Ex parte Shay
Ex parte Shay
Dissenting Opinion
filed a dissenting opinion.
For the reasons expressed in my dissenting opinion in Ex parte Chang, 485 S.W.3d 918 (Tex. Crim. App. 2016) (Yeary, J., dissenting), I dissent to the Court granting post-conviction habeas corpus relief on the grounds that Applicant was convicted under a statute that was later declared to be unconstitutionally over-broad without deciding whether the statute was unconstitutional as applied to Applicant. This case illustrates the absurdity of granting retroactive relief regardless of whether the statute functioned unconstitutionally with respect to a particular applicant’s conduct.
Applicant was indicted for the offense of Improper Photography or Visual Record
In my dissent in Fournier, I argued that we ought to consider not automatically giving retroactive application to a judicial decision declaring a penal statute to be unconstitutionally overbroad under the First Amendment. Instead, I suggested that we should consider only granting post-conviction habeas corpus relief “to those applicants who can establish that their conduct did not fall within the plainly legitimate sweep of the overbroad statute.” 473 S.W.3d at 805 (Yeary, J., dissenting). I will not rehash the substance of my dissent here. I write further today only because this case illustrates the sensibleness of my suggestion.
In the plea papers, Applicant judicially confessed to the offense as alleged in the indictment, which simply charged an offense in the terms of the statute, the only elaboration being the name of the complainant. For its part, the State has attached a document to its answer which it designates as “Justice Information Management System probable cause, cause no. 1195055” (a number that corresponds to Applicant’s cause number). This document identifies a complainant with the same name as the complainant alleged in the indictment and describes (presumably to establish probable cause for an arrest warrant) the offense he committed against her. It states:
THE COMPLAINANT TOOK XANAX PILLS AND WHILE PASSED OUT JOSHUA GEHRER A 28 YEAR OLD MAN HAD SEX WITH THE COMPLAINANT, A 15 YEAR OLD GIRL. WHILE DEF. GEHRER WAS HAVING SEX WITH THE JUVENILE COMPLAINANT, THIS DEFENDANT TOOK VIDEOS OF THE ACT ON HIS PHONE.
This hardly seems to establish that the statute operated unconstitutionally as applied to Applicant’s particular conduct.
In Thompson, the Court recognized that the Improper Photography or Visual Recording statute may well cover some conduct that may legitimately be proscribed. The Court explained:
The State asserts an interest in protecting the privacy of those [persons] photographed or recorded. Privacy constitutes a compelling government interest when the privacy interest is substantial and the invasion occurs in an*740 intolerable manner. We agree with the State that substantial privacy interests are invaded in an intolerable manner when a person is photographed without consent in a private place, such as a home, or with respect to an area of the person that is not exposed to the general public, such as up a skirt.
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Subsection (b)(1) could ... be narrowed by adding an element that requires that a person’s privacy interest be invaded as a result of the place of the person recorded or the manner in which a visual recording is made.
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As we explained above, § 21.15(b)(1) does apply to the situation in which a non-consensual photograph is taken of a person in a private place, such as the home, and the situation in which a photograph is taken of an area of a person’s body that is not exposed to the public, such as when a photograph is taken up a woman’s skirt. Assuming these to be legitimate applications of the statute, we address the overbreadth question.
442 S.W.3d at 348-49 (footnotes omitted).
Likewise, if we assume that the statute has at least as much plainly legitimate sweep as we claimed in Thompson, I believe it to be undeniable that Applicant’s conduct, if accurately reflected in the “Justice Information Management System” document quoted above, clearly falls within it. In any event, Applicant has not alleged that the offense as he committed it does not fall within those possible applications of Section 21.15(b)(1) that are not unconstitutional.
For the reasons given in my dissenting opinions in Fournier and Chang, I would not grant Applicant relief retroactively, on authority of Ex parte Thompson, when he is challenging the constitutionality of the statute for the first time in post-conviction habeas corpus proceedings and his conduct was in no conceivable way justifiable as protected First
Amendment expression. Neither the statute nor the State has violated Applicant’s constitutional right to free speech, and society’s interest in preventing any chilling effect that might have been caused by Section 21.15(b)(1) has been adequately served. Automatically granting relief to Applicant under these circumstances is pointless.
I respectfully dissent.
. Prior to its amendment by Acts 2015, 84 th Leg., ch. 955, §§ 1, 2, eff. June 18, 2015, this provision read: "A person commits an offense if the person ... by videotape or other electronic means records ... a visual image of another at a location that is not a bathroom or private dressing room .,. without the other person's consent ... and ... with intent to arouse or gratify the sexual desire of any person[.]”
Dissenting Opinion
filed a dissenting opinion.
Applicant pled guilty to improper photography and received a two-year sen
A. Firearm Offense—Not a Collateral Consequence
To be entitled to post-conviction relief under Article 11.07,
Applicant has failed to establish that the proceedings in his felon-in-possession ease are a collateral consequence of this conviction. The charge of possession of a firearm by a felon does not depend on the continuing validity of the prior conviction that made the defendant a felon. Under the felon-in-possession-of-a-firearm statute, all that matters is that the defendant was classified as a felon at the time he possessed the firearm; any later decision setting aside that prior felony does not retroactively affect the defendant’s status for that purpose.
It is true that we have suggested that a statute that is declared unconstitutional on its face is “void from its inception” and “stillborn,”
B. Estoppel—Cannot Show Use of Prior Felony as a Collateral Consequence
But suppose that the continuing validity of the improper-photography conviction mattered because, for instance, it was being used simply to enhance punishment under Texas Penal Code § 12.42. The doctrine of estoppel would bar the applicant in this case from establishing collateral consequences because, absent the favorable plea agreement, it is very likely that he still would have had a felony conviction. The doctrine of estoppel can trump the ability to obtain relief even from the violation of an absolute requirement or prohibition.
Applicant received a favorable plea deal, to say the least: two years in state jail for improper photography and an agreement that the State would not prosecute him for aggravated sexual assault or child pornography. Aggravated sexual assault is a first-degree felony with a maximum life sentence.
Had applicant not obtained this extremely favorable deal, the State could have prosecuted him for aggravated sexual assault or child pornography, and if the evidence was in fact memorialized on video (as the conviction for improper photography suggests), then conviction would seem fairly certain, and in that event, applicant would still have had a felony conviction at the time he possessed the firearm. Our statement in Rhodes concerning the applicability of estoppel seems especially pertinent here: “Had he complained about the illegal leniency” at an earlier point in time, “the State could likely have obtained a legal judgment that would now be available for enhancement purposes. But instead, [the defendant] quietly enjoyed the benefits of the illegally lenient judgment, challenging it now only because, due to his own subsequent criminal conduct, the judgment can be used to enhance his punishment for a new offense.”
None of this might matter if applicant were imprisoned or on parole for this offense. As the Court explains, the invalidation of a facially unconstitutional statute that defines the offense would appear to deprive a trial court of subject matter jurisdiction over the offense. But applicant’s goal of obtaining relief on habeas is complicated by the fact that his sentence has discharged. To even mount his challenge to the conviction, he must first establish collateral consequences. We cannot even get to applicant’s subject-matter-jurisdiction claim until collateral consequences have been established. And the equities that the Court speaks about, with regard to an offense that should not exist because the statute is facially unconstitutional, are those that weigh in favor of a defendant currently being imprisoned or on parole. The equities seem to have much less force for a defendant whose sentence has already discharged and who would likely have been subject to a far greater sentence absent the plea bargain.
In summary, applicant is suffering no collateral consequences because he was in fact a felon at the time he possessed the firearm, and his status as a felon at that point in time is not affected by the subsequent invalidation of the improper-photography statute. And applicant is estopped from claiming the use of the prior conviction as a collateral consequence in this case because, absent the very favorable plea agreement he obtained, the State would in all likelihood have obtained a felony conviction that would now be available for use in his felon-in-possession-of-a-firearm prosecution. I would dismiss the application.
. TEX. CODE CRIM. PROC. art. 11.07.
. Ex parte Cooke, 471 S.W.3d 827, 830 (Tex. Crim. App. 2015); Ex parte Renier, 734 S.W.2d 349, 351 (Tex. Crim. App. 1987).
. TEX. CODE CRIM. PROC. art. 11.07, § 3(c); Cooke, supra; Ex parte Harrington, 310 S.W.3d 452, 457 (Tex. Crim. App. 2010).
. Ex parte Jimenez, 361 S.W.3d 679, 683-84 (Tex. Crim. App. 2012).
. Smith v. State, 463 S.W.3d 890, 895 (Tex. Crim. App. 2015).
. Korenev v. State, 281 S.W.3d 428, 431 (Tex. Crim. App. 2009) (quoting Chicot County Drainage Dist. v. Baxter State Bank, 308 U.S. 371, 374, 60 S.Ct. 317, 84 L.Ed. 329 (1940)) (internal quotation marks omitted).
. See Lewis v. United States, 445 U.S. 55, 64-65, 100 S.Ct. 915, 63 L.Ed.2d 198 (1980).
. 372 U.S. 335, 83 S.Ct. 792, 9 L.Ed.2d 799 (1963).
. See Lewis, 445 U.S. at 56, 65, 100 S.Ct. 915.
. See Nix v. State, 65 S.W.3d 664, 668 (Tex. Crim. App. 2001) (listing, as one of four errors in a nearly exclusive list of situations in which a criminal judgment is void, when “an indigent defendant is required to face crimi
. 956 S.W.2d 41, 42 (Tex. Crim. App. 1997). See also Harrington, 310 S.W.3d at 456 (habe-as applicant "must challenge either the fact or length of confinement”).
. 734 S.W.2d 349, 351 (Tex. Crim. App. 1987) (op. on applicant’s motion for reh’g) (emphasis in original).
. TEX, CODE CRIM. PROC. art. 11.07, § 5.
. See Harrington, 310 S.W.3d at 456; Lockett, 956 S.W.2d at 42.
. Gutierrez v. State, 380 S.W.3d 167, 177 (Tex. Crim. App. 2012).
. Tex. Penal Code § 22.021(e) (West 2008).
. Id. § 43.26(d).
. See Tex Code Crim. Proc. art. 42.08 (West 2008)
. Id. art. 62.001.
. Rhodes, 240 S.W.3d at 891. See also Cooke, 471 S.W.3d at 832 n.27 (quoting Rhodes).
Opinion of the Court
OPINION
delivered the opinion of the Court,
Does estoppel bar an applicant from seeking habeas corpus relief for a conviction based on a statute subsequently declared facially unconstitutional? We hold that it does not. We accordingly set aside Patrick Shay’s conviction and remand the cause to the trial court to dismiss the indictment.
I.
Pursuant to a plea bargain, Shay was convicted of improper photography or visual recording in violation of Texas Penal Code § 21.15(b)(1) and sentenced to two years’ confinement, the maximum confinement permitted for the state-jail felony. In consideration for Shay’s guilty plea, the State agreed not to file aggravated sexual assault or child pornography charges surrounding the same criminal episode. Shay’s writ application prays for habeas relief by relying on this Court’s opinion in Thompson v. State.
The State and the habeas judge recommended that this Court grant Shay relief under Thompson. We ordered Shay’s application be filed and set to determine whether an applicant, who negotiates a very favorable plea agreement resulting in a conviction for an offense later held to be unconstitutional, is estopped from challenging the conviction on the basis of its unconstitutionality.
II.
A.
Shay’s improper photography conviction has discharged, and he therefore is not physically confined by virtue of the challenged conviction. But because the State used Shay’s improper-photography conviction as a predicate for its later prosecution against him for being a felon in possession of a firearm, Shay suffers sufficient collateral consequences that we consider him “confined” for purposes of Texas Code of Criminal Procedure Article 11.07, § 3(c).
The dissent, however, would dismiss Shay’s application for failing to establish that the subsequent felon-in-possession case is a sufficient collateral consequence of his improper-photography conviction.
In this case, our Article 11.07 jurisdiction does not turn on whether a subsequent prosecution relying upon the contested conviction would be completely undermined if, upon review of the application’s merits, we were to grant relief. Shay’s potential culpability for the felon-in-possession offense is irrelevant to whether he demonstrates “any collateral consequences”
When the dissent merges the two unrelated issues, it discounts the inherent speculative nature of particular collateral consequences, at least to the extent that it would declare that relief must inevitably relieve the applicant of the pleaded collateral consequence. Harrington itself offers an illustration. In that case, our analysis began with the general rule that “a person who files a habeas-corpus application for relief from a final felony conviction must challenge either the fact or length of confinement.”
B.
Rhodes v. State was this Court’s seminal case applying the estoppel doctrine in barring certain claims.
Based solely on the written plea agreement, Shay negotiated what appears to be a “favorable” plea agreement. In pleading guilty to the maximum sentence for the state-jail felony, he avoided indictment for possession of child pornography and aggravated sexual assault, offenses exposing him to a maximum of ten years’ confinement and a life sentence, respectively.
We hold that the estoppel doctrines formulated and espoused by Rhodes are inapplicable to Shay’s request for relief under Thompson. When the statute supporting a charging instrument and judgment is rendered unconstitutional, the effect of that holding alters the balance of the equitable principles animating Rhodes’s formulation of estoppel—that a defendant should not accept the benefit of an agreement and the judgment it contemplates, only to challenge it later. Rhodes never contemplated a subsequent holding of unconstitutionality; it dealt with a statutorily too lenient punishment and easily identifiable “benefits” of a particular judgment. The equitable principles that applied fittingly in that context do not apply with equal force in this one.
In Smith v. State, decided a little over a year ago, the Court concluded that “an unconstitutional statute is void from its inception,” and that upon being declared
Because Smith tells us that Shay’s statute under which he was convicted “is as if it never existed,” then, as Shay argues in his brief, the statute’s “non-existence” undermines the trial court’s subject-matter jurisdiction as well. Indeed, Smith’s logic lends support to Shay’s argument: If there is no law supporting Shay’s conviction, then there is no law over which the district court had subject-matter jurisdiction
III.
We hold that Shay is not barred by estoppel from seeking relief based on the subsequent invalidation of the statute under which he was convicted. Therefore, because the statute supporting Shay’s conviction is unconstitutional and is considered non-existent, we set aside Shay’s conviction and remand the cause to the trial court to dismiss the indictment.
. 442 S.W.3d 325 (Tex. Crim. App. 2014).
. Id. at 349.
. Ex parte Shay, No. WR-84,007-01, 2015 WL 9243109 (Tex. Crim. App. Dec. 16, 2015) (not designated for publication).
. See Ex parte Harrington, 310 S.W.3d 452, 457 (Tex. Crim. App. 2010).
. Post, at 736 (Keller, P J., dissenting).
. Id. (citing Ex parte Jimenez, 361 S.W.3d 679, 683-84 (Tex. Crim. App. 2012)).
. Post, at 737 (Keller, P J., dissenting).
. TEX. CODE CRIM. PROC. art. 11.07, § 3(c).
. See Ex parte Harrington, 310 S.W.3d at 457 (holding that a showing of a collateral consequence, without more, sufficiently establishes confinement and triggers Article 11.07).
. Ex parte Harrington, 310 S.W.3d at 457. Accord Ex parte Renier, 734 S.W.2d 349, 353-54 (Tex. Crim. App. 1987) (dismissing "for want of jurisdictional requisites to granting relief, to wit: a final felony conviction and confinement”).
. Ex parte Harrington, 310 S,W.3d at 456 (citing Ex parte Lockett, 956 S.W.2d 41, 42 (Tex. Crim. App. 1997)).
. Id. at 457-58.
. Id. at 459-60.
. 240 S.W.3d 882, 889 (Tex. Crim. App. 2007).
. At at 892.
. Id. at 891.
. Id.
. Id.
. Id.
. See TEX. PENAL CODE §§ 22.021(e), 43.26(d) (West 2008).
. 463 S.W.3d 890, 895 (Tex. Crim. App. 2015) (citing Reyes v. State, 753 S.W.2d 382, 383 (Tex. Crim. App. 1988)) (internal quotations omitted).
. See id. at 895.
. Cf. Gutierrez v. State, 380 S.W.3d 167, 175-76 (Tex. Crim. App. 2012) (holding that a defendant could not "agree to submit to a condition of community supervision that the criminal justice system simply finds intolerable and which is therefore, by definition, not even an option available to the parties.”).
. See Rhodes, 240 S.W.3d at 891,
. Cf. Gutierrez, 380 S.W.3d at 177-78 (weighing Restatement (Second) of Contracts’ factors to conclude that Gutierrez’s deportation condition of her community supervision was unenforceable and that estoppel by contract did not apply).
. See Smith, 463 S.W.3d at 895. See also GEORGE E. DIX & JOHN M. SCHMOLE-SKY, 40 TEX. PRACTICE: CRIMINAL PRACTICE AND PROCEDURE § 4:13 (3d ed.) ("A statute creating a criminal offense that is constitutionally invalid deprives the court and any official acting on the basis of the invalid statute of the authority to act, including the subject-matter jurisdiction of the convicting court[.]”).
. See Ex parte Chance, 439 S.W.3d 918 (Tex. Crim. App. 2014).
Reference
- Full Case Name
- EX PARTE Patrick Taylor SHAY, Applicant
- Cited By
- 8 cases
- Status
- Published