Concurrence Opinion
filed a concurring opinion in which JOHNSON, J., joined.
This case presents “an exceedingly complex double-jeopardy question”
A. Error: The Underlying Elements are Alternative Methods of Committing the Same Offense
1. Only One Statute is at Issue
The offense of aggravated robbery incorporates the elements of the lesser offense of robbery, and it is the provisions of the robbery statute, alone, that are at issue here. Parsing the provisions of a single statutory section “is unlike a situation involving different statutes,” because the codification of offenses in different statutes is by itself “some indication of legislative intent to authorize multiple prosecutions.”
In ascertaining the unit of prosecution, a court will face one of two basic fact patterns. Sometimes, the court must address whether the State can punish a defendant multiple times for the same statutorily
In either fact pattern, the best indicator of legislative intent with respect to the unit of prosecution is generally the focus or gravamen of the offense.
2. Structure of the Robbery Statute and the Capital Murder Analogy
The robbery statute provides:
A person commits an offense if, in the course of committing theft as defined in Chapter 31 and with intent to obtain or maintain control of the property, he:
(1) intentionally, knowingly, or recklessly causes bodily injury to another; or
(2) intentionally or knowingly threatens or places another in fear of imminent bodily injury or death.12
Judge Price’s position is, at least implicitly, that the two subsections of the robbery statute cited above set forth two separate underlying offenses of assault: assault by threat and assault by causing bodily injury. He further contends that, because assault by threat is a separate offense from assault by causing bodily injury, a robbery that incorporates an assault by threat would be a separate offense from a robbery that incorporates an assault by causing bodily injury.
It is true that we have characterized bodily-injury assault as “a separate and distinct crime” from assault by threat and, also, that an “aggravated assault under each distinct assaultive crime is a separate crime.”
Is robbery more like aggravated assault or more like capital murder? It is true that we emphasized the assaultive aspect of robbery in Hawkins and used that emphasis as part of the reasoning for our later observation in Jones that a gravamen element tends to be one that requires a completed act.
But for reasons discussed below, I think that the theft aspect of robbery seems especially relevant to the second fact pattern as implicated in this case, whether the different underlying assaultive behaviors proscribed are alternative methods of committing the same offense or separate offenses. Although robbery does not require a completed theft, the theft portion of the robbery statute does require activi
By contrast, activity that serves as a common element is absent from several statutes in which the different methods of committing an offense have been construed as separate offenses. For example, in the indeceney-with-a-child statute, the body of subsection (a) simply outlines “with a child” younger than age 17 and then enumerates subdivisions that specify prohibited conduct.
There are differences. The theft element in the robbery statute is framed in the passive voice, in the same manner, in fact, as the underlying offenses in the capital-murder statute.
3. Absence from Aggravated Assault Statute
Moreover, if the legislature had intended for robbery to be simply an aggravated form of assault, it could have made the fact that the assault was committed in the course of a theft an aggravating circumstance in the aggravated-assault statute.
4. Completed Assault Not Required
Another factor that mitigates against a lockstep analysis of using the unit of prosecution for assault for all purposes for the offense of robbery is that a completed assault is not always required for a robbery. This conclusion is based upon an important difference between the wording of the “threat” provision in the robbery statute and the “threat” provision in the assault statute. The “threat” provision of the assault statute provides that a person commits an offense if he “intentionally or knowingly threatens another with imminent bodily injury.”
In Williams v. State, the First Court of Appeals construed this difference in lan
We note that an element of the crime of robbery, “places another in fear of imminent bodily injury,” Tex. Penal " Code Ann. § 29.02(a)(2) (Vernon 1989) (emphasis added), differs from an often compared, but vastly dissimilar element for the crime of assault, “threatens another with imminent bodily injury,” Tex. Penal Code Ann. § 22.01(a)(2) (Vernon 1989) (emphasis added). The general, passive requirement that another be “placed in fear” cannot be equated with the specific, active requirement that the actor “threaten another with imminent bodily injury.” Under the “placed in fear” language in section 29.02 of the Texas Penal Code, the factfinder may conclude that an individual fear or was “placed in fear,” in circumstances where no actual threats were conveyed by the accused.44
In published opinions, the Third, Sixth, and Fourteenth courts of appeals have followed Williams.
5. Conclusion
The above discussion convinces me that the conduct of being in the course of committing a theft is a gravamen of robbery, though it is not the controlling gravamen in every situation. None of this discussion undermines our prior holding in Hawkins that a robbery occurs with respect to each individual who is subjected to assaultive conduct (in the broad robbery sense). But this discussion leads me to conclude that the “threat” and “bodily” injury elements of robbery are simply alternative methods of committing a robbery. Thus, the unit of prosecution in a robbery case is each individual subjected to assaultive conduct during the course of a theft.
Although some significant factors can be cited to support a conclusion that the different methods of committing robbery are different offenses, these factors, at best, counterbalance other factors that weigh against such a conclusion — muddying the issue of how the unit of prosecution should be resolved. Given that state of affairs,
B. Remedy
As has been explained above, the State could have avoided violating double-jeopardy if, for each victim, instead of obtaining two convictions for aggravated robbery, the State had obtained one conviction for aggravated robbery and one conviction for aggravated assault, as occurred in Garfias. In Bowen v. State, we held in the sufficiency-of-the-evidenee context that an appellate court has the power to reform a greater offense to a lesser-included offense even if the lesser-included offense had not been requested or submitted to the finder of fact.
COCHRAN, J., filed a concurring opinion in which ALCALA, J., joined.
This is not a simple issue. As Judge Moylan has noted, “it is sometimes the simplest of crimes that are the most difficult to master. [Continuing criminal enterprises and conspiracies] are as child’s play to the familiar standby of assault and battery.”
Remember that old law-school common-law concept of assault and battery? An assault was the attempt to hit or injure someone and battery was the actual hitting or injuring of that person.
Under more modern statutes, such as the Model Penal Code
(1) intentionally, knowingly, or recklessly causes bodily injury to another, including the person’s spouse (common-law battery); or
(2) intentionally or knowingly threatens another with imminent bodily injury, including the person’s spouse (common-law assault).8
Relevant to our purposes,
Although these [assault and battery] are common law crimes, and do not, therefore, involve legislative intent, it is appropriate in determining the propriety of cumulative punishments to employ the same basic standards of common sense and fairness that largely influence the outcome of legislative intent cases. Certainly, where one person pummels another with his fists for several minutes, the law would not countenance a separate punishment for each time a blow is landed. On the other hand, if one person were to inflict various types of torture upon another during the course of the day, allowing the victim to recover consciousness between each assault, it would seem appropriate to permit separate convictions for the separate insults to the person of the victim.16
Dual convictions for making the threat and then the immediate carrying out of that threat to harm an assault victim is not barred by the Blockbwrger
In sum, I think that, because the State proved only one unit of assaultive conduct-a threat to harm with a deadly weapon immediately followed by causing serious bodily injury — against each robbery victim at one time and place, double jeopardy principles bar two convictions for robbing Mr. Barker and two convictions for robbing Mr. Chaney. I therefore respectfully join in the majority’s resolution of this case.
The appellant was convicted of five counts of aggravated robbery committed against a total of three different victims, all stemming from events that occurred during the course of a single home invasion.
The court of appeals was correct to hold that Hawkins is not the be-all and end-all of a units-of-prosecution analysis in every conceivable robbery case. The issue we addressed in Hawkins was circumscribed: “[H]ow many robbery prosecutions may be brought when an actor assaults more than one person in the course of stealing one item of property[?]”
In Hawkins we reasoned that, “[sjinee robbery is a form of assault, the allowable unit of prosecution for robbery should be the same as that for an assault.”
Section 29.02(a) of the Penal Code defines the offense of simple robbery. It reads:
(a) A person commits an offense if, in the course of committing theft as defined in Chapter 31 and with intent to obtain or maintain control of the property, he:
(1) intentionally, knowingly, or recklessly causes bodily injury to another; or
(2) intentionally or knowingly threatens or places another in fear of*443 imminent bodily injury or death.18
Aggravated robbery is the commission of such an offense in addition to certain aggravating elements such as the fact that the bodily injury under Section 29.02(a)(1) was serious or that the perpetrator used or exhibited a deadly weapon.
One aid in identifying the gravamen of an offense for jeopardy purposes, we have confirmed, is the grammatical structure of the penal provision.
We have also observed that the gravamen of an offense may be identified by the element of that offense that requires a completed act.
By contrast, I might agree that Subsections (a)(1) and (a)(2) of Section 29.02 constitute mere manner and means of committing the assaultive component of robbery
(a) A person commits an offense if, in the course of committing theft ... and with intent to obtain and maintain control of the property, he intentionally or knowingly engages in assaultive conduct:
(1) by causing bodily injury to another; or
(2) by threatening or placing another in fear of imminent bodily injury or death.
The main verb of this hypothetical statute is the non-specific “engages,” while the direct object is “assaultive conduct.” The act that must be completed is generalized “assaultive conduct,” while the specific types of assaultive conduct are introduced only by way of adverbial phrases beginning with the preposition “by.” Had the Legislature drafted the statute in this way, it would have signaled to us that the gravamen of the offense of robbery was undifferentiated assaultive conduct committed with an acquisitive intent and, more ger-manely, that the particular type of assaul-tive conduct was not meant to be elemental — that proof of either statutory manner and means of committing the assault would serve to establish what would effectively constitute the single element of “engages in assaultive conduct.” An accused under this statute could be punished no more than once for a particular act, but the jury would not have to be unanimous with respect to the particular statutory manner and means by which that act accomplished the assaultive component of robbery. However, this is not the way the Legislature chose to draft the robbery statute.
I would affirm the judgment of the court of appeals.
Notes
. See Ex parte Denton,
. Garfias v. State,
. Vick v. State,
. Jones v. State,
. Jones,
. See, e.g., Jones,
. See id. at 888 n. 16.
. Id.
. Id. at 889.
. Id. at 890.
. Id.
. Tex. Penal Code § 29.02(a).
. Landrian v. State,
. Id. This reasoning applies readily to aggravated robbery as compared to robbery, see Tex. Penal Code § 29.03(a), but the question in this case is whether the reasoning also applies to robbery as compared to assault.
. Tex. Penal Code 19.03(a)(2).
. Davis v. State,
. See Jones,
. Id.; Hawkins, 6 S.W.3d at 559-60.
. See Tex. Penal Code § 29.02(a).
. Hawkins, 6 S.W.3d at 560.
. Id. at 555.
. Id. at 561.
.
. Id. at 893.
. By assaultive conduct, I do not necessarily mean a completed crime of assault, as I will explain below.
. See Tex. Penal Code § 19.03(a); Davis,
. See Tex. Transp. Code § 550.021; Huffman v. State,
. See Tex. Penal Code § 30.02; Cavazos,
. See Contreras v. State,
. See Tex. Penal Code § 21.11(a); Loving v. State,
. See Tex. Penal Code § 22.021(a); Gonzales v. State,
. See Tex Penal Code § 22.021(a).
. See id. § 22.01(a) ("A person commits an offense if the person....”); Landrian,
. See Tex. Penal Code § 22.02(a); Landrian,
. Compare Tex Penal Code § 29.02(a) with id. § 19.03(a)(2) (the latter providing for the underlying offenses that "the person intentionally commits the murder in the course of committing or attempting to commit kidnapping, burglary....” etc.).
. See Davis,
. See Tex. Penal Code § 22.02(a)(1), (2) (aggravating circumstances).
. See id. § 22.02(b) (circumstances under which aggravated assault is a first-degree felony).
. See id. § 22.021(f)(2) (enhanced punishment if victim was younger than 14 and there was another aggravating circumstance, provided elsewhere in the statute).
. Compare id., Title 5 (Offenses Against the Person), Chapter 22 (Assaultive Offenses) with id., Title 7 (Offenses Against Property), Chapter 29 (Robbery).
.
. Tex. Penal Code § 22.01(a)(2).
. Id. § 29.02(a)(2) (emphasis added).
.
. Welch v. State,
.
. See authorities cited above. If one includes unpublished opinions, thirteen of the fourteen courts of appeals have addressed and endorsed the Williams view. See Ross v. State,
. See Plummer v. State,
. See Howard v. State,
.
. It is possible that the State will not wish to undergo the time and expense of a new punishment hearing on reformed offenses, especially since the punishment for such offenses would run concurrently with the retained charged offenses. In the plea-bargain context, we have indicated that the State can waive its right to further proceedings by agreeing to the striking of a conviction as the remedy for a double-jeopardy violation. Ex parte Ervin v. State,
. Lamb v. State,
a more difficult question would be posed if the threatened shooting (assault) were followed by an actual shooting (battery). There, a merger of the threatening conduct into the physical consummation of the threat would not, under federal constitutional law, be mandated by Blockburger. Under Maryland law, on the other hand, it might well be required under the extended "rule of lenity” recently promulgated by the Court of Appeals....*436 Analytically, the situation would be further muddied by the fact that where an apprehended threat is then successfully carried out, the antecedent assault is present in both of its manifestations. It is, at the same time, both an attempted battery and a threatened battery. The first would merge under the Federal Constitution. The second would merge only under Maryland's extended "Rule of Lenity.” It is not a simple subject.
Id. at n. 6.
. See Olivas v. State,
. Perkins & Boyce, supra note 2, at 160 (noting that "one who has committed a battery is frequently prosecuted for assault and battery. This does not mean that two offenses are charged in separate counts of the accusatory pleading, but that one offense is charged in one count under the name of 'assault and battery’ ”).
. See, e.g., Anderson v. Crawford,
. See Hall v. State,
[ajssault covered every "attempt or offer with force and violence, to do a corporal hurt to another,” 1 Hawkins, Pleas of the Crown, 113. Blackstone defines it as "an attempt or offer to beat another, without touching him,” 3 Commentaries 120, while according to Wharton it is "an apparent attempt by violence to do corporal hurt to another,” 1 Criminal Law (10th ed.), sec. 603. On the other hand a battery is a "consummated or completed assault,” 2 Burdick, The Law of Crime, sec. 350. It necessarily includes an assault. The offense is usually referred to as an assault and battery and at common law meant any unlawful bodily harm done to another person. "It seems that any injury whatsoever, be it never so small, being actually done to the person of a man, in an angry, or revengeful, or rude, or insolent manner, as by spitting in his face, or any way touching him in anger, or violently justling him out of the way, are batteries in the eye of the law.” 1 Hawkins, Pleas of the Crown, 134. "The law cannot draw the line between different degrees of violence, and therefore totally prohibits the first and lowest stage of it; every man’s person being sacred, and no other having right to meddle with it, in even the slightest manner.” 3 Blackstone’s Commentaries 120. Assault and battery at common law ranged from these minor offenses, which nevertheless the law cannot*437 afford to overlook, to violence falling just short of manslaughter or murder.
State v. Maier,
. See Perkins & Boyce, supra note 2, at 161-62 (noting that, ‘‘[wjhile few jurisdictions have abandoned the original basis for establishing a criminal assault in the absence of statute, there has been a tendency in many to add the tort theory as an additional ground.”); Wayne R. LaFave & Austin W. Scott, Criminal Law 693 (2d ed. 1986) (“[M]any jurisdictions have extended the scope of the crime of assault to include, in addition to (not as an alternative to) the attempted-battery type of assault, the tort concept of the civil assault, which is committed when one, with intent to cause a reasonable apprehension of immediate bodily harm (though not to inflict such harm), does some act which causes such apprehension.") (footnote omitted).
. Model Penal Code § 211.1 ("Assault"). That statute reads as follows:
(1) Simple Assault. A person is guilty of assault if he:
(a) attempts to cause or purposely, knowingly or recklessly causes bodily injury to another; or
(b) negligently causes bodily injury to another with a deadly weapon; or
(c) attempts by physical menace to put another in fear of imminent serious bodily injury.
Simple assault is a misdemeanor unless committed in a fight or scuffle entered into by mutual consent, in which case it is a petty misdemeanor.
(2) Aggravated Assault. A person is guilty of aggravated assault if he:
(a) attempts to cause serious bodily injury to another, or causes such injury purposely, knowingly or recklessly under circumstances manifesting extreme indifference to the value of human life; or
(b) attempts to cause or purposely or knowingly causes bodily injury to another with a deadly weapon.
Aggravated assault under paragraph (a) is a felony of the second degree; aggravated assault under paragraph (b) is a felony of the third degree.
. Tex. Penal Code § 22.01(a)(1), (2).
. Section 22.01 contains a third method of assaultive conduct — "offensive touching”— which was a misdemeanor battery at common-law and is a Class C misdemeanor in Texas. Tex. Penal Code § 22.01(a)(3). That provision is not pertinent here, except, of course, that every assault involving bodily injury includes an "offensive" touching, but an offensive touching does not necessarily include a bodily-injury assault.
. See Landrian v. State,
. See generally, Lamb v. State,
. Although appellant was convicted of two counts of aggravated robbery committed against Andrew Chaney and two counts of aggravated robbery committed against James Barker, the legal issue is whether double jeopardy bars dual convictions for aggravated robbery of X by threat (with a deadly weapon) and aggravated robbery of X by causing (serious) bodily injuiy when they are committed as part of the same criminal act (first a threat, then carrying through with that threat). The double-jeopardy issue, then, depends not upon the robbery statute or the aggravated robbery statute, but upon the simple assault statute, Section 22.01(a)(1), (2). See Snowden v. State,
. See, e.g., State v. Bolarinho,
. See, e.g., McGhee v. State,
.See, e.g., State v. Fischer, — N.H.-,
. Snowden v. State,
. Blockburger v. United States,
. Supra, Concurring Op. at 434 (Keller, P.J., concurring).
. Snowden v. State,
. See Tex. Penal Code § 29.03(a)(1) — (2) ("A person commits [aggravated robbery] if he commits robbery as defined in Section 29.02, and he ... causes serious bodily injury to another [or] uses or exhibits a deadly weapon[.]"); id. § 29.02(a)(1) — (2) ("A person commits an offense if, in the course of committing theft ... and with intent to obtain or maintain control of the property, he ... intentionally, knowingly, or recklessly causes bodily injury to another; or.... intentionally or knowingly threatens or places another in fear of imminent bodily injury or death.”).
. Counts I and II of the indictment read:
THE GRAND JURY, for the County of Travis, State of Texas, duly selected, empan-elled [sic], sworn, charged, and organized as such at the July, 2009 Term, AD., of the 390th Judicial District Court for said County, upon its oath presents in and to said Court at said term, that Michael Cooper, on or about the 16th day of July, 2009, and before the presentment of this Indictment, in the County of Travis, and State of Texas, did then and there, while in the course of committing theft of property and with intent to obtain or maintain control of said property, intentionally, knowingly, or recklessly cause serious bodily injury to Andrew Chaney by shooting his hand, and the said Michael Cooper did then and there use or exhibit a deadly weapon, to-wit: a firearm and a bat,
COUNT II
It is further presented in and to said court that on or about 16th day of July, 2009, in the County of Travis, and State of Texas, Michael Cooper did then and there, while in the course of committing theft of property and with intent to obtain or maintain control of said property, intentionally or knowingly threaten or place Andrew Chaney in fear of imminent bodily injury or death, and the said Michael Cooper did then and there use or exhibit a deadly weapon, to-wit: a firearm and a bat[.]
It will be observed that Count I actually alleged two theories to elevate the robbery to an aggravated robbery: both serious bodily injury and the use or exhibition of a deadly weapon. Count II alleged only the use or exhibition of a deadly weapon.
. Counts III and IV of the indictment read:
COUNT III
It is further presented in and to said court that on or about 16th of July, 2009, in the County of Travis, and State of Texas, Michael Cooper did then and there, while in the course of committing theft of property and with intent to obtain or maintain control of said property, intentionally, knowingly, or recklessly cause serious bodily injury to James Barker by hitting him in the head with a firearm or a bat, and the said Michael Cooper did then and there use or exhibit a deadly weapon, to-wit: a firearm and a bat,
COUNT TV
It is further presented in and to said court that on or about 16th day of July, 2009, in the County of Travis, and State of Texas, Michael Cooper did then and there, while in the course of committing theft of property and with intent to obtain or maintain control of said property, intentionally or knowingly threaten or place James Barker in fear of imminent bodily injury or death, and the said Michael Cooper did then and there use or exhibit a deadly weapon, to-wit: a firearm and a bat[.]
As with Count I, Count III actually alleged two theories to elevate the robbery to an ag
. Count V of the indictment, upon which the appellant was also convicted, alleged that he committed aggravated robbery against a third individual, Alvin Duran. The appellant does not argue that this conviction is jeopardy barred. Thus, he argues that he could only be punished for three offenses: one each for the robberies of Chaney, Barker, and Duran.
. Appellant’s Brief on Direct Appeal at 25-36 (citing Ex parte Hawkins,
. Cooper v. State,
. Id. at 828.
. Id. at 832.
. See Appellant’s Brief on Petition for Discretionary Review at 34 ("Petitioner asks this Court to reaffirm its holding in Ex parte Hawkins, supra and reaffirm that the allowable unit of prosecution in a robbery case is each victim.”).
. Hawkins,
. E.g., Vick v. State,
. In Hawkins itself we observed that "the issue of multiple punishments in one trial is entirely a question of legislative intent.”
. Hawkins,
. See Gonzales,
. Landrian,
. See Ex parte Denton,
. Hawkins,
. Tex. Penal Code § 29.02(a).
. Tex. Penal Code § 29.03(a).
. It is not necessary to establish a completed theft to obtain a conviction for robbery. Hawkins,
. Harris,
. Jones,
. Id. at 891.
. Loving,
. Hawkins,
.Indeed, apart from the added acquisitive conduct/intent element, the robbery statute is practically indistinguishable from the simple assault statute. In Landrian, we construed the simple assault statute to entail two separate offenses corresponding to the statutory alternatives of bodily injury and threat:
[Ajggravated assault under each distinct as-saultive crime [as defined by the simple assault statute, Tex. Penal Code § 22.01(a)] is a separate crime: aggravated assault with the underlying crime of assault by causing bodily injury and aggravated assault with the underlying crime of assault by threat. The first is a result-oriented offense and the second is a conduct-oriented offense.
Lead Opinion
OPINION
delivered the opinion of the Court
Appellant was convicted of five counts of aggravated robbery pursuant to an indictment that named three different complainants, with all counts arising from a single home invasion. Two counts named Andrew Chaney as the complainant, two counts named James Barker as the complainant, and one count named Paul Linden as the complainant. The jury found him guilty of all five counts in the single indictment and assessed appellant’s punishment at imprisonment for 60 years on two of the counts, 80 years on two other counts, and 65 years on the remaining count. The trial court sentenced appellant accordingly and ordered all five sentences to be served concurrently. The court of appeals affirmed the judgments. Cooper v. State,
In his petition to this Court, appellant raises two grounds, both of which challenge the court of appeals’s holding that the Double Jeopardy Clause of the United States Constitution was not violated when he was convicted of both aggravated robbery by causing bodily injury and aggravated robbery by threat to the same victim during a single robbery. These grounds involve appellant’s convictions for two separate counts of aggravated robbery of each of two of the named complainants, Andrew Chaney and James Barker. He does not challenge his conviction for robbing Linden.
We granted review. After reviewing the opinion of the court of appeals, the record, and the briefs of the parties, we conclude that appellant’s challenged convictions do violate the double-jeopardy clause. Accordingly, we sustain appellant’s grounds for review. We reverse the judgment of the court of appeals and remand this cause to that court for further proceedings and appropriate disposition.
KELLER, P.J., filed a concurring opinion in which JOHNSON, J., joined.
COCHRAN, J., filed a concurring opinion in which ALCALÁ, J., joined.
