Ex parte Steven Jerald McCAIN, Appellant.
No. 1727-00.
Court of Criminal Appeals of Texas.
Jan. 9, 2002.
Dan V. Dent, DA, Hillsboro, Matthew Paul, State‘s Attorney, Austin, for State.
OPINION
COCHRAN, J., delivered the opinion of the Court in which KELLER, P.J., MEYERS, WOMACK, KEASLER, and HERVEY, JJ., joined.
In this case, appellant argues that, because he was not appointed an attorney before he made his oral and written agreement to waive a jury trial, his voluntary guilty plea is void and therefore
Therefore, we affirm the Tenth Court of Appeals and uphold the trial court, both of which denied appellant habeas relief. McCain v. State, 24 S.W.3d 565 (Tex.App.-Waco 2000).
I.
Appellant, a 17 year-old, was charged with the felony offense of indecency with a child by exposure. The victim was his niece, with whom he lived. Appellant appeared in court pro se on June 11, 1999, and waived his rights to be charged by grand jury indictment, to representation by counsel, to trial by jury, and to confront and cross-examine witnesses.3 Appellant entered a plea of “no contest” and the trial judge sentenced him to six years in prison, probated for six years per his plea agreement with the State. Appellant did not appeal.
On September 27, 1999, just two-and-a-half months later, the State filed a petition to revoke appellant‘s probation. Appellant was arrested, jailed and appointed an attorney to represent him. Before the trial court heard the motion to revoke probation, appellant filed an application for a writ of habeas corpus, seeking relief from his original plea. He contended that he was denied counsel in violation of article 1.13(c) and the Sixth Amendment to the United States Constitution. The trial
We deny appellant relief because his claim—the violation of a statute—is simply not cognizable on a writ of habeas corpus.
II.
A writ of habeas corpus is available only for relief from jurisdictional defects6 and violations of constitutional or fundamental rights.7 A felony defendant clearly does have a constitutional right to have an attorney represent him. But a defendant who has intelligently and voluntarily waived that right to counsel does not have a separate constitutional right to the appointment of counsel before deciding whether to waive his right to a jury trial in a felony case.
In what appellant notes is the most recent case from this Court to discuss the article 1.13(c) right to the appointment of an attorney before waiving the right to a jury trial, Retired Presiding Judge Onion stated: “We do not find, nor have we been cited any authority, which holds that the right to assistance of counsel prior to waiver of trial by jury in a criminal case is a fundamental right under due process of law.” Ex Parte [Jerry Lee] Ross, 522 S.W.2d 214, 223 (Tex.Crim.App.1975).8
Judge Onion noted that “[t]here exists no federal constitutional provision which prohibits an accused from knowingly and intelligently waiving his right to trial by jury in a felony prosecution.” Id. at 222. Presiding Judge Onion was correct. He also stated, however, that “before a defendant who has no attorney can agree to waive a jury trial in a non-capital felony, the court must appoint an attorney to represent him or the resulting conviction will be void.” Ross, 522 S.W.2d at 223.9 Why void?
The earliest case holding that a conviction obtained in violation of art. 10a is “void,” appears to be Ex parte Kelley, 161 Tex.Crim. 330, 277 S.W.2d 111, 112 (1955), in which this Court stated:
It has been the repeated holding of this court that the provision touching representation by counsel is mandatory and that noncompliance therewith renders the conviction void. Wilson v. State, 157 Tex.Cr.R. 642, 252 S.W.2d 197 [1952]; Hernandez v. State, 138 Tex.Cr.R. 4, 133 S.W.2d 584 [1939]; Ex parte Rawlins, 158 Tex.Cr.R. [346], 255 S.W.2d 877 [1953].
None of these three prior cases said that the conviction of a defendant who was not represented by counsel at the time he waived his right to a jury trial was “void.” All three did say that article 10a was a “mandatory” provision and that it was error to not follow its provisions. But that is true of the failure to follow almost any mandatory statute.
In Kelley, this Court did not discuss the use of the word “void.” That term simply popped into the opinion, like Athena springing full-grown from Zeus’ brow. There is no logical or legal explanation for it. Nor does the term “void” fit the situation. Why would the voluntary waiver of a jury trial by a defendant who, though not represented, was otherwise fully informed of his rights and wished to waive them, automatically render his conviction void and without legal consequence? If the constitution does not require this procedure and the Legislature could eliminate the statute entirely, why would this Court
It appears that the first case to hold that a violation of art. 10a [now 1.13] is cognizable on a habeas writ was Ex parte Rawlins,11 which relied upon Hernandez,12 a direct appeal case. But Hernandez did not say that the resulting conviction was “void,” merely that the statute “seemed” mandatory.13 This Court, in Ex parte Rawlins, did not discuss why the defen
In recent years, this Court has attempted to refine the definition of a “void” v. “voidable” conviction because those terms have caused so much confusion in Texas criminal law. “Void” convictions should be defined as those in which the trial court lacked jurisdiction over the person or subject matter or in which the trial judge lacked qualification to act in any manner. See, e.g., Ex parte Seidel, 39 S.W.3d 221, 226-27 (Tex.Crim.App.2001) (Womack, J., dissenting, joined by Keller, P.J. & Meyers, J.).15 Procedural errors or statutory violations may be reversible error on direct appeal, but they are not “fundamental” or “constitutional” errors which require relief on a writ of habeas corpus.16 We should clearly define the scope of issues and claims that are cognizable on a writ of habeas corpus as those which raise either jurisdictional defects or constitutional claims.
Even if the trial judge were to violate a “mandatory” statute by accepting the defendant‘s waiver of a jury trial without first appointing an attorney to represent him for purposes of that one decision, that violation would not suffice to invoke habeas relief. After all, most provisions in the Code of Criminal Procedure are “mandatory,” in that they state that a trial court “shall” or “must” do something in a particular manner. To say that a statute is “mandatory” is simply to say that the law prescribes the manner in which a particular action should or shall be taken.
For example, although other portions of article 1.13 are also written in mandatory terms, a violation of those provisions would not be cognizable on a writ of habeas corpus because it would not be a jurisdictional defect or constitutional or fundamental violation. It would be a procedural violation. In Ex parte Sadberry, 864 S.W.2d 541, 543 (Tex.Crim.App.1993), this Court, in an 8-1 decision, held that a violation of the mandatory requirement in article 1.13 that a defendant sign a jury waiver17 was not cognizable on a writ of habeas corpus. In Sadberry, this Court relied upon numerous prior cases which had held that habeas relief is available only for instances in which “the trial court‘s judgment is void, and cannot be invoked for mere irregularities in the proceedings below.” Id. at 542. Unfortunately, the Court used the dreaded word “void” again. However, the cases this Court relied upon correctly stated the circumstances under which habeas relief is available, namely, to review jurisdictional defects or denials of fundamental or constitutional rights. As the Court explained:
While we do not sanction noncompliance with procedural rules designed to safeguard constitutional rights, the writ was not intended to provide for relief for
such noncompliance where the record is otherwise clear on the rights to which the procedural formalities pertain. Accordingly, we hold that where the applicant does not claim he desired and was deprived of his constitutional right to a trial by jury, that he did not intend to waive a jury trial or that he was otherwise harmed, and the record reflects that the applicant agreed to the waiver, we will not set aside a conviction by habeas corpus or collateral attack due to the applicant‘s failure to sign a written jury form pursuant to article 1.13.
Id. at 543. The reasoning and result in Sadberry are sound. We will continue to follow it. Therefore, we ineluctably conclude that a violation of article 1.13(c) is not cognizable on a writ of habeas corpus.
Therefore, we affirm the decision of the Court of Appeals.
HOLCOMB, J., filed a dissenting opinion, in which PRICE and JOHNSON, JJ., joined.
Today the majority limits the scope of habeas corpus to those errors that are “jurisdictional,” “fundamental,” or “constitutional.” In doing so, the Court effectively overrules one hundred years of precedent. This Court has long held that habeas corpus is an appropriate remedy to attack a void judgment or sentence. See Ex parte Seidel, 39 S.W.3d 221, 224, 225 at n. 4 (Tex.Crim.App.2001); Ex parte Beck, 922 S.W.2d 181 (Tex.Crim.App.1996); Heath v. State, 817 S.W.2d 335, 336 (Tex.Crim.App.1991) (opinion on original submission); Ex parte McIver, 586 S.W.2d 851 (Tex.Crim.App.1979). Otherwise, many defendants, such as Mr. McCain, are left without a remedy even though there has been a clear violation of a mandatory statute.1 Because I conclude that the Legislature could not have intended such a result and that void sentences and convictions are properly cognizable on habeas corpus, I respectfully dissent.
I.
Appellant, Steven Jerald McCain, was charged with the felony offense of indecency with a child. See
THE COURT: Mr. Dent over here to your left is a very fine gentleman, a good lawyer, and a fine attorney, but you need to understand that he‘s the District Attorney of Hill County, Texas. He has, as his client, the State of Texas. He cannot represent you at the same time he represents the State. That would put him in a real tough position to try to do both, and you need to understand that he cannot do that. Likewise, I, as the judge of this court, cannot—I do not favor one side or the other, but instead, my job is entirely different than being your attorney. Do you understand that?
APPELLANT: Yes, sir.
THE COURT: And I can give you no legal advice, so if you insist on waiving your right to an attorney, you‘ll be looking to yourself for your own counsel. Do you understand?
APPELLANT: Yes, sir.
THE COURT: Do you want me to approve this Waiver of Counsel form that you‘ve signed?
APPELLANT: Yes, sir.
THE COURT: The court will do so. Now, it appears as if you‘ve signed a document here advising me that you‘ve never been convicted of a felony in this or any other state and are asking for probation. Have you signed this document for the purposes and considerations therein expressed and upon your oath?
APPELLANT: Yes, sir.
THE COURT: It also appears as if you‘ve signed a document here entitled Waiver of Trial By Jury and Agreement to Stipulate Testimony. Do you have any questions about any of the matters contained therein?
APPELLANT: No, sir.
THE COURT: In that document, it appears that you want to give up or waive your right to a jury trial, waive any waiting period you‘re entitled to, and also waive the appearance, confrontation, and cross-examination of witnesses. Is this your signature in two places on this document?
APPELLANT: Yes, it is.
THE COURT: And do you want me to approve these waivers?
APPELLANT: Yes, sir.
THE COURT: The court will do so.
While it clear that appellant waived his right to a jury trial, it is equally clear that the trial court, presumably with full knowledge of the requirements of
On September 27, 1999, the State filed a motion to revoke probation. Appellant was arrested and then, finally, appointed counsel. Prior to the disposition of the motion to revoke, appellant applied for a writ of habeas corpus. See
On appeal, appellant reiterated his argument that noncompliance with Article 1.13(c) rendered his conviction void. The Tenth Court of Appeals disagreed and held that because the ”Helms rule” applied, appellant was barred from asserting his complaint on appeal. McCain v. State, 24 S.W.3d at 568. The Court of Appeals reasoned that failure to appoint counsel in compliance with Article 1.13(c) was nonjurisdictional error that occurred before the entry of appellant‘s plea and was therefore waived by the voluntary plea of nolo contendere. We granted appellant‘s petition for discretionary review to determine whether the Court of Appeals erred.4
In his brief to this Court, appellant argues, in essence, that the trial court was required to appoint counsel before he could waive his right to a jury trial and that it was error for the Court of Appeals to hold otherwise. Appellant gives three reasons in support of his argument: (1) the clear language of Article 1.13(c) requires the appointment of an attorney, (2) case law has established that the requirements of Article 1.13(c) are mandatory and failure to comply renders a subsequent conviction void, and (3) the ”Helms rule” does not apply to void convictions.
II.
The majority holds that a violation of a statute, in this case Article 1.13(c), is not cognizable on a writ of habeas corpus. I disagree in the strongest terms. Article 1.13(c) provides that “[a] defendant may agree to waive a jury trial regardless of whether the defendant is represented by an attorney at the time of making the waiver, but before a defendant charged with a felony who has no attorney can agree to waive the jury, the court must appoint an attorney to represent him.”5 Before today, it was settled that the requirements of Article 1.13(c) were mandatory and that failure to comply with those requirements rendered a subsequent conviction void. Ex parte Ross, 522 S.W.2d 214, 223 (Tex.Crim.App.1975), cert denied, 423 U.S. 1018 (1975); Ex parte Burns, 441 S.W.2d 532 (Tex.Crim.App.1969); Ex Parte Jenkins, 433 S.W.2d 701 (Tex.Crim.App.1968); Ex parte Strother, 395 S.W.2d 629 (Tex.Crim.App.1965); Ex parte Higginbotham, 382 S.W.2d 927 (Tex.Crim.App.1964); Ex parte Rawlins, 158 Tex.Crim. 346, 255 S.W.2d 877 (1953); Wilson v. State, 157 Tex.Crim. 642, 252 S.W.2d 197 (1952); Hernandez v. State, 138 Tex.Crim. 4, 133 S.W.2d 584 (Tex.Crim.App.1939). We most recently recognized
The majority attempts to redefine void convictions as “those in which the trial court lacked jurisdiction over the person or subject matter or in which the trial judge lacked qualification to act in any manner.” As support for this proposition, the majority, incredibly, cites the dissenting opinion in Seidel. In Seidel, an opinion decided less than a year ago, a majority of this Court held that a trial court‘s dismissal of a prosecution with prejudice was “void” and that it could be collaterally attacked. 39 S.W.3d 221. We specifically stated that “the trial judge‘s action was more than a mere violation of statutory procedure. The trial judge‘s action was not authorized by law and was, therefore void.” Id at 225. (Emphasis added). We also recognized that other “non-jurisdictional” errors, such as “illegal” or “unauthorized” punishments, can render a judgment void and, therefore, subject to collateral attack. Id. at 225 and n. 4.
If such an action by the trial court in Seidel rendered the dismissal void, then an even stronger case can be made that the violation of Article 1.13(c) in the instant case rendered the resulting conviction void. By Article 1.13(c), the Legislature has specifically prohibited a trial court from accepting a defendant‘s waiver of a jury trial until the court has appointed an attorney to represent him. Here, not only was “[t]he trial judge‘s action ... not authorized by law ...,” Seidel, 39 S.W.3d at 225, the action was specifically prohibited by statute. Requiring an objection at trial in these circumstances would lead to a Catch-22 situation: a defendant must object to not having an attorney appointed to advise him as to waiver of jury trial, without having been advised by an attorney that he was entitled to such representation and advice. Given the absurdity of such a situation, we chose in the past to characterize the resulting conviction as “void” and allow the defendant to raise the issue in a habeas corpus proceeding. Otherwise, defendants, such as appellant, are left without a remedy even though there has been a clear violation of a mandatory statute.
Moreover, as a matter of policy we have tried, in our approach to habeas corpus cognizability, to strike a reasonable balance between a convicted person‘s interest in the vindication of his legal rights and the State‘s interest in the finality of convictions.7 Thus, in a long line of cases, most notably Heath and Seidel, we have held that some defects, even though they are “just” statutory defects, are so egregious that they are cognizable on habeas corpus. See Heath, 817 S.W.2d at 336; Seidel, 39 S.W.3d 221 at 225; Ex parte McIver, 586 S.W.2d 851. In Heath, we characterized these defects as rendering the conviction “void.” 817 S.W.2d at 336. However, we could have properly characterized as “fundamental” errors those “unauthorized sentences” and “statutory defects” which render a sentence void. No matter what we choose to call these “errors,” the underlying purpose is the same: to balance a convicted person‘s interest in the vindication of his legal rights and the State‘s interest in the finality of convictions.
In Texas, a defendant has a statutory right to have counsel appointed before he can waive his right to a jury trial. The Legislature has decided that the right to a jury trial is so important that before a defendant can waive that right, he should have the opportunity to consult with counsel. If a trial court denies a defendant that right by refusing to appoint counsel, equity demands that the balance be struck in favor of the defendant. Therefore, a defendant should be allowed to contest, in a habeas corpus proceeding, a violation of Article 1.13(c).
III.
Here, there is no question that appellant was not appointed an attorney in compliance with Article 1.13(c) before waiving his right to a jury trial. Hence, it is clear to me, based both on precedent and equity, that appellant‘s conviction is void and can be collaterally attacked through a writ of habeas corpus. The trial court erred in denying appellant relief, and the Court of Appeals erred in affirming the trial court‘s decision. Accordingly, I would reverse the judgment of the Court of Appeals and set aside appellant‘s original plea.
Danny Edward HULL, Appellant, v. The STATE of Texas.
No. 1812-00.
Court of Criminal Appeals of Texas.
Jan. 30, 2002.
Notes
The Court of Appeals erred in failing to find and hold that the Trial Court erred by failing to appoint an attorney to represent Petitioner prior to his waiver of jury trial in a felony case. The Trial Court ignored the plain, clear, unambiguous and mandatory language of Article 1.13(c) which requires the Court to appoint an attorney to represent a defendant charged with a felony prior to his agreement to waive jury trial. Such error by the Trial Court renders the conviction void and Petitioner may challenge a void conviction at any stage in the criminal proceedings.
A defendant may agree to waive a jury trial regardless of whether the defendant is represented by an attorney at the time of making the waiver, but before a defendant charged with a felony who has no attorney can agree to waive the jury, the court must appoint an attorney to represent him.
This Court has also held that the failure to appoint counsel prior to the waiver of a grand jury indictment can render a subsequent conviction void. King v. State, 473 S.W.2d 43 (Tex.Crim.App.1971) (“If an accused has not effectively waived his right to an indictment in full accordance with the statute the felony information is void. An indictment is still mandatory in absence of a valid waiver. For the waiver to be effective it must be intelligently, voluntarily and knowingly given by the accused while represented by counsel.“) (Emphasis added.)Furthermore, there is nothing in this record to show that appellant was “hurried” to enter a plea by either the judge or prosecutor or that the judge “willfully” violated article 1.13(c).
The Tenth Court of Appeals characterized the trial court‘s performance as “exemplary.” As a practical matter, trial court judge‘s are well aware that before a defendant can waive his right to a jury trial, he must be appointed counsel. Hence, I do not understand how a seemingly willful violation of a clear mandate of the Legislature, as expressed through