Ex parte David Allen RICH, Applicant.
No. AP-75112.
Court of Criminal Appeals of Texas.
June 7, 2006.
This evidence, viewed in the light most favorable to the verdict, supports a finding that any rational trier of fact could have found appellant guilty of burglary of a habitation under the law of parties. We therefore sustain the state‘s second ground for review.
We reverse the judgment of the court of appeals and remand this cause to the court of appeals to address the factual-sufficiency grounds raised in appellant‘s brief.
Kathleen A. Walsh, District Atty., Denton, Matthew Paul, State‘s Atty., Austin, for State.
OPINION
MEYERS, J., delivered the opinion of the Court, in which PRICE, KEASLER, HERVEY, and HOLCOMB, JJ., joined.
The issue we decide today is whether Applicant should be allowed to raise a claim of illegal sentence based on an improper enhancement for the first time on a writ of habeas corpus, or whether such claim is forfeited by: 1) Applicant‘s failure to raise it on direct appeal; or 2) Applicant‘s plea of true to such enhancements during the plea proceedings. We conclude that Applicant may raise such a claim and that, in this case, he is entitled to relief.
Facts
Applicant David Alan Rich1 was charged with felony driving while intoxicated. The indictment contained two enhancement paragraphs which alleged prior convictions for two felony offenses, delivery of a controlled substance (cause number F-76-10016HL) and injury to an elderly person (cause number 93-42604). In 2002, Applicant pleaded guilty to the offense and true to the enhancement paragraphs pursuant to a plea-bargain agreement. The trial court enhanced his punishment under the habitual-offender provision of
Applicant filed an application for a writ of habeas corpus claiming that he received ineffective assistance of counsel as a result of his attorney‘s failure to investigate the prior convictions used for enhancement. In its Findings of Fact and Conclusions of Law, the trial court determined that Applicant had not been convicted of a felony for the delivery of a controlled substance offense (cause number F-76-10016HL) because the charge was reduced to a misdemeanor after a motion for a new trial was granted. Since a misdemeanor conviction had been improperly used to enhance his sentence, the trial court concluded that the sentence itself was illegal. Despite this finding, the trial court determined that trial counsel‘s investigation of the prior convictions was reasonable based on the information available and that Applicant had received effective assistance of counsel at trial.
Subsequently, this Court entered an order requiring the trial court to determine whether there were any other prior felony convictions that could have been substituted for the misdemeanor that was improperly used for enhancement. The trial court filed Supplemental Findings of Fact and Conclusions of Law, finding that neither of Applicant‘s other prior felony convictions could have been properly substituted for the prior misdemeanor conviction. The trial court concluded that Applicant‘s
Issue Presented
Both Applicant and the State agree that Applicant has not forfeited his claim of illegal sentence based on an improper enhancement, but they base their arguments on different grounds. We agree with the State that “a defect that renders a sentence void may be raised at any time,”3 and we reject Applicant‘s contention that his claim is one of actual innocence with regard to the improper enhancement paragraph. We conclude that Applicant may raise his claim for the first time on an application for a writ of habeas corpus, even though he failed to raise the issue on direct appeal and pleaded true to the enhancement paragraphs.
Analysis
Under
The resolution of this case depends on whether Applicant‘s sentence is actually illegal. When the judge delivered the sentence based on the indictment before him, he acted within his authority and the law. It was not until the trial court discovered that one of Applicant‘s felony charges had been reduced to a misdemeanor offense that the problem with the sentence became known. Clearly, the trial judge himself did not knowingly act illegally when issuing Applicant‘s sentence of 25 years. However, since Applicant‘s delivery of a controlled substance offense was reduced to a misdemeanor, as a matter of law, the prior conviction could not be used to sentence him as a habitual offender. Applicant is currently serving the fourth year of an enhanced sentence of 25 years for driving while intoxicated, when the actual range of punishment for his offense with one prior felony conviction is 2 to 20 years.
Our precedents involving claims of illegal sentences have dealt with situations in which the illegality of the judgment was apparent from the facts before the trial court.6 Although the instant case involves
Because the record on appeal would not have shown that Applicant‘s sentence was illegal, it is appropriate for him to challenge it by applying for a writ of habeas corpus. Although habeas corpus is an extraordinary remedy, this is an extraordinary situation. Applicant‘s current sentence is more than ten times the minimum, and five years more than the maximum,
Furthermore, Applicant did not forfeit his claim by pleading true to the enhancement paragraphs at the plea proceedings. Despite the general rule that a plea of true to an enhancement paragraph relieves the State of its burden to prove a prior conviction alleged for enhancement and forfeits the defendant‘s right to appeal the insufficiency of evidence to prove the prior conviction,10 there is an exception when “the record affirmatively reflects” that the enhancement is itself improper. This exception originated in Sanders v. State, in which the Fourth Court of Appeals held that a prior non-final conviction could not be used to enhance punishment even where the defendant had pleaded true to the enhancement paragraph characterizing the prior offense as final. 785 S.W.2d 445, 448 (Tex.App.—San Antonio 1990, no pet.). “[I]n the interest of justice,” the court of appeals set aside the appellant‘s enhanced punishment and remanded the case to the trial court for the proper assessment of punishment. Id. Similarly, the Fourteenth Court of Appeals applied this exception to a case in which the offenses used for enhancement did not occur in the sequence alleged by the indictment. Mikel v. State, 167 S.W.3d 556 (Tex.App.—Houston [14th Dist.] 2005, no
There is a great disparity between the sentence of 25 years for which Applicant pleaded guilty and the possible sentences within the proper range of punishment which he could have received, either by pleading guilty or going to trial.12 When an appellate court finds error at the punishment stage of the trial, the case may be remanded to the trial court for the proper assessment of punishment. Levy v. State, 818 S.W.2d 801, 803 (Tex.Crim.App. 1991) (citing Jackson v. State, 680 S.W.2d 809, 814 (Tex. Crim.App.1984); Bullard v. State, 548 S.W.2d 13, 18 (Tex.Crim.App. 1977)). In cases in which a defendant enters a plea of guilty or nolo contendere without the benefit of a plea bargain and the trial judge assesses a punishment not authorized by law, the appropriate remedy is to allow the finding of guilt to remain and to remand the case for a new punishment hearing. Levy, 818 S.W.2d at 803. In non-plea bargain cases in which the defendants received sentences that were not authorized by law, such as Sanders and Mikel, the courts of appeals followed our precedent by affirming the appellants’ convictions and remanding the cases for the proper assessment of punishment.
Because Applicant was sentenced pursuant to a negotiated plea bargain and the error in the indictment affected the entirety of the criminal proceeding against him, his situation is dissimilar and requires a different remedy. Indeed, when a plea-bargain agreement calls for a sentence much greater than that authorized by law, we must allow the defendant to withdraw his plea because there is no way of knowing whether the State would have offered a plea bargain within the proper range of punishment that he deemed acceptable, or whether he would have decided to proceed to trial. Furthermore, resentencing alone is not sufficient in this instance because by “attack[ing] the sentence he received and for which he bargained, [Applicant] is attacking the entire judgment of conviction.” Shannon v. State, 708 S.W.2d 850, 851 (Tex.Crim.App. 1986) (holding that “the idea that error is ‘punishment error’ only is incompatible with the negotiated plea and we therefore disavow such analysis in this specific area.“). Although the plea bargain seemed fair on its face when executed, it has become unenforceable due to circumstances beyond the control of the Applicant or the State, namely the fact that one of the enhancement paragraphs was mischaracterized in the indictment, resulting in an illegal sentence far outside the statutory range of punishment. See id. at 852. Since neither the State nor the trial court has the authority to ensure compliance with a sentence that so greatly exceeds the statutory range of punishment, the proper remedy is to allow Applicant to withdraw his plea and remand the case to the trial court, putting both parties back in their original positions before they entered into the plea bargain.
Although Applicant bases his argument for relief on actual innocence grounds, we believe that it is not only unnecessary but incorrect to treat this case as if it involves such a claim. Because one of the enhancements underlying Applicant‘s sentence was proven to be untrue, Applicant has a claim that is similar to those advanced in actual innocence cases. However, Applicant‘s situation should be addressed as a claim of illegal sentence because the mischaracterization of his prior offense affected his sentence, rather than the trial court‘s determination of guilt. There is no evidence that Applicant is innocent of the delivery of the controlled substance offense alleged in the enhancement paragraph, and the mischaracterization of this misdemeanor conviction as a felony does not make him innocent of the primary offense of driving while intoxicated. While we have held that the incarceration of an innocent person is a violation of due process,13 Applicant‘s situation does not involve the traditional hallmarks of actual innocence claims—newly discovered evidence showing that the defendant is being wrongfully imprisoned for a crime that he did not commit. Applicant‘s incarceration beyond the maximum legal term does not suggest actual innocence of any offense,14 and we can afford him relief from his illegal sentence by applying our precedents and allowing an exception for his plea of true to the improper enhancement paragraph.
Conclusion
In Applicant‘s case, the allegation of a prior felony conviction in the first enhancement paragraph is not true. It was this improper enhancement that resulted in Applicant‘s illegal sentence of 25 years. In accordance with our precedents affording relief from an illegal sentence at any time, and by making an exception that excuses Applicant‘s plea of true to the enhancement paragraph, we conclude that Applicant is entitled to relief. The judgment in this cause is hereby vacated, and Applicant is remanded to the custody of the Sheriff of Denton County to answer the charges set out in the indictment.
WOMACK, J., filed a concurring opinion, in which JOHNSON and COCHRAN, JJ., joined.
KELLER, P.J., concurred.
WOMACK, J., filed a concurring opinion, in which JOHNSON and COCHRAN, JJ, joined.
I join the judgment of the Court, and I generally agree with the latter half of its
I do not agree that this case presents “a claim of illegal sentence based on an improper enhancement” (ante, at 510). The cases which the Court cites in the first half of its opinion are ones in which it granted relief from the portion of a judgment that contained a fine when the jury had not imposed a fine,1
and from the portion of a judgment that contained a fine when the punishment provision of the penal statute did not include a fine as an available punishment.2
There was no such lack of authority in this case.
The Court also finds support for its action in a case in which a punishment was illegal because it did not include a fine when the penal statute required a fine,3 cases in which the punishments for state-jail felonies were enhanced under statutes that did not apply to state-jail felonies,4 a case in which a fine was assessed when the statute did not provide for a fine,5 and a case in which the judgment probated the fine but not the confinement.6 The Court says that these cases were like today‘s case because the older cases were “situations in which the illegality of the judgment was apparent from the facts before the trial court,” while today‘s case merely “involves a different situation.”7
But the punishments in those cases were not illegal because of “facts before the trial court.” They were illegal because the punishments were unauthorized under the law, regardless of the facts of the cases. The illegalities were apparent on the faces of the judgments before the ink was dry. No reference to the facts before the court was involved, and no proof of new facts was involved. This is precisely why the cases the Court cites are different from today‘s case, in which there is nothing wrong on the face of the judgment against this applicant, and the merits of his claim could not be presented without proof of contradictory facts that are outside the record of his conviction. The instant case involves a judgment that seems legal but is false as a matter of fact, while the judgments in the case the Court cites in the first half of its opinion provided penalties that were unauthorized by law.
The indictment in this applicant‘s case alleged a sequence of prior convictions to enhance punishment. If the allegations were true, they would have authorized the punishment that he received. The applicant pleaded that the allegations were true. There is nothing unauthorized about the punishment. It just turns out, on further investigation, that the first enhancement paragraph alleging a prior felony conviction was not true.
The appropriate analogy is not to a case of unauthorized punishment; it is, I believe, to a case of actual innocence. In such a case, an indictment alleged facts that, if true, would have subjected a defen-
The second half of the Court‘s opinion is, in part, agreeable with this reasoning. It says (ante, at 511), “The resolution of this case depends on whether Applicant‘s sentence is actually illegal. When the judge delivered the sentence based on the indictment before him, he acted within his authority and the law. It was not until the trial court discovered that one of Applicant‘s felony charges had been reduced to a misdemeanor offense that the problem with the sentence became known.” If the Court‘s opinion began with this reasoning, which makes its earlier analysis unnecessary and inappropriate, I would join it.
The Court should do in this case as it has done in other cases in which district courts have entered judgments that were authorized by law but were based on findings of fact that turned out to be false. It should make no difference that this case involved a false sentencing fact rather than a false element-of-the-crime fact.
The Court‘s opinion says that this is not a case of actual innocence for two reasons. First, the applicant is not actually innocent of the offense for which he was previously convicted.8 Second, his “situation does not involve the traditional hallmarks of actual innocence claims—newly discovered evidence showing that the defendant is being wrongfully imprisoned for a crime he did not commit.”9
But he is actually innocent of being an habitual felony offender, and we know because of newly discovered evidence showing that he is being wrongfully imprisoned for a criminal history he did not have. This is much more closely analogous to our actual-innocence cases than it is to the unauthorized-sentence cases on which the Court bases its reasoning in the first half of its opinion.
I hope that when the bench and bar seek to follow the Court‘s decision in this case, they will decide to follow the reasoning of the latter half of the opinion.
I concur only in the judgment.
