JOHNSON, J., delivered the opinion of the Court in which PRICE, WOMACK, KEASLER, HERVEY, COCHRAN, and ALCALÁ, JJ., joined.
In each of two causes, a grand jury indicted applicant for both aggravated robbery and aggravated assault of a named complainant. A petit jury convicted him of all counts and sentenced him to concurrent terms of twenty-five years' imprisonment for each aggravated robbery and twenty years' imprisonment for each aggravated assault.
Applicant asserts that convictions for both aggravated robbery and aggravated assault of each complainant violate the prohibition against double jeopardy. He also asserts that counsel provided ineffective assistance of counsel by failing to object to the double-jeopardy violation in the trial court or to raise it on direct appeal and for failing to preserve for appellate review a claim regarding the trial court's denial of a self-defense instruction. We grant relief.
On May 16, 2012, we refused review of applicant's claim regarding the self-defense instruction, but we ordered that the applications be filed and set for submission on the remaining issues.
Pursuant to our order, applicant has filed a brief addressing these claims. The district attorney has submitted a letter that acknowledges receipt of applicant's brief and states that "[t]he State of Texas does not intend to file a brief in this case." We shall therefore address these claims
The records from various proceedings below reflect that, in 2005, the two complainants went to applicant's residence. While there, the complainants were assaulted and robbed by applicant and two other men. Denton v. State, Nos. 12-06-00003-CR and 12-06-00004-CR, 2007 WL 677848, 2007 Tex.App. LEXIS 1706 (Tex. App.-Tyler, pets.ref'd). Each of the two indictments at issue here charged applicant with one count of aggravated assault and one count of aggravated robbery. The jury found him guilty of all four charges, with the sentences to run concurrently. The court of appeals affirmed the trial court's judgment. We refused applicant's petitions for discretionary review. Denton v. State, PD-0779-10 and PD-0780-10 (Tex.Crim.App., pet. ref'd August 25, 2010).
In these applications for habeas corpus, applicant asserts that the convictions for both aggravated robbery of and aggravated assault on each complainant violated his constitutional protections against double jeopardy.
Each indictment alleges, in different counts, two specific offenses. Indictment number B-13,723 alleges that applicant committed the offenses of aggravated robbery and aggravated assault against complainant "N. Moore," while indictment number B-13,724 alleges that applicant committed the offenses of aggravated robbery and aggravated assault against complainant "H. Foster." All of the offenses in both indictments were alleged to have been committed by applicant on or about the 18th day of March 2005.
The habeas court's findings of fact, which are undisputed by the parties, reflect that on March 18, 2005, the complainants went to applicant's residence. Applicant lived in a mobile home that sat in his mother's backyard and which had an attached shed that was furnished and served as his bedroom.
Applicant asserts that the evidence shows that taking Moore's and Foster's belongings was his sole objective and that his assault of Moore and Foster was in furtherance of that single objective, with the firing of a weapon simply being "just a step along the way." He maintains that the state "parsed what was in reality a single aggravated robbery into two separate crimes," resulting in two punishments for a single assaultive event and a double-jeopardy violation because jeopardy principles permit only one punishment per complainant. Brief of Applicant at 15.
We begin by addressing the second of the issues that we filed and set for submission, which asks whether the alleged violation may be remedied in a habeas proceeding or is procedurally defaulted because no objection was raised in the trial court.
We have previously addressed such claims via writ of habeas corpus application. See, e.g., Ex parte Cavazos, 203 S.W.3d 333 (Tex.Crim.App.2006); Ex parte Hawkins, 6 S.W.3d 554 (Tex.Crim.App. 1999); Ex parte Ervin, 991 S.W.2d 804 (Tex.Crim.App.1999). Because of the fundamental nature of the double-jeopardy protections, a double-jeopardy claim may be raised for the first time on appeal or on collateral attack if two conditions are met: 1) the undisputed facts show that the double-jeopardy violation is clearly apparent on the face of the record; and 2) when enforcement of the usual rules of procedural default serves no legitimate state interest. Langs v. State, 183 S.W.3d 680, 687 (Tex.Crim.App.2006); Gonzalez v. State, 8 S.W.3d 640, 643 (Tex.Crim.App. 2000).
A double-jeopardy claim is apparent on the face of the trial record if resolution of the claim does not require further proceedings for the purpose of introducing additional evidence in support of the double-jeopardy claim. Ex parte Knipp, 236 S.W.3d 214, 216, n. 3 (Tex. Crim.App.2007); Gonzalez v. State, 8 S.W.3d at 643. In this case, there is no
We recently held that, "[w]hen a double-jeopardy violation has occurred, a writ of habeas corpus is a proper venue through which to challenge the error." Ex parte Milner, 394 S.W.3d 502, 506 (Tex. Crim.App.2013). We likewise hold here that applicant's claim of a double-jeopardy violation may be addressed and remedied in a habeas corpus proceeding.
The Fifth Amendment's Double Jeopardy Clause provides that no person shall "be subject for the same offence to be twice put in jeopardy of life or limb." U.S. Const. amend. V. The Double Jeopardy Clause of the Fifth Amendment, applicable to the states through the Fourteenth Amendment, protects an accused against 1) a second prosecution for the same offense after acquittal, 2) a second prosecution for the same offense after conviction, and 3) multiple punishments for the same offense. Brown v. Ohio, 432 U.S. 161, 165, 97 S.Ct. 2221, 53 L.Ed.2d 187 (1977); Ex parte Amador, 326 S.W.3d 202, 205 (Tex. Crim.App.2010). There are two variations of a multiple-punishments claim: 1) where there are both a greater and a lesser-included offense and the same conduct is punished twice-once for the basic conduct and a second time for that conduct plus more; and 2) where the same criminal act is punished under two distinct statutes and the legislature intended the conduct to be punished only once — such as causing a single death and being charged with both intoxication manslaughter and involuntary manslaughter. Langs v. State, 183 S.W.3d at 685. Aggravated assault may be a lesser-included offense of aggravated robbery, depending upon the facts proved. Royster v. State, 622 S.W.2d 442, 446 (Tex.Crim. App.1981); Watson v. State, 605 S.W.2d 877, 884 (Tex.Crim.App.1979).
To determine whether there have been multiple punishments for the same offense, we apply the "same elements" test from Blockburger v. United States, 284 U.S. 299, 304, 52 S.Ct. 180, 76 L.Ed. 306 (1932). "[W]here the same act or transaction constitutes a violation of two distinct statutory provisions, the test to be applied to determine whether there are two offenses or only one is whether each provision requires proof of an additional
We have held that robbery is an assaultive offense. Young v. State, 283 S.W.3d 854, 862 (Tex.Crim.App.2009). We have also held that the unit of prosecution of the offense of robbery is the victim. Byrd v. State, 336 S.W.3d 242, 251, n. 43 (Tex.Crim.App.2011). Therefore the gravamen of robbery offenses, including aggravated robbery, is the defendant's assaultive conduct against each victim. Jones v. State, 323 S.W.3d 885, 889 (Tex. Crim.App.2010). We have also held that "[t]he gravamen of the offense of aggravated assault is the specific type of assault defined in [Tex. Penal Code] Section 22.01 [Assault]." Landrian v. State, 268 S.W.3d 532, 537 (Tex.Crim.App.2008).
A multiple-punishments double-jeopardy violation occurs if both a greater and a lesser-included offense are alleged and the same conduct is punished once for the greater offense and a second time for lesser. Langs v. State, 183 S.W.3d at 685. A lesser-included offense is one that "is established by proof of the same or less than all the facts required to establish the commission of the offense charged[.]" TEX.CODE CRIM. PROC. art. 37.09(1).
The Penal Code defines the elements of aggravated assault in Section 22.02. We note the pertinent subsections:
The Penal Code defines the elements of aggravated robbery in Section 29.03. We note the pertinent subsections:
Here, the indictments alleged both threatening with a firearm and threatening with the firearm while committing theft, both offenses based on the same continuous transaction. Neither indictment alleged bodily injury.
As plead in the indictments, the counts for both aggravated robbery and aggravated assault assert that applicant intentionally or knowingly threatened another person with imminent bodily injury and used or exhibited a deadly weapon during the commission of that offense. The counts for aggravated robbery further allege that applicant committed theft. Thus, as plead, aggravated assault is a lesser-included offense of aggravated robbery because "it is established by proof of the same or less than all the facts required to establish the commission of the offense charged[.]" TEX.CODE CRIM. PROC. art. 37.09(1). "If ... the prosecution, in proving the elements of one charged offense, also necessarily proves another charged offense, then that other offense is a lesser-included offense." Girdy v. State, 213 S.W.3d 315, 319 (Tex.Crim.App.2006). If there is no clear legislative intent to punish the offenses separately, multiple punishments for the criminal act that is the subject of the prosecution is barred. Id. No such intent has been shown here. We conclude that applicant has shown that two of his four convictions are in violation of his constitutional double-jeopardy protections that preclude multiple punishments for the same offense.
When a defendant is convicted of two offenses and those convictions violate double-jeopardy protections, the conviction for the more serious offense is retained, and the other conviction is set aside. Ex parte Cavazos, 203 S.W.3d 333, 337 (Tex. Crim.App.2006). The most serious offense is the offense of conviction for which the greatest sentence was assessed. Id. at 338. Applicant's aggravated-robbery convictions, for which he received sentences of twenty-five years' incarceration, are the more serious offenses because he received lesser sentences for the aggravated-assault convictions. We therefore retain the aggravated-robbery convictions and set aside the aggravated-assault convictions.
We grant relief and set aside the aggravated-assault convictions. Copies of this opinion shall be sent to the Texas Department of Criminal Justice-correctional institutions division and Pardons and Paroles Division.
KELLER, P.J., filed a concurring opinion.
MEYERS, J., filed a dissenting opinion.
KELLER, P.J., filed a concurring opinion.
The present case involves an exceedingly complex double-jeopardy question, with only limited, neutral briefing from the State. Many of the significant issues and authorities relevant to the question are not addressed in the Court's opinion. When complex issues are not subjected to adversarial testing, and when the relevant issues have not been sufficiently aired out, there is a danger in granting relief in anything other than a brief, unpublished opinion. I believe that that danger manifests itself in the Court's opinion. Under the circumstances, I agree with granting applicant relief but do not join the Court's opinion.
To understand the complexity of the issue before us, we must first review some general double-jeopardy principles. There are two ways in which offenses can be the same or different under double-jeopardy law when two statutes are involved: (1) by elements, and (2) by units.
An elements inquiry is limited to the law and the charging instrument.
A units (or "allowable unit of prosecution") inquiry is separate, designed to determine whether a single legally proscribed offense has been committed more than once.
The State did not file a brief after we filed and set the instant habeas applications, but the State had earlier filed a response to the applications with the trial court. The State's response was essentially neutral with respect to whether relief should be granted. The State conceded that the offenses are the same by their elements: "If the Court were to find that the actions taken by the defendants constituted a single transaction, then the only conclusion is that a double jeopardy violation has occurred." But the State suggested that the offenses might be different by their units. According to the State, applicant's act of firing into the wall during the process of attempting to take the victims' money could be viewed as the aggravated robbery, while a co-defendant's act of shooting one of the victims could be viewed as a separate offense of aggravated assault. The State acknowledged that "the issue is debatable."
In its findings of fact and conclusions of law, the habeas court accepted the State's suggestion that these were different offenses by their units. According to the habeas court, "The first assault occurred when William Denton fired a shot into the wall, and the second assault occurred when Michael Wainionpa shot Nicholas Moore in the leg. Even though the two crimes occurred close in time, there were two separate incidents, with a break in the action between the two events." The habeas court did not say which assault was part of the aggravated robbery and which assault constituted the separate crime of aggravated assault.
Aggravated robbery and aggravated assault are defined in different sections — in fact, in different chapters — of the Penal Code. As explained above, the fact that the offenses involved are defined in different statutes is some indication that the Legislature intended multiple punishments. The aggravated-robbery and aggravated-assault statutes do contain a number of parallel elements. Both allow an underlying lesser offense to be aggravated by the use of a deadly weapon (the aggravating factor alleged in the indictment in this case) or by the infliction of serious bodily injury.
For the purpose of determining a lesser-included offense under § 37.09 of the Code of Criminal Procedure, we have recognized that assault may or may not be a lesser-included offense of robbery depending upon which alternative manners and means are alleged:
There is at least one substantial difference between the underlying assault and robbery statutes that relates to the case hand. The "threat" portion of the assault statute provides that a person commits an offense if he "intentionally or knowingly threatens another with imminent bodily injury."
In published opinions, the Third, Sixth, and Fourteenth courts of appeals have followed
If the Williams decision is correct, then "threatens" and "places in fear" are alternative statutory methods of committing the offense of robbery and the "places in fear" variant of robbery is different under the Blockburger test than the offense of aggravated assault by threat. The next question would be whether an aggravating element that raises a robbery to aggravated robbery would necessarily entail a threat element not otherwise found in the "places in fear" variant of robbery. If that aggravating element would necessarily entail a threat, by itself or in conjunction with the other elements of robbery, then aggravated assault by threat could be a lesser-included offense of the "places in fear" variant of aggravated robbery. The aggravating element for robbery in applicant's indictments is "use or exhibit a deadly weapon." Although the aggravated-assault count alleges how the deadly weapon was used — "firing a firearm" — the aggravated-robbery count does not.
If we determine that the offenses of "aggravated robbery by placing in fear" and "aggravated assault by threat" are different under Blockburger, we must then conduct an Ervin analysis to determine whether other factors persuade us that the legislature nevertheless intended that the offenses be treated as the same.
If we determine that "aggravated robbery by placing in fear" and "aggravated assault by threat" are different offenses under Blockburger and Ervin, then applicant has a preservation-of-error problem. His indictments pled both the "threat" and "placing in fear" variants of aggravated robbery, presenting a situation in which one of the variants (threat) is the same offense as aggravated assault by threat but the other variant (placing in fear) is different. Because the two variants of aggravated robbery were part of the same general verdict, we do not know which theory the jury relied upon in finding applicant guilty. Under those circumstances and assumptions, and assuming that the evidence is sufficient to support the "placing in fear" variant of aggravated robbery, a double-jeopardy violation would not be clearly apparent on the face of the record and would thus be procedurally defaulted.
A colorable sufficiency-of-the-evidence claim might perhaps be made in connection with the aggravated robbery committed against Moore. Moore testified that he did not believe that applicant or his cohorts would shoot him, even after applicant shot into the wall.
The Court addresses only some of the issues discussed above and addresses those in only a cursory manner. This is perhaps understandable, given that the State conceded the elements aspect of the double-jeopardy claim in its response and did not submit any further briefing when we filed and set the case. And the State's actions are also perhaps understandable, given that granting relief simply sets aside twenty-year concurrent sentences, and that applicant will continue to serve twenty-five-year sentences in two cases. In its pleadings, the State also explicitly relied on its interest in seeing justice done. Out of deference to a defendant's right against double jeopardy, we might perhaps accept a State's concession with respect to a particular case when the double-jeopardy issue is inordinately complex. But we should not enshrine such a concession in the law, because in a future case, the issues might be more thoroughly debated in the crucible of adversarial testing.
As discussed earlier, in a multiple-statutes case, an elements analysis is only half the battle: Even if the offenses proscribed by multiple statutory provisions are considered to be the "same" under Blockburger or Ervin, it is possible to have the repeated commission of the same offense. Murder and manslaughter, though proscribed in different statutes, are the same offense by their elements under Blockburger. But if the murder is of Mary and the manslaughter is of John, then the offenses are different by their units.
The present case contains an obvious and uncontested example of multiple units. The offenses were separately indicted based upon the separate victims. So there are four indicted offenses: an aggravated robbery against Moore, an aggravated assault against Moore, an aggravated robbery against Foster, and an aggravated assault against Foster. No one disputes that the State may receive at least one separate conviction per victim.
Whether that is so depends upon how the legislature divides units in the aggravated-robbery and aggravated-assault statutes and it is purely a question of statutory construction.
We must decide whether the applicable unit is act or transaction because the present case involves multiple acts in a single transaction. Although the habeas judge found a "break in the action between the two events," he acknowledged that the incidents occurred close in time, so I do not think he was saying that the incidents occurred in separate transactions. In any event, the record does not support the notion that there were multiple transactions. The evidence shows that applicant and his cohorts demanded money and property, that Moore refused to cooperate, that applicant shot into the wall to procure Moore's cooperation, that Moore continued to refuse to cooperate and told the robbers that they would have to shoot him, and that one of applicant's cohorts then shot Moore in the leg. Nothing in the record suggests anything but an unbroken chain of events between the first and second shots fired.
So, can two gunshots occurring in the same transaction constitute separate assaults with respect to the same victim? Do they constitute multiple threats that can be punished separately? I am unaware of any published cases from this Court that have addressed the question. In its holding in a case involving the prosecution of both an aggravated robbery and an aggravated assault, the Second Court of Appeals has suggested that multiple assaults against the same victim in the same transaction can constitute only one offense.
Even if, after addressing all of the prior issues, we concluded that a double-jeopardy violation is apparent on the face of the record, there would remain the second prong of the preservation analysis: whether the enforcement of the usual rules of procedural default serves no legitimate state interests.
I respectfully concur in the Court's judgment.
MEYERS, J., filed a dissenting opinion.
On January 9, 2013 in Ex Parte Parrott,
With these comments, I respectfully dissent.
The two indictments are identical except for the name of complainant. They allege in Count I that applicant did, "while in the course of committing theft of property and with intent to obtain or maintain control of said property, intentionally and knowingly, threaten or place [complainant] in fear of imminent bodily injury or death and the defendant did use or exhibit a deadly weapon, to-wit: a firearm." In Count II, each indictment alleges that applicant did "intentionally and knowingly threaten [complainant] with imminent bodily injury by firing a firearm in the room where [complainant] was and the defendant did then and there use or exhibit a deadly weapon, to-wit: a firearm during the commission of said assault." The trial court's conclusions of law do not address the bone of contention in this case — whether the robbery alleged in Count I encompasses the aggravated assault alleged in Count II. Rather, the trial court concluded that there had been two assaults, close in time, but separate incidents. The findings of fact support that the fight and/or the shot into the wall and the shot into Moore's leg were both intended to encourage the complainants to turn over their belongings, that is, as part of the robbery.
Keller, P.J., concurring opinion at *1.