Lead Opinion
OPINION
In the suit underlying this interlocutory appeal, C.I. seeks declaratory and injunc-tive relief from efforts by state and local officials to require him to register under the Texas sex offender registration program (“SORP”) of Chapter 62 of the Texas Code of Criminal Procedure. See generally Tex. Code Crim. Proc. Ann. arts. 62.001-.408 (West 2006 & Supp. 2016). Appellant, Steven McCraw, in his official capacity as the Director of the Texas Department of Public Safety, appeals from an order of the trial court denying his plea to the jurisdiction. For the reasons set forth below, we affirm the trial court’s ruling.
Background
The facts underlying this case are undisputed. In 1986, C.I. pled guilty to the offense of Indecency with a Child in the Criminal District Court of Jefferson County, Texas. That court accepted the plea, substantiated C.I.’s guilt, and, pursuant to article 42.12 of the Code of Criminal Procedure as it then existed, “deferred] further proceedings without entering an adjudication of guilt” and “place[d] [C.I.] under [community] Supervision for a period of ten (10) years,” subject to various conditions of probation. C.I. successfully eom-pleted the full term of his probation, and in 1996, the Criminal District Court entered an order dismissing the case against him. In 2014, the Beaumont Police Department contacted C.I. and notified him, for the first time, that he was required to register as a sex offender. C.I. is listed by the Texas Department of Public Safety (DPS) on the State’s sex offender registry as having been convicted of indecency with a child in its online database,
C.I. filed suit against DPS
Standard of Review
A plea to the jurisdiction is a dilatory plea that challenges a trial court’s authority to decide a case on the merits. Bland Indep. Sch. Dist. v. Blue,
Analysis
In three issues, McCraw argues that: (1) he has not waived sovereign immunity; (2) C.I.’s plea agreement and successful completion of deferred adjudication do not nullify the requirement that C.I. register.as a sex offender; and (3) C.I. cannot obtain a declaratory judgment on an issue arising under a penal statute. We will address the issue concerning the applicability of the SORP requirements first, as the resolution of that issue controls the question of sovereign immunity in this matter.
1, Requirement of Registration After Successful Deferred Adjudication
The Texas legislature first enacted the sex offender registration statutes in 1991. Act of May 26, 1991, 72nd Leg., R.S.,- ch. 572, §§ 1, 4-5, 1991 Tex. Gen. Laws 2029-32 (originally located at Tex. Rev. Civ. Stat. Ann. art. 6252-13c.l) (amended, codified, and redesignated); Rodriguez v. State,
In 1997, the Legislature redesignated the statute as Chapter 62 of the Code of Criminal Procedure, and for the first time, made the registration requirements retroactively applicable to any “reportable conviction or adjudication occurring on or after September 1, 1970....” Act of June 1, 1997, 75th Leg., R.S., ch. 668, § 1, 1997 Tex. Gen. Laws 2253, 2260 (originally codified at Tex. Code Crim. Proc. art. 62.11) (repealed 2005). However, that legislation also included an “uncodified ‘savings clause’ ” that limited the retroactive application to individuals who were, as of September 1, 1997, incarcerated in a penal institution or under state supervision. A^ct of June 1, 1997, 75th Leg., R.S.,- ch. 668, § 11, 1997 Tex. Gen. Laws 2253, 2264; Reynolds v. State,
Similarly, in its current form, Chapter 62 imposes a duty to register upon any person who has “a reportable conviction or adjudication occurring on or after September 1, 1970,” and defines a reportable conviction or adjudication as “a conviction or adjudication, including an adjudication of delinquent conduct or a deferred adjudication, that, regardless of the pendency of an appeal, is a conviction for or an adjudication for or based on ... a violation of [sjection ... 21.11 (Indecency with a child), ... Penal Code.” Tex. Code Crim. Proc. Ann. art. 62.001(5)(A) (West Supp. 2016), 62.002(a), (b). Thus, the law is clear that current successful completion of deferred adjudication for particular offenses does not relieve an offender of a duty to register under the SORP. However, interpretation of the SORP in its current form, or even its 2005 form, does not end the inquiry, as C.I.’s initial Deferred Adjudication Order was entered in July 1986, and his case was dismissed without adjudication in June 1996. Therefore, determining the status of C.I.’s case for purposes of the SORP requires an analysis of the provisions of the Code of Criminal Procedure under which C.I.’s case was originally probated, then dismissed.
Consistent with the SORP’s current registration requirement after deferred adjudication, the Code of Criminal Procedure now expressly prohibits courts from dismissing proceedings against a defendant after the successful completion of a term of community supervision for a charge of indecency with a child. Tex. Code Crim. Proc. Ann. art. 42A.lll(b) (West 2017) (“the judge may not dismiss the proceedings and discharge a defendant charged with an offense requiring the defendant to register as a sex offender under Chapter 62.”) However, at the time that C.I. was placed on community supervision, the statute in effect provided that:
On expiration of a probationary period imposed under Subsection (a) of this section, if the court has not proceeded to adjudication of guilt, the court shall dismiss the proceedings against the defendant and discharge him.... A dismissal and discharge under this section may not he deemed a conviction for the purposes of disqualifications or disabilities imposed by law for conviction of an offense, except that upon conviction of a subsequent offense, the fact that the defendant had previously received probation shall be admissible before the court or jury to be considered on the issue of penalty.
Act of May 21, 1985, 69th Legis., R.S., ch. 427, § 1, sec. 3d(c), 1985 Tex. Gen. Laws 1531, 1534 (amended 1999 and recodified 2017) (current version at Tex. Code Crim. Proc. Ann. art. 42A.lll(b)) (emphasis added). As of June 1996, when C.I.’s case was dismissed without an adjudication of guilt, the nondiscretionary mandate for a trial court to dismiss and discharge proceedings without “disqualifications or disabilities” remained unchanged.
Our conclusion on this issue is consistent with the holding and the reasoning of our sister court in Hall v. State,
In finding that the retroactive registration requirements of the SORP did not apply to cases that had been dismissed, the court in Hall relied heavily on Cuellar v. State,
2. Sovereign Immunity
We now turn to McCraw’s argument that he is entitled to sovereign immunity in his official capacity, and that he has not waived immunity. Sovereign immunity protects the State from lawsuits for money damages unless the Legislature has expressly waived immunity and consented to suit. State v. Holland,
The DJA is a remedial statute designed “to settle and to afford relief from uncertainty and insecurity with respect to rights, status, and other legal relations....” Tex. Civ. Prac. & Rem.Code Ann. § 37.002(b) (West 2015). While it is not a general waiver of immunity, it does waive immunity for certain claims. Tex. Parks & Wildlife Dep’t v. Sawyer Trust,
McCraw argues that sovereign immunity applies because he was acting in his official capacity pursuant to the authority granted to, and the duty imposed upon, DPS under article 62.005 of the Code of Criminal Procedure. See Tex. Code Crim. Proc. Ann. art. 62.005(a) (West Supp. 2016) (requiring DPS to “maintain a computerized central database containing the information required for registration under [the SORP]”). Underpinning this argument is McCraw’s interpretation of the SORP to include C.I.’s criminal case as a “reportable conviction” that requires registration as a sex offender regardless of C.I.’s successful completion of deferred adjudication. See Tex. Code Crim. Proc. Ann. art. 62.001(5)(a). However, because we have determined that C.I.’s 1986 case was dismissed without a conviction and that he therefore had no duty to register under the SORP, we find that DPS’s reporting of C.I.’s case as a conviction and McCraw’s actions seeking to compel C.I. to register were ultra vires acts, for which sovereign immunity does not apply to deprive the trial court of jurisdiction. See In re Smith,
3. Characterization of the SORP as a Criminal Statute
In his third issue, McCraw argues that “[a] declaratory judgment is not available to determine the status, rights or other legal relationships arising under a penal statute.” Civil courts generally do not “have jurisdiction to enjoin the enforcement of, or issue a declaratory judgment determining the constitutionality of, [penal statutes].” State v. Morales,
Moreover, suggesting that C.I.’s only remedy at law is to wait until he is arrested and prosecuted for failing to register before he can assert his claims ignores that C.I.’s petition alleged, and McCraw has not disputed, that DPS’s online public records reflect the disposition of C.I.’s dismissed 1986 case as a conviction, and C.I. has sought injunctive relief to compel McCraw to reform the records to reflect the proper disposition of that case.
For these reasons, we overrule McCraw’s third issue.
Conclusion
Because we find that C.I. has pled a facially valid claim that McCraw was acting without legal authority, ultra vires, by reporting CJ.’s 1986 criminal case as a conviction and by seeking to require C.I. to.register as a sex offender, we conclude that the trial court did not err in denying McCraw’s plea to the jurisdiction.
AFFIRMED.
Notes
. C.I subsequently dismissed DPS as a party in his amended pleadings.
. C.I. has not appealed the trial court’s ruling regarding the pleas to the jurisdiction of Sin-gletary and the City of Beaumont.
. In 1995, the Legislature did narrow this provision somewhat to provide limitation's on the early discharge of a defendant charged with certain offenses, including indecency with a child; however that change applied only to a defendant charged with an offense after September 1, 1995. See Act of May 26, 1995, 74th Leg., R.S., ch. 256, §§ 2, 7(b), 8, 1995 Tex. Gen. Laws 2190, 2191.
. Although the record before us contains no evidence that DPS’s records do, in fact, identify the disposition of C.I.’s 1986 case as a conviction rather than dismissal, we accept the undisputed allegation as true for purposes of C.I.’s pleadings of jurisdictional facts.
Dissenting Opinion
dissenting.
I respectfully disagree with the majority. In my opinion, the trial court erred in denying the plea to the jurisdiction.
When a party files an interlocutory appeal of a trial court’s ruling on a plea to the jurisdiction, the appeals court “may not weigh the claims’ merits but must con
According to C.I., he is currently registered as a sex offender. And, based on the record before us, this interlocutory appeal does not involve the review of an administrative decision by the DPS. Additionally, this case does not involve an appeal from a criminal proceeding. Rather, this is an interlocutory appeal of the trial court’s ruling on a plea to the jurisdiction.
In the underlying civil suit, C.I. describes his claims in his First Amended Petition as a “declaratory judgment” and request for “injunctive -relief,” claiming the requirement that he register as a sex offender constitutes a breach of his plea agreement. He alleges that the State of Texas has imposed sex offender registration requirements and demanded “specific performance based on the contract for something that was not contracted to.” At no point in the First Amended Petition does C.I. assert an ultra vires claim against McCraw. C.I. merely requests declaratory relief and injunctive relief as to his rights and obligations under the plea agreement, and he asks the trial court to declare that he is not required to register as an offender. C.I. does not make a constitutional challenge to the statute, nor does he challenge the validity of the statute.
“ ‘Reportable conviction or adjudication’ means a conviction., or adjudication, including an adjudication of. delinquent conduct or a deferred adjudication, that, regardless of the pendency of.an appeal, is a conviction for or an adjudication for or based on: ... a violation of Section ... 21.11 (Indecency with a child)[.]” Tex. Code Crim. Proc. Ann. art. 62.001(5)(A) (West Supp. 2016). In 1993, the SORP was amended to specifically include “a deferred adjudication” in the definition of “reportable conviction or adjudication!.]” See Act -of May 30,1993, 73rd Leg., R.S., ch. 866, § 1,1993 Tex. Gen. Laws 3420, 3420. However, the Legislature in 1993 expressly provided that the article applied only to‘reportable convictions or adjudications that occurred on or after September 1, 1991, and to an order of deferred adjudication entered on or after September 1,1993. See Act of May 30,1993, 73rd Leg., R.S., ch. 866, § 3,1993 Tex. Gen. Laws 3420, 3420-21, Under the law as amended in 2005, the Legislature expressly provided that the statute applies to individuals with reportable convictions or adjudications that occurred on or after September 1, 1970. See Act of May 26, 2005, 79th Leg., R.S., ch. 1008, § 1.01, art. 62.002, 2005 Tex. Gen. Laws 3385, 3388 (current version at Tex. Code Crim. Proc. Ann. art. 62.002 (West 2006)) (this chapter applies to a reportable conviction or adjudication occurring on or after September 1, 1970); Act of May 26, 2005, 79th Leg., R.S., ch. 1008, § 4.01(a), 2005 Tex. Gen. Laws 3385, 3422 (providing that the changes to Chapter 62 apply to offenses committed or engaged in before, on, or after the effective date of the Act). In my opinion, the SORP registration requirements apply to C.I. because he has a “reportable conviction or adjudication” that occurred on or after September 1,1970.
As a. general rule, a party may not obtain a judicial construction of a penal law
It is now well settled that sex offender registration programs like Chapter 62 are civil and remedial in nature, and may be applied retroactively to sex offenders. See Smith v. Doe,
I find Cuellar v. State,
I also conclude that CJ.’s pleading fails to assert a viable claim against McCraw for which sovereign immunity has been waived. Where no claim is made that the regulation being challenged is invalid, the Declaratory Judgments Act does not waive governmental immunity to allow a party to obtain a trial court’s interpretation of otherwise valid statutes or ordinances. See Tex. Dep’t of Transp. v. Sefzik,
Therefore, I would hold that the trial court erred in denying the plea to the jurisdiction and I would reverse and render judgment for McCraw.
. As noted in Cuellar v. State, a felon who successfully completes community supervision and obtains a discharge has still been convicted of a felony,
. See City of El Paso v. Heinrich,
