In re C.O.S.
- Reporters:
- , , ,
- Before:
- Owen, Phillips, Hecht, Enoch, Abbott, Hankinson, O'Neill, Gonzales
Justice OWEN delivered the opinion of the Court, in which Chief Justice PHILLIPS, Justice HECHT, Justice ENOCH, Justice ABBOTT, Justice HANKINSON, Justice O‘NEILL and Justice GONZALES joined.
C.O.S., a juvenile, was adjudicated delinquent, given a determinate sentence, and remanded to the custody of the Texas Youth Commission. The court of appeals affirmed. In C.O.S.‘s appeal to this Court, he urges us to reverse and to remand this case for a new trial because the trial court failed to explain to him and his parent, guardian, or ad litem, as required by
I
The State alleged that C.O.S. engaged in delinquent conduct by committing aggravated sexual assault on two minors. C.O.S., who was 14 years old when the alleged conduct occurred, was brought before a juvenile court and pleaded “not true.” The trial court failed to give two of the explanations that
(b) At the beginning of the adjudication hearing, the juvenile court judge shall explain to the child and his parent, guardian, or guardian ad litem:
(1) the allegations made against the child;
(2) the nature and possible consequences of the proceedings, including the law relating to the admissibility of the record of a juvenile court adjudication in a criminal proceeding;
(3) the child‘s privilege against self-incrimination;
(4) the child‘s right to trial and to confrontation of witnesses;
(5) the child‘s right to representation by an attorney if he is not already represented; and
(6) the child‘s right to trial by jury.2
Also at issue is C.O.S.‘s waiver of a jury trial. During the
C.O.S. appealed, raising several points of error. In an en banc opinion, the court of appeals affirmed the trial court‘s judgment in all respects, with three justices dissenting.3 The court of appeals held that the trial court‘s failure to give the two statutory explanations in question was subject to a harm analysis and that the error was harmless under the circumstances presented in this case.4 The court reasoned that C.O.S. was given the right to confront witnesses and that he had done so.5 The court of appeals further concluded that the trial court‘s failure to explain the potential use of the record from these juvenile proceedings in a later criminal prosecution was not harmful error because C.O.S. contested the allegations of delinquency and presented a defense at trial.6 The court of appeals did not discuss C.O.S.‘s contentions that the trial court failed to adequately explain other matters encompassed by
II
The trial court‘s failure to explain the use of a juvenile record in future criminal proceedings and its failure to explain C.O.S.‘s right to confront witnesses was error.
The State does contend, however, that C.O.S. did not preserve his complaints for appeal. C.O.S. did not object at trial, call the omissions to the trial court‘s attention in a motion for new trial, or otherwise make the trial court aware of its error. C.O.S. first complained of the trial court‘s failure to give two of the explanations required by
A
We first consider the impact of an amendment to
(i) In order to preserve for appellate or collateral review the failure of the court to provide the child the explanation required by Subsection (b), the attorney for the child must comply with
Rule 52(a), Texas Rules of Appellate Procedure , before testimony begins or, if the adjudication is uncontested, before the child pleads to the petition or agrees to a stipulation of evidence.10
When C.O.S. was adjudicated delinquent and when
(a) General Rule. In order to preserve a complaint for appellate review, a party must have presented to the trial court a timely request, objection or motion, stating the specific grounds for the ruling he desired the court to make if the specific grounds were not apparent from the context. It is also necessary for the complaining party to obtain a ruling upon the party‘s request, objection or motion. If the trial judge refuses to rule, an objection to the court‘s refusal to rule is sufficient to preserve the complaint. It is not necessary to formally except to rulings or orders of the trial court.11
The new rule of appellate procedure that supersedes former
The State concedes that
The legislative history of
However, even were we to conclude that, by adding
B
Another reason for requiring a litigant in a civil case to lay a predicate in the trial court before pursuing an appeal is that “one should not be permitted to waive, consent to, or neglect to complain about an error at trial and then surprise his [or her] opponent on appeal by stating [a] complaint for the first time.”18 We explained in Pirtle v. Gregory, in the context of a purely civil matter, that instances of fundamental error are few:
Fundamental error survives today in those rare instances in which the record shows the court lacked jurisdiction or that the public interest is directly and adversely affected as that interest is declared in the statutes or the
Constitution of Texas .19
But a juvenile proceeding is not purely a civil matter. It is quasi-criminal,20 and different considerations obtain. Our general rules requiring preservation in the trial court are just that, general rules, and cannot be applied across the board in juvenile proceedings.
Although our civil rules of appellate procedure govern this appeal,21 the rule that addresses objections in the trial court,
Another distinct category of rights has been described by the Court of Criminal Appeals as “forfeitable.”28 Those are rights that the trial court has no duty to enforce unless requested.29 The “litigant‘s failure to speak up is quite enough” to waive these “forfeitable” rights.30 The Court of Criminal Appeals has held that failure to object waives error when a jury argument is improper even if the argument could not have been cured by
The trial court‘s error in this case falls into a third category described by the Court of Criminal Appeals. This category is comprised of rights that are waivable by the defendant but that have not been expressly and knowingly waived. The Court of Criminal Appeals has characterized these rights as “not forfeitable,” meaning that they cannot be lost by inaction but that they are “waivable” if the waiver is affirmatively, plainly, freely, and intelligently made.41 These include rights or requirements embodied in a statute that direct a trial court in a specific manner.
For example, a statute that provides that appointed counsel is entitled to ten days for pretrial preparation but that the ten-day period may be waived in writing or in open court has been held to bestow a “forfeitable” right to preparation time.42 Unless the defendant expressly waives the right to a ten-day preparation period, the failure of the trial court to allow that time may be raised for the first time on appeal even if appointed counsel proceeded to trial without objection.43
Other, earlier decisions of the Court of Criminal Appeals also indicate that when a trial court is statutorily required to give specific admonishments to a defendant, the complete failure to give the admonishment could be raised for the first time on appeal.44 However, if the trial court gave a partial but incomplete admonition, an objection must have been lodged in the trial court before the omission could be raised on appeal.45
Thus, our system may be thought to contain rules of three distinct kinds: (1) absolute requirements and prohibitions; (2) rights of litigants which must be implemented by the system unless expressly waived; and (3) rights of litigants which are to be implemented upon request. In the present context, the most important thing to remember about the Texas law of procedural default is that it only applies to the last category.47
We find the decisions of the Court of Criminal Appeals in this area instructive. We also believe it unwise and problematic to apply one preservation rule in adult, criminal proceedings and another, stricter rule in juvenile cases. Accordingly, we agree with the Court of Criminal Appeals that when a statute directs a juvenile court to take certain action, the failure of the juvenile court to do so may be raised for the first time on appeal unless the juvenile defendant expressly waived the statutory requirement.48
In this case, C.O.S. did not expressly waive his statutory right to have the trial court explain the use of a juvenile record in future criminal proceedings and his right to confront witnesses. Thus, C.O.S. may raise these matters for the first time on appeal. We note that we are not making any determination about error preservation in cases arising under the statute since its amendment in 1997. Having concluded that the trial court‘s errors are properly before us, we must determine whether these errors require reversal.
C
The court of appeals concluded that the trial court committed harmless error when it failed to explain to C.O.S. how the record in this proceeding might be used against him in the future and that C.O.S. had the right to confront witnesses. We agree with the court of appeals that these errors are subject to a harm analysis.49 We also agree that the errors are harmless under the facts of this case.
As the court of appeals observed, C.O.S. took full advantage of his right to confront witnesses. Under these circumstances, there was no harm.
With regard to the trial court‘s failure to explain the potential use of a juvenile record, the court of appeals held that there can never be harmful error if the juvenile pleads “not true.” We disagree. The court of appeals reasoned that if a juvenile is told that a finding of delinquency could be used against him or her in a subsequent criminal proceeding, the “only possible way to avoid the consequences of an adverse finding” would be to plead not true and contest the matter, which C.O.S. did.50 This analysis overlooks the fact that during the punishment phase of a criminal trial, a judge or jury may consider the range and severity of the defendant‘s prior criminal conduct. Armed with the knowledge that in a future criminal proceeding, the sentence can take into account the severity of the offense for
In this case, the record does not reflect any harm to C.O.S. There is no indication that if C.O.S. had been told how the record in this case might be used in the future, he could have avoided an adjudication of delinquency. Nor is there any indication that C.O.S. had the opportunity to plead to a lesser offense as the basis for adjudication. We turn to C.O.S.‘s other complaints regarding
III
C.O.S. acknowledges that the trial court gave explanations of the matters specified in
C.O.S. points to evidence that he was diagnosed as “an emotionally disturbed child” with “borderline intelligence.” However, the Family Code has specific provisions for determining if a juvenile alleged or found to have engaged in delinquent conduct is unfit to proceed as a result of mental illness or mental retardation.53 Neither C.O.S. nor his parents, guardian ad litem, or counsel attempted to invoke those provisions. Nor did C.O.S. complain to the trial court that he could not comprehend what had been said to him.
The trial court explained to C.O.S. in explicit detail the sexual assault allegations that had been leveled against him. The nature and consequences of the proceeding were also explained. C.O.S. was further told that because the petition had been approved by a grand jury, he could receive a determinate sentence of up to forty years. The trial court explained the other aspects of determinate sentencing as well. C.O.S. was told twice that he had the right to remain silent, and he was told that he need not take the witness stand to testify. When asked by the trial court if he understood this, C.O.S. replied, “Yes, ma‘am.” Moreover, counsel for C.O.S. and his guardian ad litem were present during all of these explanations and exchanges. Under these facts, the trial court adequately explained to C.O.S. and his guardian ad litem the matters required by
IV
Finally, C.O.S. contends that his waiver of a jury trial was ineffective because the trial court failed to explain the rights being waived and the possible consequences of the waiver as required by the Family Code.54 This contention likewise is not borne out by the record and has no merit.
C.O.S., his attorney, and his guardian ad litem signed a written waiver of jury trial with the consent and approval of the court. Further, the record demonstrates that the trial court asked C.O.S. in the presence of his attorney if he understood that he was entitled to a jury trial and inquired if he had waived that right. C.O.S. responded affirmatively to both questions. While such a colloquy is not necessary in every case, it conclusively demonstrates that C.O.S., his attorney,
C.O.S. argues that because his mother did not sign a waiver of a jury, his waiver should be nullified. Nothing in the Family Code or any other statute or rule requires a parent to sign a jury waiver in a juvenile proceeding before it is effective. C.O.S.‘s waiver of his right to trial by jury was validly executed by him, his counsel, and his guardian ad litem and did not require his mother‘s concurrence.
In his brief to the court of appeals, C.O.S. raised other issues that he did not mention in his petition for review in this Court and that he did not reserve for full briefing on the merits. After we granted C.O.S.‘s petition, he filed the brief he had submitted in the court of appeals in lieu of a brief on the merits in this Court, which he is entitled to do.55 However, our rules provide that only those issues that are identified in a petition for review are before this Court.56 C.O.S. has not sought to amend his petition to include all the issues that he raised in the court of appeals.57 Thus, C.O.S. presumably is not pursuing in this Court issues that were not raised in his petition. Accordingly, we have not considered any of the issues raised by C.O.S. in the court of appeals that were not raised in this Court.
We hold that the trial court‘s failure to explain that C.O.S. had the right to confront witnesses and the trial court‘s failure to explain that the record in this juvenile adjudication might be used against him in future, adult criminal proceedings were harmless errors under the facts of this case. We further hold that other statutorily required explanations were adequate and that the waiver of a jury was effective. Accordingly, we affirm the judgment of the court of appeals.
JUSTICE BAKER filed a concurring opinion.
Justice Baker, concurring.
I disagree with the analysis in this opinion but I concur in the judgment.