Ex Parte Rich
Ex Parte Rich
Opinion of the Court
delivered the opinion of the Court,
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 Rich
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 Ap
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,”
Analysis
Under Article 11.07 of the Texas Code of Criminal Procedure, post-conviction habeas relief is available for claims involving jurisdictional defects and violations of fundamental or constitutional rights. See Ex parte McCain, 67 S.W.3d 204, 210 (Tex.Crim.App. 2002). We have long held that a claim of an illegal sentence is cognizable on a writ of habeas corpus. Mizell v. State, 119 S.W.3d 804, 806 (Tex.Crim.App. 2003); Ex parte Pena, 71 S.W.3d at 336-37; Ex parte Beck, 922 S.W.2d 181, 182 (Tex.Crim.App. 1996); Ex parte McIver, 586 S.W.2d 851, 854 (Tex.Crim.App. 1979). An illegal sentence is distinguishable from a procedural irregularity
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.
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,
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.
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 “attackfing] 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.
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 mischar-acterization 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,
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.
. There is a discrepancy in the spelling of Applicant's name. The indictment and judgment against him list his name as "David Alan Rich”; his attorney in this action refers to him as "David Allen Rich"; and his name is listed in his application for a writ of habeas corpus as "David Alen Rich.” We have decided to spell his name as it appears in the indictment and the judgment against him.
. A habitual offender is a person shown to have "previously been finally convicted of two felony offenses, and the second previous felony conviction is for an offense that occurred subsequent to the first previous conviction having become final ...” Tex Penal Code. Ann. § 12.42(d) (Vernon’s Supp. 2001). On conviction, a habitual offender "shall be punished by imprisonment in the institutional division of the Texas Department of Criminal Justice for life, or for any term of not more than 99 years or less than 25 years.” Id.
. "A 'void' or ‘illegal’ sentence is one that is not authorized by law.” See Ex parte Pena, 71 S.W.3d 336, 337 (Tex.Crim.App. 2002) (citing Ex parte Johnson, 697 S.W.2d 605, 606-07 (Tex.Crim.App. 1985)).
. See Ex parte Seidel, 39 S.W.3d 221, 224 (Tex.Crim.App. 2001) ("While a judgment is merely ‘voidable for irregularity,’ it is 'void for illegality.’ ” (citing Ex parte White, 50 Tex. Crim. 473, 98 S.W. 850, 851 (Tex.Crim.App. 1906))).
.See Ex parte Pena, 71 S.W.3d at 336-37 ("[A] claim that a judgment is inaccurate, which is neither a claim of jurisdictional defect nor of a violation of constitutional or fundamental rights, is not a basis for habeas relief under article 11.07 of the Texas Code of Criminal Procedure.”).
. See Mizell, 119 S.W.3d at 805 (affirming the court of appeals' decision that a fine of "$0” was not a valid sentence under a statute ^vyhich provided for punishment by "a fine not
. Ex parte Wingfield, 162 Tex.Crim. 112, 282 S.W.2d 219 (1955) ("if the error was in the entry of judgment and not in the pronouncement, the judgment was not void and was subject to correction by nunc pro tunc proceedings.”).
. It is unnecessary to undertake a harm analysis in the instant case. It is obvious that Applicant has suffered harm because the improper enhancement of his sentence resulted in punishment beyond the statutory maximum.
. While our holdings in Ex parte Nelson, 137 S.W.3d 666 (Tex.Crim.App. 2004), and Ex parte Townsend, 137 S.W.3d 79 (Tex.Crim. App. 2004), limit the ability of inmates to bring claims on habeas corpus that they could have raised on direct appeal, the facts of Applicant’s case do not present this situation. We have said that inmates may not use the writ of habeas corpus as a substitute for appeal, but in a case where the original record does not show the problem with the proceedings or the punishment, habeas may be used as a substitute for a motion for new trial. In fact, in ineffective assistance of counsel cases, we have said that the preferred method to present these claims is to submit an application for writ of habeas corpus. See, e.g., Robinson v. State, 16 S.W.3d 808, 810 (Tex.Crim.App. 2000).
. Harvey v. State, 611 S.W.2d 108, 111 (Tex.Crim.App. 1981); see also O’Dell v. State, 467 S.W.2d 444 (Tex.Crim.App. 1971); Latta v. State, 507 S.W.2d 232 (Tex.Crim.App. 1974); Dinn v. State, 570 S.W.2d 910 (Tex.Crim.App. 1978); Graham v. State, 546 S.W.2d 605 (Tex.Crim.App. 1977).
. We also note that the First Court of Appeals, in an unpublished opinion, extended this exception to any case in which the record shows that the prior conviction could not have been used for enhancement purposes, despite the defendant’s plea of true to the enhancement paragraphs. Cruz v. State, No. 01-00-00463-CR, 2001 WL 1168273, at *1, 2001 Tex.App. LEXIS 6654, at *1 (Tex.App.Houston [1st Dist.] Oct. 4, 2001, no pet.) (not designated for publication) (despite appellant’s plea of true to the prior felony conviction of credit card abuse, this conviction could not be used to sentence appellant as a habitual offender because the offense was a state jail felony, which may not be used for enhancement purposes under Tex. Pen.Code Ann. § 12.42(e) as a matter of law).
. While we do not know for sure, Applicant seemed to believe that he was getting a good deal from the State when he was offered the minimum sentence within the range of punishment for a habitual offender. If his prior conviction for the delivery of a controlled substance offense had been properly characterized in the indictment, the State may not have offered him the minimum sentence of 2 years for a second-degree felony, and there would have been no reason for him to accept a plea bargain that gave him the maximum sentence he could have possibly received by going to trial. Although it is impossible to predict with any certainty what sentence he would have received, it probably would have been in the middle section of the 2 to 20 year range, making his illegal sentence of 25 years very disparate.
. Ex parte Elizondo, 947 S.W.2d 202, 205 (Tex.Crim.App. 1996).
. Id. at 209 (defendant bears burden of showing that newly discovered evidence unquestionably establishes his innocence).
Concurring Opinion
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,
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,
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.
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.
. Ex parte Pena, 71 S.W.3d 336 (Tex.Cr.App. 2002) (cited ante, at 511 n. 3).
. Ex parte Johnson, 697 S.W.2d 605 (Tex.Cr.App. 1985) (cited ibid..).
. See ante, at 511-12 n. 6 (citing Mizell v. State, 119 S.W.3d 804 (Tex.Cr.App. 2003) (sentence of "$0” was not authorized by law prescribing punishment of "a fine not exceed $4,000”)).
. See ibid, (citing Ex parte Miller, 921 S.W.2d 239 (Tex.Cr.App. 1996) (enhancement of state-jail-felony punishment was not authorized by statute); Ex parte Beck, 922 S.W.2d 181 (Tex.Cr.App. 1996) (same)).
. See ibid, (citing Ex parte Johnson, 697 S.W.2d 605 (Tex.Cr.App. 1985)).
. See ibid, (citing Ex parte Mclver, 586 S.W.2d 851 (Tex.Cr.App. 1979)).
.Ante, at 511-12.
. Ante, at 515.
. Ibid.
Reference
- Full Case Name
- Ex Parte David Allen RICH, Applicant
- Cited By
- 313 cases
- Status
- Published