proceeding reconsidered.
       The motion-for-explanation-of-why presents
an entirely different problem for us and Mr. Long. By the trial courtÂs
February 20, 2007 order in connection with Mr. LongÂs attempt to file a civil
proceeding against Don Phillips, one of the attorneys who represented Mr. Long
and has subsequently been sucked into the vortex of these Long proceedings,
Mr. Long has been declared a vexatious litigant. It is critical to note
that this order was not before us in either of the prior mandamus proceedings
written on by Justice Vance in 10-06-00235-CV and 10-06-00239-CV. There was
only one Âorder in the file of either of these proceedings and it was not
properly in the record, but it was not the order that Mr. Long is now
complaining about. And in Judge JacksonÂs letter in response to the mandamus
proceeding, Judge Jackson only vacates one order. The full text of Judge
JacksonÂs order is as follows:
ORDER VACATING PREVIOUS ORDER
       Pursuant to the opinion of the Tenth Court
of Appeals in Nos. 10-06-00235-CV and 10-06-00239-CV, the Court hereby vacates
its previous order which directs the Clerk to reject further requests for
relief and lawsuits filed or to be filed by Carl Long. The Clerk shall accept
such filings in the future and such matters shall be docketed accordingly.
       Carl Long is directed to resubmit such
suits as he deems proper.
       Although this Court is inclined to believe
that the Dissenting Opinion is a correct exposition of the circumstances and
applicable law, a cost/benefit analysis leads the Court to conclude that (1)
the requests of Mr. Long can be fairly and expeditiously considered by this
Court, (2) The Supreme Court of Texas has far more pressing issues to explore,
and (3) this Court is loath to deprive the Court of Appeals from its consideration
of Mr. LongÂs future appeals.
       SIGNED the 19th day of March,
2007.
                                           John
H. Jackson, Judge
                                           13th
Judicial District
       Though titled as a motion, Mr. Long
clearly wants the propriety of that February 20, 2007 ruling determined.Â
The determination by a trial court that a particular litigant is ÂvexatiousÂ
and prohibited from filing future litigation is an order that is subject to
appeal. Giving Mr. LongÂs pleading its logical and intended effect, it is
a document by which Mr. Long seeks to have an order of a district judge
reviewed for propriety by an appellate court. We normally call that
document a notice-of-appeal. Mr. LongÂs designation as a vexatious
litigant is an order that should have serious consequences for Mr. Long in his
quest to file future proceedings, as he has already indicated he intends to
do. It is an order that is civil in nature, not criminal, and therefore,
it should not be the subject of this proceeding which has been designated
CR. If, on the other hand, it is the subject of the majority opinion as
it appears that the majority has now made it, then it is certainly not moot as
the majority has determined. By dismissing this proceeding, the trial
courtÂs February 20, 2007 determination declaring Mr. Long to be a vexatious
litigant remains the undisturbed ruling of the trial court. And unless
the majorityÂs opinion is reviewed and reversed by a higher court, that
determination will be a determination that will soon become final for appellate
purposes.
       Anyone who has followed the extensive
proceedings in which Mr. Long has been involved before this Court and the
members of this CourtÂs public disagreement over the nature and manner of the
disposition of these numerous proceeding may be surprised to find that I am of
the opinion that Mr. Long is entitled to a review and determination of whether
the trial court properly determined that Mr. Long is a vexatious
litigant. The February 20, 2007 determination that Mr. Long is a
vexatious litigant is an order that Mr. Long has sought the review of by this
Court and the majority has held that the trial courtÂs determination that Mr.
Long is a vexatious litigant is moot. It is not. That ruling has not been
reviewed.
       Because it is impossible for me to
understand, much less agree with, what the majority is doing in this
proceeding, and because my lengthy note was unsuccessful in obtaining
clarification of what they are doing in this proceeding, I have no alternative
other than to lodge my dissent and await the time with patience until the
effect of their holding is manifested in subsequent proceedings pursued by Mr.
Long.