Haynes v. State
Haynes v. State
Opinion of the Court
OPINION
delivered the opinion of the Court in which
The issue in this case is whether an appellate court may l’eform a trial court’s judgment to reflect a conviction for an unrequested lesser-included offense not submitted to the jury, when the appellate court decides that the evidence is insufficient to support the jury’s guilty verdict for the greater offense but is sufficient to support a conviction for the lesser-included offense. We decide that, under these circumstances, an appellate court may not reform the trial court’s judgment to reflect a conviction for the lesser-included offense.
A jury convicted appellant of the charged felony offense of assaulting a member of his household by causing her bodily injury several years after appellant had been convicted of assaulting a family
The court of appeals decided that the evidence is insufficient to support appellant’s conviction for the charged offense, because the evidence does not support an elemental finding that the more recent assault victim was a member of appellant’s household at the time of the assault. See Haynes, op. at 189. The court of appeals reversed appellant’s conviction and entered a judgment of acquittal. See id. We granted ground two of the State’s petition for discretionary review, which presents the claim that, instead of ordering a judgment of acquittal, the court of appeals should have reformed the trial court’s judgment to reflect appellant’s conviction for the lesser-included, Class A misdemeanor offense of assault.
This Court addressed this reformation issue as one of first impression in Collier v. State, 999 S.W.2d 779, 780 (Tex.Cr.App. 1999). Judge Mansfield’s lead four-judge plurality opinion in Collier decided that:
[A] court of appeals may reform a judgment of conviction to reflect conviction of a lesser included offense only if (1) the court finds that the evidence is insufficient to support conviction of the charged offense but sufficient to support conviction of the lesser included offense and (2) either the jury was instructed on the lesser included offense (at the request of a party or by the trial court sua sponte) or one of the parties asked for but was denied such an instruction.
Collier, 999 S.W.2d at 782 (Mansfield, J., joined by Meyers, Price, and Johnson, JJ.) (italics in original).
Judge Mansfield’s lead opinion in Collier was based in large part on the rationale that in cases like this the State “overreaches” or goes “for broke” by pursuing a trial strategy of not requesting a lesser-included offense instruction to make it more likely it will obtain a conviction for the greater offense that the evidence might only “weakly” support. See Collier, 999 S.W.2d at 781-82.
Judge Keasler’s opinion concurring only in the judgment in Collier was the necessary fifth vote to support the judgment in that case. See Collier, 999 S.W.2d at 783-85 (Keasler, J., concurring). Judge Keasler’s concurring opinion decided that a “court of appeals cannot reform a judgment to reflect a conviction for a lesser-ineluded offense unless that lesser-included offense was submitted in the jury charge.” See Collier, 999 S.W.2d at 784 (Keasler, J., concurring) and at 785 (same).
We understand the State to claim that Collier has no precedential value, because there is no majority holding contained within its lead and concurring opinions. See, e.g., Marks v. United States, 430 U.S. 188, 193, 97 S.Ct. 990, 51 L.Ed.2d 260 (1977) (when “a fragmented Court decides a case and no single rationale explaining the result enjoys the assent of five Justices, the holding of the Court may be viewed as that position taken by those Members who concurred in the judgments on the narrowest grounds”) (internal quotes omitted). We further understand the State to argue that the issue presented in Collier and in this case should, therefore, be reexamined anew as an issue of first impression unburdened by any stare decisis considerations.
We note, however, that the “overreaching” rationale in Judge Mansfield’s lead opinion in Collier replicates much of the rationale of this Court’s majority opinion in Stephens v. State, 806 S.W.2d 812, 817-18 (Tex.Cr.App. 1990) (Campbell, J., joined by Davis, Clinton, Teague, Miller, White, Berchelmann, and Sturns, JJ.).
And, Judge Keasler’s concurring opinion in Collier is based on Rules 43.3 and 43.2(b), which have not changed since Collier was decided. What has changed since Collier was decided is the composition of this Court, which is not a valid reason for ignoring stare decisis principles. See Wheatfall v. State, 882 S.W.2d 829, 843 (Tex.Cr.App. 1994) (change in court membership not sufficient reason to ignore stare decisis principles). We decide that the court of appeals could not reform the trial court’s judgment to reflect a conviction for the unrequested lesser-included, Class A misdemeanor assault offense, since it was not submitted in the jury charge.
Presiding Judge Keller’s dissenting opinion asserts that this Court’s 8-1 majority opinion in Stephens cannot supply the “overreaching”
Presiding Judge Keller’s dissenting opinion also asserts that Collier contains no majority holding, because Judge Mansfield’s lead plurality “opinion and Judge Keasler’s concurring opinion contain entirely disparate rationales.” See Dissenting op. at 194. But, the rule for determining a majority holding in a case decided by a fragmented court applies when there are “disparate rationales” for the result. See Marks, 430 U.S. at 193, 97 S.Ct. 990 (when “a fragmented Court decides a case and no single rationale explaining the result enjoys the assent of five Justices, the holding of the Court may be viewed as the position taken by those Members who concurred in the judgments on the narrowest
Judge Cochran’s dissenting opinion seems to suggest that this Court is at liberty to decide the issue presented in this case as one of first impression. See Dissenting op. at 189-91 (Cochran, J., dissenting). The Court’s opinion, however, applies majority decisions in two prior cases
The judgment of the court of appeals is affirmed.
JOHNSON, J., filed a concurring opinion.
. The evidence shows that appellant caused his former roommate bodily injury by striking her mouth with his hand. She had moved out about a month.before to "get away” from appellant. The evidence also shows that appellant had been convicted of assaulting a family member several years before he committed the assault in this case.
Current and former Section 22.01(a)(1), Tex. Pen.Code, provide that a person commits assault if the person "intentionally, knowingly, or recklessly causes bodily injury to another, including the person’s spouse.” The law applicable to appellant’s case provides that this offense is a third-degree felony, instead of a Class A misdemeanor offense, if the offense is committed against "a member of the defendant’s family or household, if it is shown on the trial of the offense that the defendant has been previously convicted of an offense against a member of the defendant's family or household under this section.” See Former § 22.01(b)(2), Tex. Pen.Code; Haynes v. State, 254 S.W.3d 466, 468 n.l (Tex.App.-Houston [1st Dist.], 2007) (setting out the history of this statute).
. Judge Mansfield's lead opinion in Collier adopted the reasoning of the Wisconsin Supreme Court’s unanimous decision in State v. Myers, 158 Wis.2d 356, 461 N.W.2d 777 (1990). See Collier, 999 S.W.2d at 782.
. The rationale of Judge Mansfield’s lead plurality opinion in Collier, therefore, appears to be based on not allowing the State “to have its cake and eat it too.” We note that the punishment range for the charged third-degree felony offense in this case with two prior felony convictions is 25 to 99 years in prison. See § 12.42(d), Tex. Pen.Code. The punishment range for a Class A misdemeanor assault offense with two prior felony convictions is 90 days to one year in jail. See § 12.43(a)(2), Tex. Pen.Code. Appellant was, therefore, exposed to a much greater punishment range than he would have been exposed to had the jury been instructed on and convicted appellant of the Class A misdemeanor assault offense.
. Judge Keasler’s holding was based on Tex. R.App. 43.2(b), which authorizes a court of appeals to "modify’’ a trial court’s judgment and affirm it as modified, and Tex.R.App. 43.3, which authorizes a court of appeals, when reversing a trial court’s judgment, to “render the judgment that the trial court should have rendered.” See Collier, 999 S.W.2d at 784 (Keasler, J., concurring) (“judgment that the trial court should have rendered” under Rule 43.3 can only be a judgment that trial court was capable of rendering, given the jury instructions, and if jury is only instructed on one offense, then trial court can render only judgment on that offense or a judgment of acquittal) and at 785 (rendering judgment on lesser-ineluded offense is not simply "modifying” judgment under Rule 43.2(b) but is entry of another judgment entirely); see also Myers, 461 N.W.2d at 779-80 (Wisconsin rule of appellate procedure authorizing appellate court to modify a judgment does not permit appellate court to "repair a guilty verdict reversed for insufficient evidence by simply modifying the conviction to reflect a lesser included offense when instructions on the lesser included offense were not submitted to the jury”).
. The majority opinion in Stephens held that "when a defendant has obtained a reversal of a conviction for a greater offense solely on the ground that there was insufficient evi
. Since the record in this case does not reflect that "one of the parties asked for but was denied” a lesser-included offense instruction, this case does not require this Court to decide whether an appellate court may reform a judgment to reflect a conviction for the lesser-included offense in these circumstances. See Collier, 999 S.W.2d at 782 (plurality holding that a court of appeals may reform the judgment in these circumstances) and at 790-91 (Johnson, J., concurring to denial of State's motion for reh’g) (discussing possible "majority" holdings in Collier) and at 790-91 (McCormick, P.J., dissenting to denial of State's motion for reh’g) (same).
. The term "overreaching” that has been used to describe the State’s conduct in cases like this is taken from this Court's opinion on original submission in Garrett v. State and from Judge McCormick's dissenting opinion on rehearing in Stephens. See Garrett v. State, 749 S.W.2d 784, 794 (Tex.Cr.App. 1986) (op. on orig. subm'n); Stephens, 806 S.W.2d at 831 (McCormick, J., dissenting on reh’g).
. Judge Mansfield’s lead plurality opinion in Collier decided that the judgment in that case could not be reformed to reflect conviction
. We also note that this Court's decision in Stephens extended its “overreaching” rationale to the reformation context when it also stated in dicta that “this Court does not have the authority to reform a conviction of a greater felony found to be based on insufficient evidence to lesser felony, which the evidence will support." See Stephens, 806 S.W.2d at 818 n. 8. We further note that the Wisconsin Supreme Court's majority decision in Myers also relied on the "overreaching" rationale in construing a Wisconsin rule of appellate procedure, similar to the ones discussed in Judge Keasler's concurring opinion in Collier, as not authorizing reformation in cases like this. See Myers, 461 N.W.2d at 779-80. Judge Mansfield’s lead plurality opinion in Collier is not the only judicial decision to rely on an "overreaching” rationale in a reformation context.
. Presiding Judge Keller’s dissenting opinion also asserts that, because a "jury’s verdict on a greater offense necessarily constitutes a finding on every essential element of a lesser-included offense,” Collier was wrong to conclude that "insufficiency of the evidence of an aggravating element of an offense may result in an acquittal rather than in conviction of the unaggravated lesser-included offense." See Dissenting op. at 192. However, an overwhelming majority of this Court did not accept this argument when it was presented in dissenting opinions in Stephens in 1990 and in Collier in 1999. See Collier, 999 S.W.2d at 792-93 (McCormick, P.J., dissenting on reh’g, joined by Keller, J.) (Stephens "failfedj to appreciate the legally significant distinction between when a jury acquits a defendant of the greater offense versus when a jury convicts the defendant of the greater offense but an appellate court decides the evidence is insufficient to support only an aggravating element of the greater offense") (emphasis in original) and at 795 (when jury convicts defendant of greater offense, it necessarily convicts him of lesser offense, so reforming judgment to reflect conviction of lesser offense would reflect a "true finding of the fact finder”) (internal quotes omitted); Stephens, 806 S.W.2d at 821 (McCormick, J., dissenting) ("Had Harón Stephens been tried for aggravated rape and a jury had found him not guilty, then I might agree that the State could not retry him for the lesser included offense of rape. But that is not what happened to Stephens. Stephens was tried and a jury found him guilty of aggravated rape. In finding him guilty of this greater offense, the jury necessarily found Stephens guilty of the lesser included offense of rape.") (emphasis in original) and at 833-34 (double jeopardy principles should not prohibit a subsequent prosecution of Stephens for rape "regardless of whether [this] predicate or lesser included offense was separately submitted to the trier of fact as an alternative basis for conviction” in his earlier prosecution for aggravated rape) (emphasis in original).
. See Footnote 6 (noting that this case does not require this Court to decide whether an appellate court may reform a judgment to reflect a conviction for a lesser offense when "one of the parties asked for but was denied” an instruction on the lesser offense).
. The remaining arguments presented in Presiding Judge Keller’s dissenting opinion (persuasive though they may be) were raised and apparently rejected by a majority of this Court in Collier. See Collier, 999 S.W.2d at 785-91 (Keller, J., dissenting).
. See Collier, 999 S.W.2d at 782 (Mansfield, J.) and at 783-85 (Keasler, J., concurring); Stephens, 806 S.W.2d at 813-20.
. It should be noted that the rule applied in this case should be changed through the legislative or rule-making process rather than through judicial activism. Compare Collier, 999 S.W.2d at 783-85 (Keasler, J., concurring) (reformation not permitted in cases like this, because rules of appellate procedure do not authorize it). This could also have been accomplished at any time during the almost 10 years since Collier was decided.
Concurring Opinion
concurring.
I join the Court’s opinion.
Following the dictates of Malik v. State, 958 S.W.2d 234 (Tex.Crim.App. 1997), the court of appeals found that the state had failed to prove an element of the charged offense, that no jury instruction on a lesser-included offense had been requested by either advocate, and that the trial court had not included such an instruction sua sponte.
The court of appeals determined that the hypothetically correct jury charge would not have included the missing ele
In this case, the state urges us to overrule Collier v. State, 999 S.W.2d 779, 787 (Tex.Crim.App. 1999), because “reformation is the defendant’s and not the State’s remedy. ...” State’s brief at 8. If that is an appropriate reason for overturning Collier, then we must wait for a case in which the defendant, not the state, is requesting reformation.
The state also argues that “the issue on which Collier turned” was a “misguided procedural default determination ...” and that “acquittal is reserved for those situations in which there is an actual failure in the State’s proof of the crime”; here “there was only a failure in the proof of an aggravating element of the offense and not the actual crime.” Id. at 8-9. It appears that the state equates the crime alleged in the indictment with the crime proved at trial. If aggravated robbery is the crime alleged, it can be proved only if all elements, including the aggravating factor, are proved. If “there was only a failure in the proof of [the] aggravating factor,” then robbery has been proved. But robbery was not the offense alleged in the indictment, and there has therefore been a failure in the state’s proof of the actual crime alleged. As Judge Campbell said in Stephens, “The State, with respect to the lesser included offense, argues that a reversal based on insufficiency of the evidence as to the aggravating element should not be accorded the same status as
Before trial, the power lies wholly with the state. The state has the burden of proving an accusation, but it also has great discretion as to what that accusation will be. As a general rule, the state has more resources available to it, particularly investigatory resources. The state gathers the evidence, and on the basis of that evidence, chooses what offenses to allege in the charging instrument. The state may amend the indictment or information, abandon counts or elements, or dismiss and refile. It may restrict defense access to physical evidence. State witnesses are not compelled to communicate with defense counsel, and their statements do not have to be divulged until after they testify on direct examination. Although many prosecutors’ offices do let defense counsel see physical evidence and witness statements before trial, they are not required to do so, and some offices do not do so.
At trial, the balance of power shifts somewhat. The state still controls the content of the indictment and most of the evidence, but now the defendant has more opportunity to challenge that evidence. If defense counsel determines that the state has failed in its burden to prove each and every element of the charged offense, then the choice of requesting instructions on lesser-included offenses — or not — must be made. At times, the decision is influenced by a client who adamantly opposes instructions on lesser-included offenses. The gamble for the defense is that the jury will discern the failure of proof and, with no other choice available, acquit. The choice is big win versus big loss.
Wise prosecutors allege only what the evidence supports. At times, evidence that appears to support a charge may have been oversold by a witness and actually provides insufficient support for the indicted offense but quite nicely supports a lesser-included charge. At that point, just as for the defendant, the choice of requesting instructions on lesser-included offenses— or not — must be made. A prosecutor is well served by the words of Tex.Code Crim. Proc. art. 2.01: “It shall be the primary duty of all prosecuting attorneys, including any special prosecutors, not to convict, but to see that justice is done.” Art. 2.01 instructs a prosecutor to go not with what one “knows,” but with what one can prove beyond a reasonable doubt. In such a case, seeing that justice is done may mean letting loose of the charged aggravated robbery and accepting that the right verdict is robbery. The gamble for the state in choosing not to request lesser-included-offense instructions is that the jury will convict on the charged offense, in spite of weak (and possibly insufficient) evidence — again, big win versus big loss. The prosecutor who gambles that the jury will convict on weak evidence and so does not hedge the bet with a lesser-ineluded-offense instruction has chosen a path that may indeed cause a defendant who is guilty of some crime — one of the lesser-included offenses — to go free. If the prosecutor chooses to cling to the wreckage of that particular Titanic instead of choosing the lifeboat of a lesser-included offense, then he or she must also accept the consequences that follow. The consequence of failing to carry the state’s burden of proof is an acquittal.
In this case, both sides went for the big win, and inevitably one side — here the state — got the big loss instead. Regardless of which side chooses to “go for broke,” it may be a valid strategic choice from which neither side should be rescued.
. As in Stephens v. State, 806 S.W.2d 812 (Tex.Crim.App. 1990), a double-jeopardy case, the state contributed to the error, id. at 818 ("Nothing prevented the State from requesting a lesser included offense instruction.... By electing to proceed only on the greater offense, the State can hardly claim that it did not contribute to the error.").
. The state’s argument is based entirely on the dissenting opinion in Collier v. State, 999 S.W.2d 779, 787 (Tex.Crim.App. 1999). But as the dissent in this case notes, the narrowest rule can be discerned by counting the number of judges who were aligned with each position; eight judges would allow reformation if lesser-included instructions had been submitted to the jury, while five would deny reformation if such an instruction was neither requested nor submitted. Thus, while the lead opinion garnered only four votes, Collier's holding had five votes, a majority of the Court.
I do not take “narrowest ground” to mean the legal ruling that is most restrictive. My interpretation of “narrowest ground” is that ground on which at least five judges agree, regardless of rationale for the agreement. Therefore, while the most restrictive ground— the lesser-included instruction was not given, not requested, or requested but denied — was supported by four judges, the narrowest ruling in Collier v. State, 999 S.W.2d 779 (Tex.Crim.App. 1999), is the judgment supported by five judges — a judgment may not be reformed unless the lesser-included offense that will be substituted was submitted to the jury.
While the rationale of the lead opinion was based on persuasive authority from a sister court, and Judge Keasler based his rationale on a plain-language reading of Texas Rule of Crim. Proc. 43.2(c), it can be argued that the rationales expressed in the lead opinion and Judge Keasler's concurrence are, in their essence, the same. The lead opinion expressed the holding in the positive ("court of appeals may reform a judgment of conviction to reflect conviction of a lesser included offense only if ... the jury was instructed on the lesser included offense ...."), while Judge Keasler's concurring opinion expressed the concept in the negative (“court of appeals cannot reform a judgment to reflect a conviction for a lesser-included offense unless that lesser-included offense was submitted in the jury charge.”). Collier, 999 S.W.2d at 782, 784. As Judge Keasler wrote, the " 'judgment that the trial court should have rendered’ can only be a judgment that the trial court was capable of rendering, given the instructions to the jury. If a jury is only instructed on one offense, then the trial court can only render judgment on that offense or a judgment of acquittal.” Id. at 784. In the end, it matters not whether the instruction was not requested, or was requested but denied, the result is the same; the instruction was not given.
Dissenting Opinion
dissenting in which COCHRAN, J., joined.
In a fractured decision, in which no opinion commanded a majority, the Court in Collier v. State came to the remarkable conclusion that insufficiency of the evidence of an aggravating element of an offense may result in an acquittal rather than in conviction of the unaggravated lesser-included offense.
The Court’s first reason for concluding that we are bound by Collier is that the lead opinion’s “overreaching” rationale can be traced back to earlier majority opinions in Stephens v. State
Even read broadly, however, Stephens and Granger are distinguishable for another reason: In those cases, the State sought to prosecute the defendant a second time, albeit only for the lesser-included offense, and the defendant interposed a claim of double jeopardy.
Moreover the procedural posture was an important part of the “overreaching” rationale. It is worth pointing out that the Court did not, either in Stephens or in Granger, use the words “overreaching,” or “misconduct,” or any of their synonyms, to describe a prosecutor’s failure to request a lesser-included offense submission.
To the extent that the reasoning in Stephens and Granger can be used to support the idea that a prosecutor’s failure to request the submission of a lesser-included offense precludes the remedy of reformation, that reasoning is inconsistent with our later decision in Malik v. State.
The Court’s second reason for concluding that we are bound by Collier is that Judge Keasler’s concurring opinion controls, because it “contains the narrowest ground upon which five of the judges concurring in the judgment in Collier agreed,” and the rules of appellate procedure upon which Judge Keasler’s opinion were based have not changed.
The conclusion that the plurality opinion articulates the narrowest rule can also be derived from a more common-sense approach. Counting the number of judges aligned with each position, the lead opinion articulates the manner in which all cases would be resolved: eight judges would have allowed reformation if a lesser-included offense instruction had been either submitted or requested, while five judges would have denied reformation if an instruction was neither submitted nor requested.
Furthermore, Judge Keasler’s opinion garnered no other votes. None of the other eight judges on the Court subscribed to the view that the rules of appellate procedure placed a limitation on an appellate court’s ability to reform a judgment to reflect a lesser-included offense. The lead opinion’s conclusion was based, not upon the rules of appellate procedure, but upon a policy rationale involving “risks and benefits.”
A re-examination shows Collier to be wanting. The lead opinion pointed to no constitutional provision, statute, or appellate rule to support its position.
First it is untrue. As the discussion in Collier observes, when neither the State nor the defendant asks for the submission of a lesser-included offense, both parties “go for broke.”
If one takes into account a defendant’s ability to appeal, the playing field becomes unequal, but contrary to the discussion in the lead opinion in Collier, it is the defendant who benefits disproportionately, not the State. The State cannot appeal an acquittal,
The second problem with the lead opinion’s argument is that there is no good reason why the courts must insure an equal playing field in this context. The trial is “the main event rather than a tryout on the road.”
Moreover, equalizing the playing field in the manner contemplated by the lead opinion in Collier is simply inconsistent with what legal-sufficiency reviews are all about. Legal-sufficiency claims are due-process claims,
Judge Keasler’s concurring opinion in Collier relied upon a rule of appellate procedure for the proposition that appellate courts simply do not have the power to reform a judgment to a lesser-included offense if the lesser-included offense was not submitted in the jury charge.
But this reasoning does not really account for the unique features of a legal-sufficiency claim. When the evidence is sufficient to support the greater offense but also raises the lesser-included offense, submission of the lesser-included offense is optional with the parties.
I respectfully dissent.
. See 999 S.W.2d 779, 779-83 (Tex.Crim.App. 1999)(plurality op.); id. at 783-85 (Keasler, J., concurring); see also id. at 785-90 (Keller, J., dissenting).
. See Ex parte Granger, 850 S.W.2d 513, 519 (Tex.Crim.App. 1993).
. 806 S.W.2d 812 (Tex.Crim.App. 1990).
. Court's op. at 5.
. Stephens, 806 S.W.2d at 817.
. Granger, 850 S.W.2d at 519-20.
. See Stephens and Granger, generally.
. See id., passim.
. See Collier, 999 S.W.2d at 779-85. But those cases were discussed in Presiding Judge McCormick's opinion dissenting to the denial of the State’s motion for rehearing. See id. at 792-93.
. Smalis v. Pennsylvania, 476 U.S. 140, 145, 106 S.Ct. 1745, 90 L.Ed.2d 116 (1986)(emphasis added).
. See Stephens and Granger, passim.
. See Stephens, 806 S.W.2d at 819 (discussing the State’s claim that “reversal based on insufficiency of the evidence as to the aggravating element should not be accorded the same status as other appellate reversals because the issue of the lesser included offense was never presented to the jury”); Granger, 850 S.W.2d at 520 (State's failure to pursue lesser-included offense instruction was the equivalent of the trial being "abandoned or aborted by the state without manifest necessity").
. 953 S.W.2d 234 (Tex.Crim.App. 1997).
. Benson v. State, 661 S.W.2d 708 (Tex.Crim.App. 1982); Boozer v. State, 717 S.W.2d 608 (Tex.Crim.App. 1984).
. Malik, 953 S.W.2d at 236, 239.
. Id. at 239.
. Id. at 240.
. Malik, 953 S.W.2d at 242 n. 4 (quoting Granger, which included a discussion of Stephens ).
. Court’s op. at 5-6.
. See Collier v. State, 999 S.W.2d 779, 790 (Tex.Crim.App. 1999)(Johnson, J., concurring in denial of State's motion for rehearing).
. Collier, 999 S.W.2d at 781-82 (quoting State v. Myers, 158 Wis.2d 356, 461 N.W.2d 777 (Wis. 1990)).
. See id. at 779-83.
. Id. at 781-82.
. Id. (discussing Myers).
. Id. at 782.
. See id.
. United States v. Wilson, 420 U.S. 332, 352, 95 S.Ct. 1013, 43 L.Ed.2d 232 (1975)
. Anderson v. Bessemer City, 470 U.S. 564, 105 S.Ct. 1504, 84 L.Ed.2d 518 (1985).
. See Jackson v. Virginia, 443 U.S. 307, 319, 99 S.Ct. 2781, 61 L.Ed.2d 560 (1979).
. Malik, 953 S.W.2d at 239.
. Jackson, 443 U.S. at 319, 99 S.Ct. 2781.
. Cook v. State, 940 S.W.2d 623, 628 n. 7 (Tex.Crim.App. 1996).
. United States v. Hunt, 129 F.3d 739, 745-46 (5th Cir. 1997)(remedy of reformation allowed even if lesser-included offense was not submitted to the jury unless the defendant was prejudiced, in which case the remedy would be a new trial); see also Rutledge v. United States, 517 U.S. 292, 305-06, 305 n. 15, 116 S.Ct. 1241, 134 L.Ed.2d 419 (1996)("federal appellate courts appear to have uniformly concluded that they may direct the entry of judgment for a lesser included offense when a conviction for a greater offense is reversed on grounds that affect only the greater offense" if "no undue prejudice will result to the accused”).
. Tex.R.App. P. 43.2(c).
. Collier, 999 S.W.2d at 784.
. Delgado v. State, 235 S.W.3d 244, 249-250 (Tex.Crim.App. 2007).
. Malik v. State, 953 S.W.2d at 236-37.
. Moff v. State, 131 S.W.3d 485, 488-89 (Tex.Crim.App. 2004).
. Once rendition of the judgment for the lesser-ineluded offense occurs pursuant to Rule 43.2(c), a remand for a new sentencing hearing is authorized under Rule 43.3(a). TexR.App. P. 43.3(a)("When reversing a trial court's judgment, the court must render the judgment that the trial court should have rendered, except when ... a remand is necessary for further proceedings.”).
Dissenting Opinion
dissenting.
I join Presiding Judge Keller’s dissenting opinion. I write separately because this case exemplifies why we should not analyze these “lesser-ineluded” issues as if the parties were engaged in a legalistic chess or “chicken” game. The Court assumes that the State uses Machiavellian “overreaching” strategies and consciously decides to “go for broke” when it fails to request jury instructions on lesser-included offenses. As punishment for a trial strategy that goes awry, an appellate court that finds the evidence insufficient to prove the aggravated offense for which the defendant was convicted may not modify the judgment to show conviction for any lesser-ineluded offense for which the evidence is clearly sufficient unless the State requested a jury instruction on the lesser-ineluded offense. The defendant is simply acquitted. The citizens suffer because the State was not prescient enough to anticipate a successful appellate legal-sufficiency challenge. And the defendant receives an undeserved •windfall of total acquittal instead of conviction on an offense for which the jury necessarily found him guilty and for which the evidence is clearly sufficient. This result does not comport with common sense or justice. And this case shows why.
Appellant was charged with the felony offense of assaulting a member of his household, enhanced by a prior conviction for the same domestic violence offense. The evidence at trial showed that Anissa, appellant’s on-again-off-again girlfriend of fourteen years, had most recently lived with him from September 2004 until January 2005, when she moved out of her own apartment and back into her mother’s home to get away from him. On February 2, 2005, appellant came over to Anissa’s mother’s home. When Anissa opened the door and stepped outside to talk to appellant, he struck her in the face, “busting” her lip and causing her pain. She ducked back inside the house, slammed the door and locked it. When she heard a loud noise outside, she looked out the window to see that appellant had thrown a brick at her car window and shattered it. Appellant later sent Anissa a letter from jail, explaining that he had “tripped out,” promising to get himself together “for real this time,” and asking Anissa to “help [him] out this one time” and to tell “them white folks” that he didn’t put his hands on her. He closed with, “I’m not mad. I did this to myself. Please get out this [sic]. I hate I did this.”
The trial judge included the following definitions in her jury charge:
“Household” means a unit composed of persons living together in the same dwelling, whether or not they are related to each other.
“Member of a household” includes a person who previously lived in a household.
No one objected to these definitions which are verbatim recitals of two Family Code statutes.
The jury found appellant guilty of the enhanced family-violence offense.
On appeal, appellant argued that the evidence was legally insufficient to support his conviction for felony assault because the State failed to prove that Anissa was a member of appellant’s household at the time of the assault. The court of appeals agreed with appellant, holding that Section 71.006 of the Family Code, which states that a member of the household includes a person who had previously lived in a household, did not apply to domestic-violence prosecutions because it was not explicitly referred to in the Penal Code assault statute, while Section 71.005 was explicitly mentioned.
There is nothing in the present record that would suggest that the State wanted to “go for:broke” by consciously not requesting a lesser-included offense instruction. From all appearances, the trial judge, the defense counsel, and the prosecutor all believed that the trial judge’s jury instructions and definitions were legally correct. There was certainly no lack of evidence that Anissa had been a member of appellant’s household as required by Section 71.006, and there was not a scintilla of evidence that Anissa was, on the day of the offense, literally a member of appellant’s household. Thus, it strains all cre
The majority is correct in stating that a plurality of this Court held, in Collier v. State,
The law concerning jury instructions and lesser-included offenses is not a game in which conviction or acquittal of a criminal offense depends upon Machiavellian trial strategy. It should depend upon the facts and the law. Here, it is not disputed that the evidence is legally sufficient to support appellant’s conviction for simple assault, regardless of whether Anissa was or was not a member of his household on the day of that assault. Nor has appellant made any claim that his due process rights would be prejudiced by entry of a conviction for the lesser-included offense of which the jury necessarily found him guilty.
. Tex. Fam.Code § 71.005 (" 'Household' means a unit composed of persons living together in the same dwelling, without regard to whether they are related to each other.”); Tex Fam.Code § 71.006 (" 'Member of a
. The prosecutor argued:
And the question is whether or not he assaulted a member of his household. We know they were members of the household. The law says it doesn’t matter if they were living together on February 2, 2005, or if they had kids together or if they were married. The law is very clear. And you know what the law is because it’s in the Charge. And you are governed by the law in the Charge. And the law says that if you previously lived together, you are a member of a household.
. The jury was not informed that Anissa was the complainant in the prior domestic-violence assault conviction as well as in the current case.
. Haynes v. State, 254 S.W.3d 466, 469-70 (Tex.App.-Houston [1st Dist.] 2007) ("We hold that the 2003 version of Penal Code section 22.01, which expressly refers to Family Code section 71.005, does not authorize the State to use Family Code section 71.006 to define who constitutes a household member for the purposes of committing felony assault. The State, therefore, must prove as an element of the offense of felony assault on a household member that the defendant and the complainant were living together in the same dwelling when the offense was committed. The hypothetically correct jury charge in this case would not have included the definition from Family Code section 71.006, and there is no evidence that appellant and complainant lived together in the same dwelling when appellant struck her in the mouth.”).
The pertinent Penal Code provision has since been revised, but it still does not mention section 71.006. See Tex Penal Code § 22.01(b)(2) (Vernon Supp. 2007).
.The State petitioned this Court to review the correctness of the court of appeals's statutory analysis, but we did not grant that ground for review.
. 999 S.W.2d 779 (Tex.Crim.App. 1999).
. 158 Wis.2d 356, 461 N.W.2d 777 (1990).
. See Rutledge v. United States, 517 U.S. 292, 306, 116 S.Ct. 1241, 134 L.Ed.2d 419 (1996) ("Federal appellate courts appear to have uniformly concluded that they may direct the entry of judgment for a lesser included offense when a conviction for a greater offense is reversed on grounds that affect only the greater offense. This Court has noted the use of such a practice with approval.”); State v. Dunn, 850 P.2d 1201, 1209-10 & n. 4 (Utah 1993) (“Numerous state and federal courts have concluded that when a defendant is convicted of an offense but an error occurred at trial, a court has the power to enter judgment for a lesser included offense rather than ordering a retrial if (i) the trier of fact necessarily found facts sufficient to constitute the lesser offense, and (ii) the error did not affect these findings"; listing states and federal jurisdictions that follow this rule); State v. Briggs, 787 A.2d 479, 486-487 (R.I. 2001) (approving sentencing remand where, although jury was not instructed on lesser offense, defendant's trial testimony constituted evidence meeting all elements of lesser-included offense of larceny); State v. Farrad, 164 N.J. 247, 753 A.2d 648, 659 (2000) (reversing case for new trial but noting that "guilty verdict may be molded to convict on a lesser-included offense even if the jury was not instructed on that offense if (1) defendant has been given his day in court, (2) all the elements of the lesser included offense are contained in the more serious offense and (3) defendant's guilt of the lesser included offense is implicit in, and part of, the jury verdict") (internal quotation marks omitted); People v. Patterson, 187 Colo. 431, 532 P.2d 342 (1975) (sentencing remand may be proper even though lesser-included offense was not charged to jury; court reasoned defendant has been given his day in court and his guilt of lesser-included offense is implicit and part of jury's verdict on greater offense); Shields v. State, 722 So.2d 584, 585-87 (Miss. 1998) (rejecting the reasoning and rule in Myers, noting the large number of states and federal jurisdictions that follow the test set out in Allison v. United States, 409 F.2d 445 (D.C.Cir. 1969) and “holding] that the lesser included offense need not be before the jury in order to apply the direct remand rule” of conviction of the lesser-included offense and remand for resentencing when, on appeal, the evidence is found to be insufficient on the greater offense).
After discussing the views of various jurisdictions, the Mississippi Supreme Court stated, "Today, this Court declines to follow the approach taken by Wisconsin, Alabama, and the Ninth Circuit.” Instead, it followed the reasoning of the United States Supreme Court and the rule in those jurisdictions — including the Fifth Circuit in United States v. Hunt, 129 F.3d 739 (5th 1997) — that permit appellate courts to modify the judgment to reflect conviction of the lesser-included offense if it finds the evidence legally insufficient on the greater offense when "no undue prejudice will result to the accused.” Hunt, 129 F.3d at 746; see also United States v. Alvarez, 451 F.3d 320, 328 (5th Cir. 2006) (following Hunt and holding that, while evidence was insufficient to prove "playground" element of drug-distribution offense, appellate court could modify conviction to show conviction of lesser-included drug offense). Compare State v. Brown, 360 S.C. 581, 602 S.E.2d 392, 398 (2004) (collecting cases from states that do and do not permit "direct remand” when jury was not instructed on lesser-included offense, joining those jurisdictions that do not allow
. Shields, 722 So.2d at 585.
. See Hunt, 129 F.3d at 746; see also Stevens v. State, 422 N.E.2d 1297, 1301 (Ind.Ct.App. 1981) (reviewing record to determine if modification would prejudice defendant; "Where it is evident that defendant has not been mislead and the issues joined under the charging information have been determined, modification, rather than reversal is more appropriate").
Reference
- Full Case Name
- Larry Glenn HAYNES, Appellant, v. the STATE of Texas
- Cited By
- 114 cases
- Status
- Published