ALCALA, J., announced the judgment of the Court and delivered an opinion in which KELLER, P.J., PRICE and KEASLER, JJ., joined.
In deciding the petition for discretionary review filed by Mauricio Celis, appellant, we address three jury-charge complaints. First, we determine that the offense of falsely holding oneself out as a lawyer, as it applies here, does not require an instruction as to a culpable mental state beyond the intent expressly prescribed by the plain language in that statute. See TEX. PENAL CODE § 38.122. Second, we conclude that appellant was not entitled to an instruction on a mistake-of-fact defense because his requested instruction did not negate the culpability required for the offense. See TEX. PENAL CODE § 8.02(a). Third, we hold that the court of appeals properly determined that the trial court's instruction on the definition of "foreign legal consultant" was not an improper comment on the weight of the evidence. See TEX.CODE CRIM. PROC. art. 36.14. We affirm.
It is undisputed that, although appellant was never licensed to practice law in Texas or any other jurisdiction, he continuously held himself out as a lawyer in Texas over a period of several years in a lucrative business.
Appellant was charged with 23 counts of falsely holding himself out as a lawyer in violation of Texas Penal Code Section 38.122, which, hereafter, we refer to as the "false-lawyer statute." TEX. PENAL CODE § 38.122. With respect to a culpable mental state, the trial court's instructions required the jury to determine only whether appellant intended to obtain an economic benefit for himself in holding himself out as a lawyer. The instructions did not include a culpable mental state with respect to the remaining elements that alleged that appellant had held himself out as an attorney, was not currently licensed to practice law, and was not in good standing with the State Bar of Texas and other applicable authorities. Tracking the language of the false-lawyer statute, the charge instructed, in relevant part,
See TEX. PENAL CODE § 38.122. In declining to instruct the jury on an additional culpable mental state, the court overruled appellant's request to add the word "intentionally" before the phrase "did then and there" so as to require the jury to find that he intended every element of the offense. The trial court also overruled appellant's request for a mistake-of-fact instruction on his alleged mistaken belief that he was licensed to practice law by, and in good standing with, the licensing authority of Mexico.
The charge defined "good standing," stating,
Appellant objected to the instruction defining the term "foreign legal consultant" as an improper comment on the weight of the evidence, which the trial court overruled. The jury found appellant guilty on 14 counts and assessed a 10-year sentence for each offense, probated for 10 years.
On appeal, appellant challenged the trial court's overruling of his three jury-charge complaints. The court of appeals upheld the trial court's rulings, determining that the statute's culpable mental state was limited to the intent to obtain an economic benefit; that no mistake-of-fact instruction was required; and that the trial court properly defined the term "foreign legal consultant." We granted review of appellant's three jury-charge issues.
In his first issue for discretionary review, appellant contends that the court of appeals erred by overruling his challenge to the trial court's denial of an instruction on a culpable mental state beyond the one prescribed in the statute. As on direct appeal, he contends that the statute defining the offense of falsely holding oneself out as a lawyer is silent on the requirement of a culpable mental state and does not plainly dispense with one, and that the trial court, therefore, was required to instruct as to one. Celis v. State, 354 S.W.3d 7, 27 (Tex.App.-Corpus Christi 2011) (citing TEX. PENAL CODE §§ 6.02,
The trial court must give the jury a written charge that sets forth the law applicable to the case. TEX.CODE CRIM. PROC. art. 36.14. A charge that does not set out all of the essential elements of the offense is fundamentally defective. Martin v. State, 200 S.W.3d 635, 639 (Tex. Crim.App.2006); Zuckerman v. State, 591 S.W.2d 495, 496 (Tex.Crim.App.1979). Appellate review of claims of jury-charge error involves a determination of whether the charge is erroneous and, if it is, a harm analysis. Kirsch v. State, 357 S.W.3d 645, 649 (Tex.Crim.App.2012). Because there is no charge error in this case, we need not conduct a harm analysis.
"If the definition of an offense does not prescribe a culpable mental state, a culpable mental state is nevertheless required unless the definition plainly dispenses with any mental element." TEX. PENAL CODE § 6.02(b); see also Aguirre v. State, 22 S.W.3d 463, 472 (Tex.Crim.App.1999). Therefore, the two pertinent questions are whether the statute defining the offense of holding oneself out as a lawyer prescribes a culpable mental state and, if not, whether a mental state is nevertheless required. This Court has enumerated several factors that courts may consider "in deciding whether the legislature meant to impose liability without fault or, on the other hand, really meant to require fault though it failed to spell it out clearly." Aguirre, 22 S.W.3d at 475. Factors relevant to this case include (1) the language of the statute and (2) the nature of the conduct regulated, the risk of harm to the public, and the defendant's ability to ascertain facts. Id. at 475-76.
Statutory "words and phrases shall be read in context and construed according to the rules of grammar and common usage." TEX. GOV'T CODE § 311.011(a); Tovar v. State, 978 S.W.2d 584, 586 (Tex.Crim. App.1998). It is well settled that the complete omission from a statute of any mention of intent will not necessarily be construed as eliminating that element from an offense. Aguirre, 22 S.W.3d at 471. However, the prescription of a mental state as to certain portions of a statute, but not as to others, is compelling evidence that the Legislature intended to dispense with a mental state as to the latter. Id. at 473 (observing that "omission of a culpable mental state from only one of the four sections was a clear implication of the legislature's intent to dispense with a mental element in that section").
The statute describing the offense of holding oneself out as a lawyer states,
TEX. PENAL CODE § 38.122(a). It is plain from the structure of the text in Subsection (a) that the only mental state prescribed — "with intent" — modifies and applies only to the element "to obtain an economic benefit for himself or herself." Id. The most natural grammatical reading of the statute suggests that that mental state does not extend to either (1) the element set forth after that phrase, i.e., "the person holds himself ... out as a lawyer," or (2) the elements expressed in the subsequent dependent clause beginning with "unless," i.e., the licensing and good-standing requirements. See id. In other words, the statute does not expressly prescribe a mental state as to anything other than acting to obtain an economic benefit. This prescription of a mental state as to one element and not as to others sufficiently demonstrates the Legislature's intent to dispense with a mental state as to those other elements. See Aguirre, 22 S.W.3d at 473; see also Ex parte Smith 645 S.W.2d 310, 311-12 (Tex. Crim.App.1983) (holding that theft statute requires only statutorily prescribed intent "to deprive the owner of property" and not "an independent culpable mental state" with respect to appropriating property without owner's consent). We are unpersuaded by appellant's argument that the Legislature must more expressly indicate its intent to dispense with a culpable mental state than by its specific inclusion of a culpable mental state as to some elements and its exclusion of that requirement as to others.
In other cases involving grammatically similar statutes, we have construed prescription of a mental state only as to some elements as evincing legislative intent to dispense with a mental state as to other elements. In Long v. State, in which we interpreted the "stalking statute,"
Furthermore, we note that the statute first defines holding oneself out as a lawyer for profit as criminal, followed by the subordinate conjunction "unless." TEX. PENAL CODE § 38.122. This indicates that the Legislature intended to criminalize the conduct "unless" certain criteria are met. See id. In short, the statute defines conduct as unlawful unless other circumstances exist. This further indicates that the Legislature did not intend for a mental state to apply to the circumstances set forth in the statute that render the otherwise unlawful conduct lawful.
The statute at issue in this case is substantially analogous to the ordinance construed in Tovar v. State, in which this Court held that criminal liability may be imposed without proof of a culpable mental state for certain types of conduct that place upon a person a duty to understand and comply with applicable legal requirements. 978 S.W.2d at 587. Interpreting the Closed Meeting Act,
Like the ordinance in Tovar, the false-lawyer statute delineates a mental state, though not a traditional mens rea, or "criminal intent." See Tovar, 978 S.W.2d at 590. This statute, which applies to those who hold themselves out as lawyers for economic gain, evinces a legislative intent to impose a duty of care upon those who engage in that conduct. See TEX. PENAL CODE § 38.122. The statute, therefore, regulates conduct for which "special skill and attention may reasonably be demanded." See Aguirre, 22 S.W.3d at 475 n. 44. The special skill of practicing law (and representing oneself as a lawyer) has long been subject to the attention of, and strict regulation by, the States.
The plain language reveals the Legislature's intent to impose upon those who hold themselves out as lawyers for an economic benefit a duty to know and comply with applicable regulations, enforceable by criminal penalties.
We conclude that the plain language of the false-lawyer statute requires proof of a mental state only as to the economic-benefit element and plainly dispenses with any additional culpable-mental-state requirement. TEX. PENAL CODE § 38.122. It imposes upon those who hold themselves out as lawyers a duty to be aware of, and comply with, statutory requirements. This interpretation is supported by the statutory language and policy considerations and does not yield an absurd result. The trial court, therefore, did not err in instructing as to only the mental state expressly prescribed in the statute.
Appellant argues that the false-lawyer statute is analogous to statutes that we have interpreted as requiring a culpable mental state as to the nature of the conduct, the result of the conduct, or the circumstances surrounding the conduct, citing in support McQueen v. State, 781 S.W.2d 600 (Tex.Crim.App.1989). In McQueen, we construed the statute defining unauthorized use of a motor vehicle, which provides, "A person commits an offense if he intentionally or knowingly operates another's boat, airplane, or motor-propelled vehicle without the effective consent of the owner." Id. at 603 (citing TEX. PENAL CODE § 31.07(a)). We held that "a culpable mental state applies to whether the defendant knew his use of the motor vehicle was without the effective consent of the owner." Id. McQueen, however, is distinguishable in two ways. First, the language of that statute was ambiguous as to whether the prescribed mental state modified only the conduct element "operates" or also modified the circumstance element, without the owner's consent.
Second, critical to the McQueen analysis was that the conduct regulated by the statute — operating another's motor-propelled vehicle — is an "otherwise lawful act" that becomes criminal only under certain circumstances, namely, when done without the owner's consent. Id. at 604. Declining to construe the statute as dispensing with a mental state as to that element, we observed that "[t]o require culpability only as to the otherwise lawful act of operating a vehicle wholly fails to safeguard conduct that is without guilt from condemnation as criminal." Id. We, therefore, concluded that this was a "circumstances" type offense, which requires application of a culpable mental state to the criminalizing circumstances. Id. at 603. By contrast, holding oneself out as a lawyer for economic gain is not an "otherwise lawful act"; rather, as previously discussed, it is conduct that has long been subject to a host of strict regulations that is prohibited "unless" a person complies with those numerous regulations. See TEX. PENAL CODE § 38.122. Unlike McQueen, the "circumstances" in this case — licensing and good standing with the proper authorities — render an otherwise unlawful act — holding oneself out as a lawyer for profit — lawful. We conclude that, in this case, the Legislature intended to limit the mental-state requirement to the economic-benefit element and to dispense with it as to the other statutory elements.
Appellant contends that, in Satterwhite v. State, this Court held that the offense of holding oneself out as a lawyer required proof of a culpable mental state beyond intent to obtain an economic benefit. 979 S.W.2d 626 (Tex.Crim.App.1998). In Satterwhite, this Court stated, "The record before us reflects that appellant intentionally and knowingly violated [the false-lawyer
Appellant next contends that construing the false-lawyer statute as dispensing with a mental state as to the licensing and good-standing elements would violate a defendant's due-process rights and, therefore, could not have been the Legislature's intent. However, appellant's cited cases focus not on due process, but on determining congressional intent in construing federal statutes. See Morissette v. United States, 342 U.S. 246, 248, 72 S.Ct. 240, 96 L.Ed. 288 (1952) (construing congressional intent as requiring proof of intent in conversion statute); United States v. X-Citement Video, Inc., 513 U.S. 64, 68, 115 S.Ct. 464, 130 L.Ed.2d 372 (1994) (child-pornography statute requires knowledge of victim's age); Staples v. United States, 511 U.S. 600, 618, 114 S.Ct. 1793, 128 L.Ed.2d 608 (1994) (gun-registration statute requires knowledge of type of gun possessed). Here, in examining the false-lawyer statute, we have determined that the Legislature intended to dispense with a culpable mental state as to the licensing and good-standing requirements.
The court of appeals, therefore, did not err in upholding the jury charge, which instructed only as to the statutorily prescribed mental state of intent to obtain an economic benefit. See Celis, 354 S.W.3d at 28. We overrule appellant's first issue.
In his second issue, appellant contends that the court of appeals erred by overruling his challenge to the trial court's denial of a mistake-of-fact instruction. Id. The court of appeals held that appellant's alleged mistake did not negate the kind of culpability required for commission of the offense as statutorily required. Id. at 29 (citing TEX. PENAL CODE § 8.02(a)). That mistake, according to the court of appeals, may have been a mistake of law, but appellant
A defendant is entitled to an instruction on any defensive issue raised by the evidence, whether that evidence is weak or strong, unimpeached or uncontradicted, and regardless of how the trial court views the credibility of the defense. Allen v. State, 253 S.W.3d 260, 267 (Tex. Crim.App.2008). The statute governing the mistake-of-fact defense provides that it is "a defense to prosecution that the actor through mistake formed a reasonable belief about a matter of fact if his mistaken belief negated the kind of culpability required for commission of the offense." TEX. PENAL CODE § 8.02(a). When he raises evidence of a mistaken belief as to the culpable mental state of the offense, a defendant is entitled to an instruction on mistake of fact upon request. Beggs v. State, 597 S.W.2d 375, 378 (Tex.Crim.App. 1980); Granger v. State, 3 S.W.3d 36, 41 (Tex.Crim.App.1999); Giesberg v. State, 984 S.W.2d 245, 246 (Tex.Crim.App.1998).
"By `kind of culpability' is meant `culpable mental state.'" Beggs, 597 S.W.2d at 378. In Beggs, this Court determined that Beggs was entitled to an instruction on the defense of mistake of fact if there was evidence that, through a mistake, she formed a reasonable belief about a matter of fact and her mistaken belief would negate her intent or knowledge. Id. The instruction on mistake of fact, therefore, applies only with respect to elements that require proof of a culpable mental state. Id.
Since Beggs was decided over 30 years ago, this Court has always applied mistake of fact to only culpable mental states. See McQueen, 781 S.W.2d 600; Willis v. State, 790 S.W.2d 307, 314 (Tex.Crim.App.1990); Miller v. State, 815 S.W.2d 582, 585 (Tex. Crim.App.1991); Granger, 3 S.W.3d at 41. We respectfully disagree with the suggestion in the concurring opinion by the Honorable Judge Cochran that suggests that, in Thompson v. State, 236 S.W.3d 787 (Tex.Crim.App.2007), the Court expanded the Beggs definition for "kind of culpability" so that it would apply to elements that do not require proof of a culpable mental state. See Beggs, 597 S.W.2d at 378. In Thompson, the Court discussed the history of the mistake-of-fact instruction by examining the Model Penal Code and the proposed revised Texas Penal Code, concluding that, although these codes differ in many respects, certain elements from both codes were incorporated into our current law. Thompson, 236 S.W.3d at 799. Mistake of fact as defined in the Model Penal Code was applied to transferred-intent situations but rejected in other respects.
Judge Cochran primarily relies on law that is over a century old to suggest that we should abandon our precedent of the last 30 years in favor of the law as it existed in the distant past. Her suggestion that mistake of fact should apply to additional elements beyond the defendant's culpable mental state would alter practically every offense in the Texas Penal Code in a way that has not been recognized in Texas for over 30 years. She describes her "practical test for whether a defendant is entitled to a mistake-of-fact defense" by asking, "If the facts were as the defendant mistakenly believed them, would he be innocent of the charged offense?" Under this interpretation, a jury would be instructed to acquit a defendant who had a reasonable but mistaken belief about any element in an offense, even those elements that do not require proof of a culpable mental state. Under this approach, if a defendant charged with aggravated robbery of a person 65 years of age or older produced evidence that he believed the person was 64 years of age, then the jurors would be instructed to acquit him of aggravated robbery if they believed he was reasonably mistaken as to that fact. See id. § 29.03. Similarly, with respect to the statute defining the offense of felony murder, which dispenses with a culpable mental state, Judge Cochran's approach would have required acquittal if a defendant had a mistaken and reasonable belief that he was not committing an act clearly dangerous to human life. See Lomax, 233 S.W.3d at 304 (construing TEX. PENAL CODE § 19.02(b)(3)). Furthermore, with respect
Perhaps there may be an instance in which a statute is unconstitutional as applied to a defendant because a jury is not permitted to consider his mistaken, reasonable belief about a matter, but that situation is not before us here: appellant has not challenged the constitutionality of this statute, and, as Judge Cochran agrees, these facts do not support his appellate claim pertaining to mistake of fact. See Lambert v. California, 355 U.S. 225, 229, 78 S.Ct. 240, 2 L.Ed.2d 228 (1957) (striking down registration ordinance that did not require proof of mental state of duty-to-register element as due-process violation). It would seem improvident to abandon this Court's decades-old precedent in the present case, in which no constitutional violation has been alleged and which presents no error in the trial court's failure to include an instruction on mistake of fact. We should not abandon precedent based on non-binding dicta. See Woolridge, 827 S.W.2d at 905. Nothing in this case compels us to abandon the precedent of the past 30 years.
Appellant's alleged mistaken belief was that he was licensed and in good standing to practice law in Mexico. We have determined, however, that the only culpable mental state set forth in the false-lawyer statute is intent to obtain an economic benefit. See TEX. PENAL CODE § 38.122(a). Because that statute does not require proof of a culpable mental state as to the licensing or good-standing elements, the mistake-of-fact instruction appellant sought did not negate the kind of culpability required for the offense. See TEX. PENAL CODE § 8.02(a); Granger, 3 S.W.3d at 41; see also Murchison v. State, 93 S.W.3d 239, 252 (Tex.App.-Houston [14th Dist.] 2002, pet. ref'd) (appellant not entitled to mistake-of-fact instruction because his alleged mistake did not negate culpability required by statute); Gant v. State, 814 S.W.2d 444, 453 (Tex.App.-Austin 1991, no pet.) (same). The court of appeals did not err, therefore, in upholding the trial court's denial of appellant's requested charge. Celis, 354 S.W.3d at 29. We overrule appellant's second issue.
In his third issue, appellant argues that the court of appeals erred in upholding the jury instruction that included "foreign legal consultant" as a definition of "good standing with the State Bar of Texas" under the false-lawyer statute. Id. at 31. He contends that this instruction constituted an improper comment on the weight of the evidence in violation of Texas Code of Criminal Procedure Article 36.14. See TEX.CODE CRIM. PROC. art. 36.14 (prohibiting judicial comments on weight of evidence). He contended that the definition should be limited to the definition of "member in good standing with the State Bar of Texas" provided in the State Bar Rules. See TEX. STATE BAR RULES art. 1, § 6. Disagreeing, the court of appeals observed that the definition of "foreign legal consultant" is set forth in the Rules Governing Admission to the Bar of Texas, which the court held is the definition in the State Bar Rules for "good standing" as it applied to this case. Celis, 354 S.W.3d at 30-31 (citing
The trial court must give the jury a written charge "setting forth the law applicable to the case; not expressing any opinion as to the weight of the evidence, not summing up the testimony, discussing the facts or using any argument in his charge calculated to arouse the sympathy or excite the passions of the jury." TEX.CODE CRIM. PROC. art. 36.14. We have held that, if a jury instruction is derived from the penal code, it is generally permitted because it is the applicable statute and, therefore, the "applicable law," as required by Article 36.14. Kirsch, 357 S.W.3d at 651.
Unless statutorily permitted, a trial court may not comment on the weight of the evidence. Id. at 651-52. Non-statutory instructions, even when they are neutral and relate to statutory offenses or defenses, generally have no place in the charge. Id. at 652.
More specifically, the trial court may instruct on the definition of certain terms but not others. It must instruct on statutorily defined terms as the law applicable to the case. See TEX.CODE CRIM. PROC. art. 36.14. By contrast, it is generally impermissible to instruct on terms not statutorily defined, and the trial court instead must permit the jury to construe them according to the rules of grammar and common usage. See TEX. GOV'T CODE § 311.011; Kirsch, 357 S.W.3d at 650. However, a trial court may define a statutorily undefined term that has an established legal definition or that has acquired a technical meaning that deviates from its meaning in common parlance. See Medford v. State, 13 S.W.3d 769, 771-72 (Tex.Crim.App.2000) (proper to instruct jury on definition of "arrest" because it is "a technical term possessing a long, established history in the common law, and it would be inappropriate if jurors arbitrarily applied their personal definitions of arrest"); see also TEX. GOV'T CODE § 311.011(b) ("Words and phrases that have acquired a technical or particular meaning ... shall be construed accordingly.").
Appellant correctly observes that the term "in good standing" is not defined in the false-lawyer statute. See TEX. PENAL CODE § 38.122. The trial court, therefore, should not have defined it in the jury charge unless it has an established legal definition or has acquired a technical meaning. See Kirsch, 357 S.W.3d at 650; Medford, 13 S.W.3d at 771-72. It has. The term "in good standing" is a technical term because it has "acquired a peculiar and appropriate meaning in the law" and may not be construed according to the traditional rules of grammar and common usage. Medford, 13 S.W.3d at 772. The instruction on the definition of that term, therefore, was not a comment on the weight of the evidence. See TEX.CODE CRIM. PROC. art. 36.14.
Appellant, however, also challenges the accuracy of the definition provided by the jury instructions. Because the false-lawyer statute does not provide a definition of that term, we must look beyond that statute to determine whether the definition included in the charge was erroneous.
The trial court's charge instructed the jurors that they could find that appellant was in good standing under the statute if they found that he was "certified to practice in Texas as a Foreign Legal Consultant by the Texas Board of Law Examiners," which it defined as "someone certified
The definition in the State Bar Rules defines "member in good standing" as that term applies to people who are members of the State Bar of Texas, but this definition was inapplicable because appellant never claimed to be a member of the Texas Bar. The State Bar Rules define a "member in good standing" as "someone who meets and complies with all applicable requirements of the Rules of the Supreme Court of Texas governing admission to the bar of Texas, and who is not in default of payment of dues and who is not under suspension from practice." Id. Because appellant does not contend that he is a member of the State Bar, the trial court correctly declined to limit its instruction to the definition of "a member in good standing."
Although appellant was not a member of the Texas Bar, he could practice law in Texas if, among other requirements, he was "in good standing with the State Bar of Texas." TEX. PENAL CODE § 38.122. In the Rules Governing Admission to the Bar of Texas, Rule XIV sets forth requirements for the practice of law in Texas by a person licensed in a foreign jurisdiction. See RULES GOVERNING ADMISSION TO THE BAR OF TEX. Rule XIV. That Rule indicates that the "Court may certify to practice in Texas as a legal consultant ... a member in good standing of a recognized legal profession in a foreign country" and that such a person (1) "may render legal services in Texas in the manner and to the extent permitted by the jurisdiction in which such person is admitted to practice," and (2) is "considered a lawyer affiliated with the Bar of Texas...." Id. at §§ 1(a), 3, 4. The Director of Eligibility and Examination for the Texas Board of Law Examiners testified that a person meeting this criteria was considered to be in good standing with the State Bar. Therefore, the instruction provided a legally correct definition of "good standing" under the Rules and, because raised by the evidence, was the law applicable to the case. See id.; TEX.CODE CRIM. PROC. art. 36.14.
We hold that the charge properly instructed the jury as to the "foreign legal consultant" criteria within the definition of "in good standing." In fact, because appellant claimed at trial that he believed he was licensed in Mexico and not that he believed he was licensed in Texas, this was the only way in which the jury could have found that he was "in good standing" under the statute. See TEX. PENAL CODE § 38.122. The court of appeals did not err, therefore, in upholding this instruction. Celis, 354 S.W.3d at 30-31. We overrule appellant's third issue.
We conclude that appellant has failed to show error in the jury charge. We affirm the judgment of the court of appeals.
KELLER, PJ., filed a concurring opinion in which PRICE and KEASLER, JJ., joined.
COCHRAN, J., filed a concurring opinion in which WOMACK and JOHNSON, JJ., joined.
MEYERS and HERVEY, JJ., did not participate.
I write separately to respond to Judge Cochran's contention that the mistake-of-fact defense applies to elements of an offense other than the culpable mental state. Her position conflicts with the language of the Penal Code, contradicts legislative history, and would produce a sea-change in our law.
Mistake of fact is a defense only if the defendant's mistake "negated the kind of culpability required for the commission of the offense."
Any ambiguity in this regard is resolved when one looks to other provisions of the Penal Code that use the word "culpability." The Penal Code's general definition section says that "element of offense" means:
When the words used in the mistake-of-fact defense (culpability required) are also used to define an element of the offense (required culpability), we should conclude that the culpability to which the defense refers is the culpability that is an element of the offense, i.e., the culpable mental state required by the offense.
Moreover, the definition of "element of the offense" distinguishes the "required culpability" from the forbidden conduct and from any required result. What this means is that "required culpability" must refer to the defendant's culpable mental state, and not to his guilt of the offense as a whole.
Penal Code § 6.02 is titled "Requirement of Culpability."
Prior cases from our Court have construed the mistake-of-fact defense to apply only if the mistake negated the culpable mental state.
Judge Cochran candidly acknowledges that the Practice Commentary to § 8.02 contradicts her position. The Practice Commentary states: "Mistake of fact constitutes a defense only if it negates the culpable mental state. Thus, Subsection (a) overturns the line of cases recognizing mistake of fact as a defense to public welfare offenses that impose strict liability."
But we observed that "the mistake of fact defense appears to incorporate elements from both the Model Penal Code [upon which the proposed code was based] and the prior version of the Texas Penal Code,"
The relevant difference between the "culpability" language in the current mistake-of-fact statute and its counterpart in the proposed code is that the proposed code specified the culpable mental states to be negated ("intent, knowledge, recklessness, or criminal negligence").
Judge Cochran relies upon the Mose Green case
In cases decided since the enactment of the new statute in 1974, the Court has said that the mistake must negate a culpable mental state required for the charged offense.
In Billy Ray Green v. State, the defendant was charged with public lewdness, occurring in a booth in an adult bookstore.
In Mays v. State, the defendant was charged with capital murder for killing peace officers.
Judge Cochran's position conflicts with our prior pronouncements in earlier cases and conflicts specifically with the holdings in Billy Ray Green and Mays. She relies heavily upon Thompson, but Thompson's holding with respect to the mistake-of-fact defense is entirely consistent with the conclusion that the defense applies only if the mistake negates the culpable mental state required for the offense. When the State seeks to transfer a culpable mental state from one offense to another, the mistake-of-fact defense may be available to negate the culpable mental state for the unintended, transferee offense.
Judge Cochran gives some examples of offenses to which she believes the mistake-of-fact defense should apply, but in most, if not all, of those cases, a culpable mental state attaches to the element about which a mistake might be made. For instance, Dangerous Dan goes moose hunting but shoots a person by mistake and, under Judge Cochran's theory of mistake-of-fact, he is not guilty of murder.
Judge Cochran cites theft as a classic example of the application of mistake of fact to an element — without consent — to which a culpable mental state does not attach, but under McClain, the required culpable mental state includes the owner's lack of consent.
Judge Cochran acknowledges that her rule would cause the mistake-of-fact defense to apply to strict liability, public welfare offenses. In essence, her view would eliminate strict liability offenses in Texas except where a statute explicitly provides that mistake of fact is not a defense. Her view would also eliminate strict liability elements within other offenses, many of which were created long after this Court had construed the mistake-of-fact defense as applying only when the mistake negates the culpable mental state. For example, for capital murders of children under age six,
And if we adopted not just Judge Cochran's rule, but the entirety of her reasoning, defendants would be adversely affected in ways that the legislature never anticipated. A hunting accident that, until now, would have been considered at most to be criminally negligent homicide or manslaughter would become murder if the defendant honestly, but unreasonably, thought he was shooting a deer instead of
The "interests of stare decisis are at their height for judicial constructions of legislative enactments upon which the parties rely for guidance in conforming to those enactments."
With these comments, I join the Court's opinion.
COCHRAN, J., filed a concurring opinion, which WOMACK, and JOHNSON, JJ., joined.
I agree that the offense of falsely holding oneself out as a lawyer contains only one culpable mental state, the intent to obtain an economic benefit.
I believe that the plurality mistakenly equates the phrase "negates the kind of culpability required for the offense" with the phrase "negates the culpable mental state." The Legislature knew the difference between those two concepts and carefully chose its phrasing in defining the mistake-of-fact defense in the 1974 Penal Code.
Appellant was charged with 23 counts of falsely holding himself out as a lawyer. The evidence at trial showed that appellant was an investigator for a personal-injury attorney in Corpus Christi. After having expressed his desire to become a lawyer for several years, he hung a framed "license" on his office wall one day in 2000. Appellant claimed to have received his "license" after graduating from Universidad Regiomontana in Monterrey, Mexico, in 1999. This was while he was working full-time as an investigator in Corpus Christi.
In 2005, appellant formed CGT Law Group International
The evidence at trial showed that appellant was not a lawyer, had never been a lawyer in either Mexico or the United States, had not attended law school, and was not licensed as a lawyer in either Mexico or the United States. Appellant's civil-lawsuit testimony established that appellant did not have a United States law license or a Mexican "cedula,"
The jury convicted appellant of fourteen counts of falsely holding himself out as a lawyer and sentenced him to ten years' probation and a $10,000 fine on each count.
The court of appeals rejected appellant's eighteen points of error, including three issues related to the jury charge, and affirmed the trial court's judgment.
According to that court, a person who has taken all reasonable steps to ensure compliance with the legal attorney-licensing requirements and who reasonably believes that he is authorized to practice law in Texas is nonetheless subject to significant criminal punishment even though his mistaken belief negates the kind of culpability required for the offense and he is morally blameless. This cannot be. And it is not a correct interpretation of the law.
The history of the Texas mistake-of-fact provision was summarized by Presiding Judge Keller in Thompson v. State.
This statute (or its predecessor, Article 45
There were two distinct situations in which no instruction on a reasonable mistake of fact instruction was given to the jury: (1) when the mistake went to the felonious intent — the culpable mental state; in that situation any honest mistake, even a stupid one, was sufficient to exonerate the defendant;
In Thompson, we made "three important observations" about this statutory defense:
We noted that the distinction between mistakes that relate to the culpable mental state (for which no instruction is necessary and for which the defendant need not show his mistake was a reasonable one)
In Green, the defendant was charged with stealing hogs; his defense was that he thought that he owned the hogs. The defendant was entitled to an acquittal if he honestly believed he had a claim of right to the hogs, even if that was an unreasonable belief, because it rebutted any intent to steal.
The lesson from Green is that an honest mistake that negates the statutory culpable mens rea need not be reasonable, but an honest mistake that concerns a different element of the offense, such as the surrounding circumstances, must be reasonable. That distinction in Green is the basis for the defense of mistake of fact under Section 8.02, which deals solely with "reasonable" mistakes about elements other than the culpable mental state.
In Thompson, we also contrasted the Model Penal Code provision concerning the mistake-of-fact defense to the corresponding Texas statute. We noted that the 1970 Proposed Texas Penal Code followed the Model Code provision and did not require the mistake to be a reasonable one.
We noted that the drafters of the proposed code "viewed the mistake of fact defense as essentially redundant of the requirement that the State prove the mental element of an offense, but they included the defense as a method of placing upon the defendant `the burden of producing evidence' so that a mistake of fact is something `the prosecution does not have to negate unless raised.'"
Mistake of fact was redundant in the 1970 draft because, under the Model Penal Code and the 1970 proposed Texas Code, a culpable mental state attached to every
But the Texas Legislature did not enact that provision. It specifically rejected the suggestion of the original code drafters and maintained its legislative right to attach culpable mental states only to the specific elements that it chose. Thus, Section 6.02(b), the Texas provision dealing generally with culpable mental states, reads quite differently from the corresponding Model Penal Code provision. Section 6.02 reads:
In Texas, the required culpable mental state applies to the conduct element, but the Legislature may define offenses in which the culpable mental state also explicitly applies to other elements. The Model Penal code provision, on the other hand, explicitly requires a culpable mental state for each material element. It reads:
Generally, the legislature has great discretion in deciding upon the elements of a criminal offense and what culpable mental state, if any, applies to which elements of the offense.
However, the presumption that the legislature intended a culpable mental state applies only to the criminal conduct or "bad act," not to every element of the offense.
Sometimes a person has taken due care to avoid risk, but he has made a reasonable
The law should not punish those who have made reasonable mistakes about the facts or circumstances surrounding their acts. That is the purpose of Section 8.02(a), the Penal Code defense of mistake of fact. The statutory defense does not go to the culpable mental state set out in the penal offense because, as Professors Perkins and Rollins explain, "even an unreasonable mistake, if entertained in good faith, is inconsistent with guilt if it negates some special element required for guilt of the offense such as intent or knowledge."
To return to the 1949 case of Green v. State: If Farmer Green honestly believed that the hogs he killed were his own, it does not matter if his mistake was reasonable. He did not commit the offense of theft because he did not intend to appropriate someone else's property. He is rebutting the State's element of "intent to deprive" and he does not invoke the mistake-of-fact defense. If, however, he reasonably but mistakenly thought that the hogs belonged to Farmer Jones (when in fact they belonged to Farmer Dell) who had given Farmer Green consent to slaughter his hogs, then the statutory defense applies and Farmer Green is entitled to an instruction on mistake of fact. Farmer Green had the intent to deprive Farmer Jones of his hogs, but he thought that he had the owner's consent to do so. If the hogs had been Farmer Jones's then his "conduct would have been lawful and proper had the facts been as they were reasonably supposed to be."
The question in this case is whether the statutory defense of mistake-of-fact that had existed in Texas from at least 1867 until 1974 was carried forward in the 1974 Penal Code or whether the Texas Legislature intended to abandon its tried-and-true approach to that defense by rendering the statutory defense a virtual nullity. That former approach was simple and effective: a defendant was entitled to raise a mistake of fact relating to any fact required for conviction, but it had to be reasonable one before it would exculpate him. The two exceptions to the general statutory rule were: (1) if the mistake negated the culpable mental state, no instruction was needed and the defendant's good faith (even if stupid) mistake would exculpate him; and (2) the mistake-of-fact defense did not apply to statutory rape because a child under the legal age could not consent to intimate acts.
Unfortunately, many cases from this Court interpreting and applying the post-1974 Penal Code statutory defense of mistake of fact versus rebuttal of the culpable mental state have been less than clear. Take, for example, McQueen v. State,
The mistake-of-fact defense indisputably would have applied to the offense of falsely holding oneself out as a lawyer under the pre-1974 Penal Code provision concerning mistake of fact. Indeed, in the 1889 case of Pettit v. State, the court of appeals held that the defendant doctor, charged with practicing medicine without having first filing his certificate, was entitled to an instruction on the statutory defense of mistake.
Presiding Judge Keller's opinion in Thompson is the most recent discussion of the purpose and history of the current Texas provision dealing with the mistake-of-fact defense under § 8.02(a).
The offense of falsely holding oneself out as a lawyer has only one culpable mental state: the intent to obtain an economic benefit for himself.
In this case, the plurality explains that the Legislature could, and did, cast the duty of complying with all of the Texas attorney licensing requirements upon the actor. The practice of law is a highly regulated profession, and legislatures may reasonably heighten the duties of those in particular professions that affect public health, safety, or welfare.
But the crime of falsely holding oneself out as a lawyer is not a strict liability offense as it does contain a culpable mental state requirement: the intent to obtain an economic benefit.
To establish his entitlement to a mistake-of-fact instruction in the prosecution of an offense under Section 38.122, the defendant must offer some evidence that he reasonably believed that
A defendant is not entitled to a jury instruction on his mistake-of-fact defense unless he has offered some evidence to support a finding on each of these three requirements.
In this case, appellant argues that he offered some evidence to support a finding
A person who is licensed to practice law in some other state or country cannot just waltz into Texas and set out his attorney shingle. He must comply with the Texas State Bar requirements first. It is patently unreasonable for any attorney to think that he could freely roam the world practicing law in whatever jurisdiction he desired simply because he was licensed to practice law in some other jurisdiction.
Here, the trial judge noted that appellant had not pointed to any evidence that he had the reasonable but mistaken belief that he was in good standing with the State Bar of Texas and therefore declined to give an instruction on mistake of fact. Appellant argued that "a mistake of fact can go to any of the elements of the offense and not to all of them at one time." True enough, but appellant's mistaken belief about being licensed in Mexico and in good standing in that jurisdiction, if true, would not "negate the kind of culpability required for the offense" and would not exonerate him from guilt. The practical test for whether a defendant is entitled to a mistake-of-fact defense is this: If the facts were as the defendant mistakenly believed them, would he be innocent of the charged offense?
I respectfully disagree with the plurality's holding that the mistake-of-fact defense cannot apply to any element except the culpable mental state, but because appellant failed to offer evidence of his entitlement to a mistake-of-fact instruction, I concur in the Court's judgment.
See also the current statutes with similar language: TEX. HEALTH & SAFETY CODE §§ 481.071(a), 481.128.
Id. at *2 (some citations omitted). Thus, if the statute required an intentional or knowing mental state concerning the element about which the defendant was mistaken, any mistake, not merely a reasonable mistake, negated that culpable mental state and exculpated the defendant.
For example, suppose Dangerous Dan is moose hunting and marching through a moose-infested forest when he sees a moving patch of brown, senses a stirring in the bushes, and then hears a loud "moooo." He intentionally shoots at what he reasonably believes is a moose. Unfortunately, he finds the dead body of a fellow hunter who was wearing a moose-brown jacket and holding a moose-calling horn. Dan committed the bad act — he caused a death — and he did so with the culpable mens rea — intentionally — but he was mistaken about the type of death he caused; he killed an individual rather than a moose. His mistake negates the kind of culpability required for the offense of murder (shooting a moose during hunting season is not murder), and, if a jury finds that his mistake was a reasonable one, he should be acquitted of murder, even though his mistake did not go to the culpable mental state of "intentionally." Our law does not punish every intentional killing as murder, only those intentional killings of individuals. What matters in this example is whether Dan's mistake was a reasonable one under all of the circumstances, so the jury must be instructed about the statutory mistake-of-fact defense.
Now look at an example of a mistake that negates the culpable mental state. Suppose the same hunting scenario, but this time Dan knows that his wife, not a moose, is hiding in the bushes. He testifies that he shot his rifle into the air to warn her that a real moose was charging at her from behind. The bullet goes up and then comes back down into his wife's head, killing her instantly. His defense is that he mistakenly thought a bullet shot upwards could not come down with enough velocity to hurt someone, and he did not intend to cause anyone's death, much less that of his wife, when he shot his rifle. In this case, even a stupid, unreasonable mistake, rebuts the culpable mental state of intent, and the defendant does not need, and is not entitled to, an instruction on the statutory defense of mistake of fact. His defense is like that of Farmer Green who honestly (but perhaps unreasonably) thought the neighbor's hogs were his own. See Green v. State, 153 Tex.Crim. 442, 221 S.W.2d 612 (1949) (op. on reh'g).
Id. (citations omitted).
Id. at 604. That would be a persuasive argument if the statutory defense of mistake of fact did not exist and could not be invoked to the element of "without the owner's effective consent." And, in fact, the McQueen Court did not require the State to prove that McQueen knew he did not have the motorcycle owner's effective consent; proof "that appellant did not have the consent of Bobby Akin, the owner of the motorcycle" was sufficient to prove that "appellant knew he did not have Akin's consent." Id. at 604-05. This was all a very topsy-turvy way of coming to the right conclusion. If the Court had not been beguiled by the inapplicable practice commentary about how the Texas Legislature supposedly intended that the phrase "the kind of culpability required for the offense" really meant the different phrase, "the culpable mental state," this Court and others would not have made the mistake of inappropriately adding multiple culpable mental states to offenses when the Legislature did not do so. Presumably the Legislature knew that it did not need to do so because the statutory defense of mistake of fact was available to a defendant who had exercised reasonable care, did make reasonable inquiry, and whose reasonable mistake negated the required culpability for the offense.
Id.
Id. This mistake did not, of course, rebut the defendant's culpable mental state of intentionally or knowingly causing bodily injury, nor did it exculpate him from all culpability, but it did mitigate the offense, and therefore he was entitled to such an instruction.
Suppose a modern-day actor was charged with aggravated robbery of an elderly person and article 41 was still Texas law. If the defendant reasonably believed that the person he was assaulting and whose property he was trying to take was, in fact, under the age of 65 (think Sally Field, Diana Ross, Mia Farrow, Al Pacino, Harrison Ford, Robert Redford), the defendant could rely on Vyoral as precedent for his entitlement to a mistake-of-fact instruction that could lower the offense from a first degree felony offense under Section 29.03(a)(3), to a second degree robbery under Section 29.02(a).