Lead Opinion
OPINION
delivered the opinion of the Court
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.
(1) Whether Applicant’s convictions in each cause for both aggravated robbery and aggravated assault against the same complainant during the same criminal episode constitutes a violation of the prohibition against double jeopardy;
(2) Whether the alleged violation may be remedied in this habeas proceeding or is procedurally defaulted because no objection was raised before the trial court; and
(3) Whether, if the claim is procedurally defaulted, trial counsel’s failure to object or appellate counsel’s failure to raise the claim constituted deficient representation resulting in harm to Applicant.
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. 12-06-00008-CR and 12-06-00004-CR,
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.
I. Cognizability
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 proceed-mg 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,
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,
We recently held that, “[wjhen a double-jeopardy violation has occurred, a writ of habeas corpus is a proper venue through which to challenge the error.” Ex parte Milner,
II. Double Jeopardy
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,
To determine whether there have been multiple punishments for the same offense, we apply the “same elements” test from Blockburger v. United States,
We have held that robbery is an assaultive offense. Young v. State,
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,
The Penal Code defines the elements of aggravated assault in Section 22.02. We note the pertinent subsections:
(a) A person commits an offense if the person commits assault as defined in Section 22.014 and the person:
(1) ...
(2) uses or exhibits a deadly weapon during the commission of the assault.
The Penal Code defines the elements of aggravated robbery in Section 29.03. We note the pertinent subsections:
(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) •••;
*547 (2) intentionally or knowingly threatens or places another in fear of imminent bodily injury or death.
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,
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,
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.
Notes
. Ex parte Parrott,
. Denton v. State, supra at *1, 2007 Tex.App. LEXIS 1706, at *1.
.The trial court’s conclusions of law are not supported by the record. The undisputed findings of fact note that “William Denton fired a gun into a wall of the shed, either to break up the fight [between Moore and Den-ton’s co-defendant] or to encourage Moore and Foster to turn over their belongings.
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.
. Sec. 22.01 Assault, (a) A person commits an offense if the person: (1) ..(2) intentionally or knowingly threatens another with imminent bodily injury ...; (3)....
. Because we grant relief on the first and second issues, the third issue that we filed and set for submission is rendered moot, and we dismiss that issue.
Concurrence Opinion
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.
1. Elements
An elements inquiry is limited to the law and the charging instrument.
2. Units
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.
B. Aggravated Robbery and Aggravated Assault
1. The State’s Briefing and the Habeas Court’s Findings
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.
2. Elements
a. Comparing the Statutes
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:
For example, robbery may be committed either by causing bodily injury or by threatening imminent bodily injury. Each of these forms of robbery includes, as a lesser offense, a form of assault that the other does not include. An allegation of robbery by threat includes the lesser offense of assault by threat; it does not include the offense of assault by causing bodily injury. Conversely, an allegation of robbery by causing bodily injury would include the lesser offense of assault by causing bodily injury, but it would not include the offense of assault by threats.23
b. The Williams Construction
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.”
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 perceived fear or was “placed in fear,” in circumstances where no actual threats were conveyed by the accused.26
In published opinions, the Third, Sixth, and Fourteenth courts of appeals have fol
c. Application of Blockburger
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-ineluded 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.
d. Ervin Analysis
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.
e. Preservation — Face of the Record
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.
f. Absence of Briefing and Analysis
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.
3. Units
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.
4. Preservation — Legitimate State Interests
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.
. Ex parte Hawkins,
. Id. (quoting Akhil Reed Amar, Double Jeopardy Law Made Simple, Yale L.J. 1807, 1817—18 (1997) ("[A]n offense must not only be the same in law — it must also be the same in fact.”)).
. Bigon v. State,
. Blockburger v. United States,
. Littrell v. State,
.
.
. See id.; Ervin,
. See Gonzales,
. See Hall, 225 S.W.3d at 533 n. 39 (recognizing that Hunter involved a cognate-pleadings analysis); Bigon,
. Bigon,
. See Sanabria v. United States,
. See e.g. Vick v. State,
. Blockburger,
. Blockburger,
. See Bigon,
. See Vick,
. Id. at 832.
. See Vineyard v. State,
. See Hawkins,
. Compare Tex Penal Code § 22.02(a)(1), (2) with id. § 29.03(a)(1), (2).
. Compare id. § 22.01(a)(1), (2) with id. § 29.02(a)(1), (2).
. Bell v. State,
. Tex. Penal Code § 22.01(a)(2) (emphasis added).
. Id. § 29.02(a)(2) (emphasis added).
.
. Welch v. State,
.
. Ross v. State,
. See Alford v. State,
. Thus, the aggravated-robbery count does not expand the deadly-weapon allegation beyond the statutory language under the cognate-pleadings test in Hall. See Hall,
. See Clinton v. State,
. If the offenses are determined to be the same under Blockburger, then a Hunter analysis would be conducted to determine if the "clearly expressed legislative intent” was to allow punishment for both offenses. See Hunter,
. Hawkins,
. Bell v. State,
. In addition to the fact that the robbery statute contains the "places ... in fear of” language not present in the assault statute, the robbery statute contains the word "death” not found in the assault statute, and the assault statute contains the phrase "including
. Garfias v. State,
. Langs v. State,
. Moore testified that he was uncooperative in the robbery because, "I've been around these guys a long period of time, and I never would have dreamed they’d actually shoot me.” The prosecutor responded, "Okay. So you still didn't think so after the first shot was fired?” Moore answered, "Not a doubt in my mind.” Then the prosecutor asked, “So after you said, You’re going to have to shoot me, what happened next?” Moore responded, "Michael shot me.”
. At various times Foster testified to her fear, including:
Q. Did the defendant say anything to ... Moore about his personal effects?
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A. I’m not real clear on whether it was him or someone else at this point. I really — I don’t remember. I was scared. I still am.
[[Image here]]
Q. [Wjere you in fear of injury during this robbery?
A. Yes, sir.
* * *
Q. And describe how this defendant—
*555 A. He asked him to take the watch off and [Moore] refused. And that’s when him and Israel had his gun come out and everybody was pointing guns and he asked if he thought they were playing and he pointed— he turned his pistol to the side and shot through the wall.
Q. Were you in fear of injury at that point?
A. Yes, sir.
. See Jones v. State,
. See Jones,
. Id. at 889.
. Garfias,
. See Langs,
. Gonzalez,
. See Langs,
Dissenting Opinion
filed a dissenting opinion.
On January 9, 2013 in Ex Parte Parrott,
With these comments, I respectfully dissent.
. Ex Parte Parrott,
. The majority has attempted to distance themselves from the ruling in Parrott by claiming that it pertains only to illegal sentence claims and is inapplicable to double jeopardy claims. However, it is inescapable that a valid double jeopardy claim renders a sentence illegal. Therefore, a double jeopardy violation is certainly an illegal sentence. It seems predictable that the majority makes the proclamation that a harm analysis is not the correct measure for double jeopardy claims (albeit in a footnote), as it is obvious how easily they disregard relevant standards that have been elicited in recent opinions. This is exactly what I predicted would happen in our dissenting statement on motion for rehearing in Parrott when I made it clear that it is entirely inappropriate to use a harm analysis for double-jeopardy claims. While it seems that the majority now all of a sudden agrees that the harm-analysis requirement created in Parrott is inappropriate, it is also inappropriate to side-step the issue by stating that the new requirement does not apply (does this opinion in effect overrule Parrott?).
.Apparently Judge Keller has also decided to quickly abandon the method that the majority established in Parrott for analyzing illegal sentences such as we have here. However, her concurring opinion makes clear that she wants nothing to do with the majority’s analysis (I am not voting for the majority opinion, but I believe it was well reasoned under the old double-jeopardy standard). She dismissively states:
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*558 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.
Keller, P J., concurring opinion at * 1.
