Nix v. State
Nix v. State
Opinion of the Court
OPINION
delivered the opinion of the Court in
Appellant pled no contest to misdemean- or theft and was placed on deferred adjudication community supervision. No court reporter’s record was made of that proceeding,
On appeal of his sentence, appellant complained that his original plea had been taken in violation of his right to counsel and his right to a jury trial in the following respects:
(1) that the trial court did not inquire into whether he had knowingly and intelligently waived his right to counsel, (2) that the trial court violated the Code of Criminal Procedure and the state and federal constitutions by not advising him of the dangers of self-representation, and (3) that his waiver of a jury trial was invalid where the trial court initially did not appoint an attorney and where*667 Appellant had not effectively waived counsel.2
These claims were not raised before the trial court at the revocation hearing, nor were they made in appellant’s motion for new trial. Citing our decision in Manuel v. State,
On discretionary review, appellant advances two contentions: (1) that his claims on appeal fall within a “fundamental error” exception to the holding in Manuel, and (2) that Manuel ⅛ holding should not be applied retroactively. We will affirm.
A. Exceptions to Manuel
In Manuel, we stated that “a defendant placed on deferred adjudication community supervision may raise issues relating to the original plea proceeding, such as evi-dentiary sufficiency, only in appeals taken when deferred adjudication community supervision is first imposed.”
Appellant contends that caselaw relating to regular community supervision recognizes exceptions to the general rule that the original plea cannot be attacked on an appeal of the revocation proceedings. Because Manuel is based upon this caselaw, appellant concludes that these exceptions must carry over to the deferred adjudication context. This particular contention is well taken. Two of the regular community supervision cases cited by Manuel to support its holding — Whetstone and Traylor— explicitly recognized that there were exceptions to the general rule.
Our cases recognize two exceptions to the general rule, which exceptions we shall call (1) the “void judgment” exception, and (2) the “habeas corpus” exception. The void judgment exception recognizes that there are some rare situations in which a trial court’s judgment is accorded no respect due to a complete lack of power to render the judgment in question. A
But a judgment is void only in very rare situations — usually due to a lack of jurisdiction. In civil cases, a judgment is void only when there was “no jurisdiction of the parties or property, no jurisdiction of the subject matter, no jurisdiction to enter a particular judgment, or no capacity to act as a court.”
Moreover, for a judgment to be void, the record must leave no question about the existence of the fundamental defect. If the record is incomplete, and the missing portion could conceivably show that the defect does not in fact exist, then
Appellant has failed to allege an error that could render the original judgment of conviction void. All three of his claims turn on the theory that he was denied counsel or that a waiver of counsel was involuntary.
The habeas corpus exception essentially involves the litigation of a writ of habeas corpus at the probation revocation proceedings. Because probation is not considered to be a “final” conviction, an application for writ of habeas corpus filed during the pendency of revocation proceedings would be returnable to the trial court, whose ruling would be reviewable by a court of appeals and, ultimately, subject to a petition for discretionary review from this Court.
Today in Jordan, we overrule Warren and Carter to the extent those cases held that habeas corpus claims could be raised at a revocation hearing without actually filing a writ of habeas corpus application.
B. Retroactivity
The threshold question for any retroactivity analysis is whether the rule articulated is in fact a “new” rule.
Having found that the rule articulated in Manuel was a statutory interpretation, we turn to the standards for determining when a statutory interpretation constitutes a new rule. For an interpretation of a statute to be considered a new rule, that interpretation must have been preceded by an inconsistent interpretation viewed by this Court as authoritative.
Under the guidelines set forth, no prior inconsistent,' authoritative interpretation ever existed. This Court has never issued an interpretation of the amendments to Article 44.01(j) that conflicts with Manuel. In Dillehey, we discussed the possibility that our interpretation of the statute might give the defendant a right to two appeals of the plea proceedings, but we expressly held that such a question was not before us:
Finally we note the application of our holding to Art. 42.12 § 5(b)’s provision that after adjudication of guilt a defendant’s appeal continues as if the adjudication of guilt had not been deferred. A defendant who has appealed, say, a motion to suppress after he received deferred adjudication, who seeks to appeal that same matter again after he is adjudicated guilty, may under the plain wording of the article be authorized to do so. That question is not before us in this cose.33
Since Dillehey but before Manuel, we have decided several cases involving attacks on the original plea in an appeal after adjudication, but none of these cases addressed the propriety of raising original plea issues in a post-adjudication appeal.
Further, prior to Manuel, there existed no longstanding practice that had been uniformly approved by the lower courts. Only a few intermediate appellate cases clearly addressing the issue were decided between our decisions in Dillehey and Manuel. In 1992, the Dallas court held that original plea matters could be raised in a post-adjudication appeal,
Accordingly, we find that Manuel did not create a “new” rule, and we need not conduct a Stovall
The judgment of the Court of Appeals is affirmed.
WOMACK, J., filed a concurring opinion.
. The record contains a written waiver of the right to have a court reporter record the defendant’s plea.
. Nix v. State, No. 14-97-00377-CR at 2, 1999 WL 1041491 (Tex.App.—Houston [14th Dist.], November 18, 1999)(unpublished).
. 994 S.W.2d 658 (Tex.Crim.App. 1999).
. Mat 661-662.
. Id. at 661.
. Id. (emphasis added).
. Whetstone v. State, 786 S.W.2d 361, 363 (Tex.Crim.App. 1990); Traylor v. State, 561 S.W.2d 492, 494 (Tex.Crim.App. 1978). See Manuel, 994 S.W.2d at 661 (citing Whetstone and Traylor).
.In Daniels v. State, 30 S.W.3d 407 (Tex.Crim.App. 2000), we stated that the reporter's record from the original deferred adjudication proceeding was not necessary to the appeal's resolution because “appellant cannot now appeal any issues relating to the original deferred adjudication proceeding.” Id. at 408. However, in that case we did not confront a claim that a fundamental error exception — recognized in regular probation cases— was applicable.
. Ex Parte Patterson, 969 S.W.2d 16, 19 (Tex.Crim.App. 1998).
. Corley v. State, 782 S.W.2d 859, 860 n. 2 (Tex.Crim.App. 1989); Gonzales v. State, 723 S.W.2d 746, 747 n. 3 (Tex.Crim.App. 1987).
. Browning v. Placke, 698 S.W.2d 362, 363 (Tex. 1985).
. See Duron v. State, 956 S.W.2d 547, 550-551 (Tex.Crim.App. 1997)(failure to allege an offense because the Court cannot ascertain which offense is alleged); Cook v. State, 902 S.W.2d 471, 479-480 (Tex.Crim.App. 1995)(failure to charge a "person”). Past cases that specifically involve probation revocations referred to "fundamentally defective” indictments as being subject to attack on appeal from a revocation proceeding. Whetstone, 786 S.W.2d at 363; Traylor v. State, 561 S.W.2d at 494. Except for certain circumstances outlined by Duron and Cook, "fundamental” indictment errors have been eliminated by constitutional and statutory amendment. Studer v. State, 799 S.W.2d 263, 271-272 (Tex.Crim.App. 1990).
. Gallagher v. State, 690 S.W.2d 587, 588-589, 589 n. 1, 594 (Tex.Crim.App. 1985)(dis-trict court has exclusive jurisdiction of misdemeanor offenses involving official misconduct).
. See Wolfe v. State, 560 S.W.2d 686, 688 (Tex.Crim.App. 1978). For the judgment to be void, the record must show a complete lack of evidence to support the conviction, not merely insufficient evidence. Id. And a guilty plea constitutes some evidence for this purpose. Ex Parte Williams, 703 S.W.2d 674, 682 (Tex.Crim.App. 1986).
. Ex Parte Olvera, 489 S.W.2d 586, 589 (Tex.Crim.App. 1973); Ex Parte Felton, 815 S.W.2d 733, 737 (Tex.Crim.App. 1991); see also Custis v. United States, 511 U.S. 485, 496, 114 S.Ct. 1732, 128 L.Ed.2d 517 (1994)(discussing Gideon v. Wainwright, 372 U.S. 335, 83 S.Ct. 792, 9 L.Ed.2d 799 (1963)).
. Wolfe, 560 S.W.2d at 688.
. Id.
. Custis, 511 U.S. at 496, 114 S.Ct. 1732.
. Id.
. We do not address, at this juncture, whether a claim that a defendant’s waiver of counsel was involuntary shares the same quasi-jurisdictional status as a claim that the defendant was indigent, did not waive counsel, and the court failed to appoint one.
. Even if the record had been complete, appellant’s claims would likely be without merit. The plea papers contained the following statement initialed by appellant: "I am an attorney and have knowingly, intelligently, and voluntary [sic] decided to represent myself.” Moreover, a document titled “Agreed Setting” contains the written notation "wants to repr. self. Admonished of rights.” These statements would seem to be sufficient to show a valid waiver of counsel. Muniz v. State, 851 S.W.2d 238, 255 (Tex.Crim.App. 1993)(Valid waiver of counsel found when the following statement appeared in the plea papers: "I do not wish to have a lawyer represent me at this hearing and will represent myself”).
. See Rodriguez v. Court of Appeals, Eighth Supreme Judicial Dist., 769 S.W.2d 554, 557-559 (Tex.Crim.App. 1989); see also Tex.Code Crim. Proc., Art. 11.07, § 2, Art, 11.08, & Art. 11.09.
. Carter v. State, 641 S.W.2d 557, 557-558 (Tex.Crim.App. 1982)(trial court erred in refusing to allow the defendant to elicit evidence in support of a claim that counsel gave ineffective assistance at the original plea proceedings); Warren v. State, 744 S.W.2d 614, 614-615 (Tex.Crim.App. 1988)(court of appeals erred in refusing to address claim of ineffective assistance of counsel at the original plea proceedings when the issue was litigated at the revocation hearing).
. See Carter, 641 S.W.2d at 557; Warren, 744 S.W.2d at 615.
. Jordan v. State, 54 S.W.3d 783 (Tex.Crim.App.,2001).
. The dissent ignores our holding that appellant’s claim fails even under the habeas corpus exception formulated under prior law. While trial courts and this Court have habeas corpus jurisdiction, the courts of appeals do not. See Texas Code of Criminal Procedure, Article 11.05. All of the cases from this Court upon which the dissent relies (in her dissenting opinion in Jordan) were decided at a time when the courts of appeals possessed no criminal jurisdiction. This Court arguably had the power to treat a claim on direct appeal as a writ of habeas corpus, whether or not that claim was litigated at the trial level, but the courts of appeals have no such authority. To invoke a court of appeals’s appellate jurisdiction over habeas corpus matters under the old rule, a defendant must first have invoked the trial court's jurisdiction. Appellant failed to litigate, in any fashion, his claim before the trial court. Without even a "functional” writ of habeas corpus before the trial court, no appellate jurisdiction could lie in the Court of Appeals. Our holding today in Jordan is not necessary to the outcome of this case, but we refer to that holding to avoid creating any confusion in the law.
. Taylor v. State, 10 S.W.3d 673, 681 (Tex.Crim.App. 2000).
. Id.
. 815 S.W.2d 623, 624-627 (Tex.Crim.App. 1991).
. Manuel, 994 S.W.2d at 662 (emphasis in original).
. Taylor, 10 S.W.3d at 682.
. Id. (equating new rule with "clear break” concept articulated in previous Supreme Court precedent); id. at 678-679 (explaining the "clear break” exception from prior Supreme Court caselaw).
. 815 S.W.2d at 626 n. 7 (emphasis added).
. Brown v. State, 943 S.W.2d 35, 42-43 (Tex.Crim.App. 1997)(burden is upon the defendant, in a plea bargain situation, to prove that he was prejudiced by trial court’s failure to give deferred adjudication admonishments; failure to appeal at the time deferred adjudication is imposed is some evidence that the lack of admonishments did not affect the voluntariness of the plea); Martinez v. State, 981 S.W.2d 195 (Tex.Crim.App. 1998)(on appeal of sentence after adjudication, defendant claimed original plea was involuntary because he was not properly admonished in accordance with Texas Code of Criminal Procedure, Article 26.13; we found that the admonishments substantially complied- with the statute and the defendant failed to show harm); Marin v. State, 925 S.W.2d 720, 721 (Tex.Crim.App. 1996)(defen-dant appealed sentence upon adjudication claiming that failure to give deferred adjudication admonishments rendered his original plea involuntary; we held that, in an open plea, a defendant need not be informed prior to his plea of the possible consequences of a violation of deferred adjudication probation); Ray v. State, 919 S.W.2d 125 (Tex.Crim.App. 1996)(same); Price v. State, 866 S.W.2d 606 (Tex.Crim.App. 1993)(misdemeanor plea not rendered involuntary by failure to give deferred adjudication admonishments).
. See Watson v. State, 924 S.W.2d 711, 714 (Tex.Crim.App. 1996)(plea-bargain for deferred adjudication could, under the appellate rules, result in a limitation on the ability to appeal the sentence imposed upon revocation of deferred adjudication community supervision). Although unnecessary to the disposition of this case, we do note that Watson had been decided at the time appellant was given deferred adjudication.
. Edwards v. State, 835 S.W.2d 660, 663 (Tex.App.—Dallas 1992, no pet.).
. Smith v. State, 957 S.W.2d 571, 575-576 (Tex.App.—Dallas 1997, no pet.).
. Moss v. State, 938 S.W.2d 186, 190 (Tex. App. — Austin 1997, pet. ref'd); Holiday v. State, 983 S.W.2d 326, 327-328 (Tex.App.—Houston [1st Dist.] 1998, no pet.)(opinion on rehearing).
. Alejandro v. State, 957 S.W.2d 143, 144 (Tex.App.—Corpus Christi 1997, pet. ref'd); Manuel v. State, 981 S.W.2d 65, 67 (Tex.App.—Fort Worth 1998), affirmed, 994 S.W.2d 658 (Tex.Crim.App. 1999); Munson v. State, 987 S.W.2d 905, 906 (Tex.App.—Waco 1999, no pet.).
. Stovall v. Denno, 388 U.S. 293, 87 S.Ct. 1967, 18 L.Ed.2d 1199 (1967); see also Taylor, 10 S.W.3d at 681.
. The dissent "disagrees” with our conclusion that a retroactivity analysis is unnecessary because "[djespite the fact that we never explicitly held that the 'fundamental error' rule applied in the context of deferred adjudication, the logic of Manuel so dictated since, as noted above, Manuel’s holding was explicitly predicated on its equating ‘regular’ community supervision with deferred adjudication for purposes of appeal.” Dissent at-. The dissent misses the point. Appellant's claim in this case is that Manuel articulated a new rule, and we have shown that claim to be without merit. While Jordan does articulate a new rule — narrowing exceptions to the prohibition against collaterally attacking the original plea upon revocation — we engage in the appropriate retroactivity analysis in that case. And at any rate, appellant's claims fail under the old rule that Jordan replaces.
Concurring Opinion
filed a concurring opinion.
Today the Court holds that the appellant’s point of appeal does not fall within the “void judgment” exception to the rule against appealing an error that occurred when probation was granted, in an appeal after probation is revoked. See ante at 667-69. I join the Court’s opinion with the understanding that that holding does not foreclose consideration, in a proper case, of whether there should be a “void judgment” exception.
Dissenting Opinion
joined by MEYERS, PRICE and HOLLAND, JJ., dissenting.
In the instant case, appellant was placed on deferred adjudication and, following adjudication of his guilt, he brought challenges to his original plea, based on alleged violations to his right of counsel and right to a jury trial. Today, a majority of this court precludes him from bringing such claims. Because I believe that such claims may be brought, I respectfully dissent.
As I have noted elsewhere, our case law establishes that on appeal from an order revoking probation (i.e., “regular” community supervision), a defendant is permitted to bring a challenge to the original conviction when such a challenge was for “fundamental error.” Jordan v. State, 54 S.W.3d 783, 785-86 (Tex.Crim.App. 2001) (Johnson, J., dissenting). Because we have equated deferred adjudication with “regular” community supervision for purposes of appeal, logic dictates that this same rule of fundamental error apply in the context of deferred adjudication. See Manuel v. State, 994 S.W.2d 658, 661-2 (Tex.Crim.App. 1999); Jordan, 54 S.W.3d at 784-86.
Today, however, the majority denies relief to appellant by overruling our “fundamental error”/“habeas corpus” case law. Ante, at 669-70; Jordan, 54 S.W.3d at 784-87. I have noted my dissent to this action. Jordan, 54 S.W.3d at 787-89 (Johnson, J., dissenting).
The majority then goes on to declare that neither its decision today nor Manuel created a “new rule,” so that a retroactivity analysis is unnecessary. Ante, at 670-72. I disagree. Despite the fact that we never explicitly held that the “fundamental error” rule applied in the context of deferred adjudication, the logic of Manuel so dictated since, as noted above, Manuel's holding was explicitly predicated on its equating “regular” community supervision with deferred adjudication for purposes of appeal.
Based on the foregoing, as well as my dissent in Jordan, I dissent.
. The majority also states that "a judgment is void only in very rare situations — usually due to a lack of jurisdiction.” Ante, at 668. This statement is questionable in light of the Court’s recent decision in Ex parte Seidel, 39 S.W.3d 221 (Tex.Crim.App. 2001).
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