Lead Opinion
OPINION
delivered the opinion of the Court in which
In this case, a jury convicted Appellant of both burglary of a habitation and aggravated assault in two separate counts. The jury found Appellant guilty of both counts, but the State abandoned the aggravated assault conviction prior to the punishment phase of the trial. We are asked to determine whether the court of appeals erred by 1) upholding the conviction on the aggravated assault charge even though the State had abandoned that charge prior to punishment; and 2) upholding. the trial court’s- modification to the - judgment to include a deadly-weapon finding.
We reverse. The court of appeals should have vacated the conviction for aggravated assault because the State unequivocally abandoned the charge in the middle of trial and after jeopardy had attached. Moreover, the court of appeals improperly held that the' deadly-weapon finding was proper based upon the jury’s finding of guilt on the burglary charge. Finally, we disagree with the State that the trial court could rely upon the abandoned jury verdict in the aggravated assault case to support the entry of a deadly weapon finding in Appellant’s burglary cáse.
Facts
In this case, the victim, Gonzalo Gonzalez, threw something at Appellant and his friends. Later that same day, Appellant and his friends retaliated by breaking into Gonzalo’s apartment and throwing a DVD player at him. The State indicted Appellant for the offenses -of burglary of a habitation and aggravated assault in two separate counts. In Count I, the' State charged Appellant with burglary of a habitation, alleging that Appellant had entered the victim’s residence without consent and either committed or attempted to commit the felony offense of aggravated assault. Tex, Penal Code Ann. § 30.02(a)(3) (West 2011). In Count II, the State charged Appellant with the separate offense of aggravated assault with a deadly weapon, alleging that Appellant had intentionally, knowingly, or recklessly caused bodily injury to Gonzalo Gonzalez by striking him in the head and using or exhibiting a deadly weapon in the process. Tex.- Penal Code Ann, § 22.02(a)(2) (West 2011). The indictment also included, an enhancement count.
The jury found Appellant guilty on both counts. Before proceeding to punishment, the State abandoned the aggravated assault conviction out of concern that imposing punishment for it would violate the Double Jeopardy Clause by subjecting Appellant to two punishments for the same offense. At the beginning of the punishment phase, the State’s attorney rose and announced, “At this time the State is abandoning the second charge of aggravated assault with a deadly weapon due to the fact that the Defendant cannot be punished on both charges. It is double jeopardy, so we are going forward solely on the burglary of a habitation [charge].” The jury found the enhancement allegation of a prior felony to be true, and assessed punishment on the first count at twenty-five years’ imprisonment.
Despite the State’s abandonment of the aggravated assault charge, the judgment reflected that the jury convicted Appellant of both burglary of a habitation and aggravated assault with a deadly weapon, with a sentence of 25 years. It did not contain a deadly-weapon finding. The State later moved to modify the judgment to have the trial court'enter a deadly-weapon finding. The State argued that the jury had necessarily made a finding that a deadly weapon was used in the commission of the crime by finding Appellant guilty of aggravated assault, even though the State had voluntarily abandoned that count after the jury returned the verdict. The trial court granted the motion over Appellant’s objections and modified the judgment to include the following: “Finding on Special Issue: Affirmative Finding that a deadly weapon was used or exhibited during the commission of this offense was made by the Jury.”
Direct Appeal
On appeal, Appellant first argued that the trial court had improperly included the aggravated assault conviction in the judgment because the State had abandoned the allegation prior to punishment. The State agreed that the judgment should not reflect that the jury convicted Appellant of aggravated assault. However, the’court of appeals held that it was unnecessary to completely delete the aggravated assault conviction from the judgment because Appellant was, in fact, convicted of it. Duran v. State, No. 13-12-00344-CR,
Appellant also argued that the trial court erred in modifying the judgment to include a deadly-weapon finding because the jury verdict on the burglary of a habitation allegation did not amount to-an affirmative finding that Appellant had used or exhibited a deadly weapon during the offense. The State responded that the deadly-weapon finding was appropriate because the jury had convicted Appellant of aggravated assault with a deadly weapon. According to the State, that verdict reflected an affirmative finding by the jury on the deadly-weapon issue even though the State had voluntarily and unequivocally abandoned the entire allegation. The court of appeals held that the jury’s conviction in Appellant’s burglary case was sufficient to authorize the entry of a deadly-weapon finding, obviating any need to address the State’s argument.
The Judgment Should Not Include a Conviction for an Abandoned Allegation
The State may, with the consent of the trial court, dismiss, waive, or abandon a portion of the indictment. Ex parte Preston,
When Is It Appropriate to Enter a Deadly-Weapon Finding?
The entry of a deadly weapon in a judgment not only curtails a trial court’s ability to order community supervision, it also affects a defendant’s eligibility for parole. Section 508.145(d) of the Texas Government Code states that “an inmate serving a sentence ... for an offense for which the judgment contains an affirmative finding under Section 3g(a)(2) of [Article 42.12,
[W]hen it is shown that a deadly weapon as defined in Section 1.07, Penal Code, was used or exhibited during the commission of a felony offense or during immediate flight therefrom, and that the defendant used or exhibited the deadly weapon or was a party to the offense and knew that a deadly weapon would be used or exhibited. On an affirmative finding under this subdivision, the trial court shall enter the finding in the judgment of the court.
Tex.Code Cmm. Proc. Ann. art. 42.12 § 3g (a)(2) (West 2010). As we explained in Polk v. State, the term “affirmative finding” means the trier of fact’s express determination that a deadly weapon or firearm was actually used or exhibited during the commission of the offense.
In Polk, we listed three different ways in which a court can determine that the trier of fact actually made an affirmative finding of a deadly weapon.
(1)the indictment specifically alleged a “deadly weapon” was ■ used (using the words “deadly weapon”) and the defen- ■ dant was found guilty “as charged in the indictment;!’
(2) the indictment did not use the words “deadly weapon” but alleged use of a deadly weapon per se (such as a firearm); or
(3) the jury made an express finding of fact of use of a deadly weapon in response to submission of a special issue during the punishment stage of trial.
Of course, we did not completely put a stopper in the inference-genie’s bottle.. Polk itself allows courts to make an inferential leap, albeit a tiny and completely logical one, to hold that the jury’s verdict that a defendant is guilty “as charged in the indictment” authorizes entry of a deadly-weapon finding. Under that scenario, the trial court must still make deductive inferences (“necessary” ones to be sure, but inferences none the less) to' reach the conclusion that the jury necessarily thought about, and affirmatively found,
So, it is not surprising that, in Lafleur.v. State, we added another circumstance where the trial court was authorized to enter a deadly-weapon finding.
1) the indictment specifically alleges the use of “deadly weapon;”
2) the jury charge’s application paragraph on a lesser-included offense requires a finding from the jury beyond a reasonable doubt that the defendant committed > an offense using the alleged “deadly weapon;” and
■ 3) the jury finds the defendant guilty of that lesser-included offense.
Id. at 98-99; We explained that this holding served the underlying purpose in Polk by ensuring that the jury actually made an affirmative deadly-weapon finding because the-jury necessarily decided whether a deadly weapon was used or exhibited in light of the. application paragraph. Id. Furthermore, this .conclusion did not run afoul of Polk because Polk simply did not address a situation in which a defendant is indicted for using a. deadly weapon in one offense and found guilty of a lesser-included offense also using.a deadly weapon. Id. at 98. Any other decision, according to the Court, would exalt form over substance to no discernible jurisprudential purpose. Id. '
In Crumpton v. State, we seem to have extended the degree to which courts can rely upon deductive reasoning to determine whether the jury entered an affirmative deadly-weapon finding. There, we considered the situation in which: 1) the indictment for voluntary manslaughter included a deadly-weapon allegation; 2) the jury found the defendant guilty of the lesser-included offense of criminally .negligent homicide; 3) the application paragraph regarding the lesser-included offense did not include a reference to the use or . exhibition of a deadly weapon; but 4) the verdict form indicated the jury found the defendant guilty of criminally negligent homicide, “as included in the indictment.” Crumpton v. State,
Arguably, however, this rationale for our holding could be viewed as dicta given that we first observed in Crumpton that the State had specifically alleged the use of a deadly weapon in the indictment and the jury had found the ■ defendant guilty “as included in the indictment.” Id. As we stated in Crumpton:
The jury’s Verdict was a finding that the defendant used a deadly weapon. One reason is that the verdict expressly found the defendant guilty of the offense “as included in the indictment.” - The indictment expressly alleged that the defendant committed the offense with “a deadly weapon.” The verdict’s reference to the indictment therefore constituted a finding that the allegation was true.
Did The Jury Make An Affirmative Deadly-Weapon Finding When It Found Appellant Guilty of Burglary?
With regard to the jury’s verdict in Count I, we cannot say under either the formalism of Polk or the deductive reasoning of Crumpton that the jury made an affirmative deadly-weapon finding when it found Appellant guilty of burglary of a habitation. Count I of the indictment did not contain any specific deadly-weapon language, but rather, charged Appellant with “intentionally or knowingly entering] a habitation, without the effective consent of Gonzalo Gonzalez, the owner thereof, and attempting] to commit or committing] the felony offense of Aggravated Assault.” Thus, although Appellant was found guilty “as charged in the indictment,” the indictment for Count I did not allege the use of a deadly weapon, so it would not fall within the first scenario listed in Polk.
Moreover, this does not satisfy the second Polk scenario because a DVD player is not a deadly weapon per se. See Tex. Penal Code Ann. § 1.07(a)(17)(A); see also Thomas v. State,
Resort to deductive reasoning does not justify the entry of an affirmative finding either. The application paragraph authorized the jury to find Appellant guilty of burglary of a habitation even if it believed that Appellant merely attempted to commit the aggravated assault. We have previously observed that there is no logical way to commit the offense of aggravated assault without using a deadly weapon. See Landrian v. State,
Did the Trial Court Properly Rely Upon the Jury’s Finding of Guilt in the Aggravated Assault Case After the State Unequivocally Abandoned That Count?
The State argued to the trial court and the court of appeals that the entry of a deadly-weapon finding was appropriate based upon the jury’s verdict in the abandoned aggravated assault charge. Having determined that the jury’s verdict on the burglary charge was sufficient by itself to justify the entry of a deadly-weapon finding, the court of appeals understandably chose not to address the State’s argument regarding the jury’s verdict in the aggravated assault case. However, as discussed above, the State agrees that entry of the aggravated assault conviction in the judgment is improper because the State un
Conclusion
We reverse the court of appeals’ holdings that it was not necessary'to vacate the conviction for aggravated assault from the trial court’s judgment, and that the trial court’s deadly-weapon finding was authorized by the jury’s verdict in Appellant’s burglary case. We also hold that the trial court was not authorized to enter a deadly-weapon finding in the burglary of habitation case based upon the abandoned aggravated assault conviction. We affirm Appellant’s burglary of habitation conviction, but modify the judgment to vacate the aggravated assault conviction and de-* lete the deadly-weapon finding in the judgment on Appellant’s burglary of a habitation conviction.
Notes
. Appellant also argues that his sentence is illegal because he was convicted only of the second-degree-felony offense of burglary yet . he was sentenced to twenty-five years in prison. Section 30.02(d)(2) elevates the offense of burglary of a habitation to a first-degree felony if any party to the offense entered the habitation and .committed or attempted to commit a felony offense. Tex. Penal Code Ann, § 30.02(d)(2) (West 2010). Under the facts of this case the jury found Appellant guilty of a first degree’felony offense, and the court of appeals properly reformed the judgment to reflect that. Duran v. State, No, 13-12-00344-CR,
. Appellant also challenged the deadly-weapon finding based upon notice, sufficiency, and the recitation in the judgment to reflect that the jury made a deadly-weapon finding pursuant to a special issue. The court of appeals properly removed the language in the judgment reciting - that the jury made a deadly*weapon finding pursuant to a special issue and rejected Appellant’s claims regarding notice and sufficiency. Duran, slip op. at *5-6. Appellant does not take issue with the court of appeals resolution of these issues.
. Indeed, we have noted that submitting a special issue at punishment may be the better practice, but we have never held that a purely '‘express” finding though a special issue at punishment is the only scenario that authorizes the trial court's entry of a deadly-weapon finding. See e.g. Polk,-
. The majority’s analysis of this issue in accordance with Polk v. State,
Concurrence Opinion
CONCURRING OPINION
filed a concurring opinion in which JOHNSON, J., joined.
I agree with the Court’s conclusion that the jury’s guilty verdict in Count I (burglary of a habitation) does not support a deadly weapon finding.
The Two-Count Indictment
Appellant was indicted' in Count I of first degree burglary of a habitation (with the" underlying felony of aggravated assault) and in Count II of second degree aggravated assault with a deadly weapon:
COUNT I
Francisco Duran, Jr., ... on or about the 10th day of December, 2010, ... did then and there intentionally or knowing- ' ly enter a habitation, without the effective consent of Gonzalo Gonzalez, the owner thereof, and attempted to commit or committed the felony offense of aggravated assault.
COUNT II
Francisco Duran, Jr., ... on or about the 10th day of December, 2010, ... did then and there intentionally, knowingly, or recklessly cause bodily injury to Gonzalo Gonzalez by striking Gonzalo Gonzalez about the head and/or body, and the defendant did then and there use or exhibit a deadly weapon, to-wit: electronic equipment or an object unknown to the Grand Jury, during the commission of said assault.
The indictment also included an enhancement allegation of a prior felony, which elevated the punishment range for Count I to a possible 16-99 years, or life, and the punishment range for Count II to that of a first degree felony (a possible 6-99 years, or life). . •
The Jury Charge On Guiltllnnocence
After both sides rested, defense counsel objected to the jury being charged on both counts:
DEFENSE COUNSEL: We object that number five — or paragraph number five — these two paragraphs in the indictment which are not in the Charge should be in the alternative. You cannot be found guilty of both charges because they’re both based on an ag- • gravated assault_
STATE: Your Honor, that’s the incorrect analysis. The courts do not apply that. As a matter of fact, he can be found guilty on both, but once he’s found guilty on both, the Court would have to vacate one charge. He cannot be sentenced on both charges. He can, in fact, be. found guilty. Double jeopardy prevents the sentencing of both not ivith regards to the guilty/innocence [sic] phase of the proceeding.3
* ⅜ ⅜
THE COURT: ... The objection is overruled. Both five and six will remain in place as currently stated.
The Jury Charge on Punishment
After the jury found Duran guilty of both counts, the State chose to . abandon the aggravated assault count out of double jeopardy concerns, and appellant did not object:
THE STATE: At this time the State is abandoning the second charge of aggravated assault with a deadly weapon due to the fact that the Defendant cannot be punished on both charges. It is double jeopardy, so we are going forward solely on the burglary of a habitation.
THE COURT: All right.4
The jury found the enhancement paragraph “true” and sentenced Duran to 25 years.
Both The Aggravated Assault Conviction And The Deadly Weapon Finding Should Be Deleted From The Judgment
On direct appeal, among other things, Duran complained that the judgment should not have reflected that he was convicted of Count II. In overruling this issue, the court of appeals held that it was unnecessary to delete Count II from the judgment “because appellant was, in fact, convicted of it.” The court of appeals concluded that “the judgment should be modified to reflect that the State abandoned Count II before the punishment phase and to affirmatively state that punishment was assessed only on Count I. This conclusion is not supported by case law.
In Ex parte Cavazos, this Court departed from its earlier decision in Landers v. State regarding how to remedy the situation when a defendant is convicted of more than one offense in violation of double jeopardy:
This Court has pointed out that “[a] defendant suffers multiple punishments in violation of the Double Jeopardy Clause when he is convicted of more offenses than the legislature intended.” Ervin v. State,991 S.W.2d 804 , 807 (Tex. Crim.App.1999) (citing Ball v. United States,470 U.S. 856 ,105 S.Ct. 1668 ,84 L.Ed.2d 740 (1985)).
⅜ ⅜ ⅜
When a defendant is convicted of two offenses that are the “same” for double-jeopardy purposes, our case law tells us that the conviction for the “most serious” offense is retained and the other conviction is set aside. Landers v. State, 957 S.W.2d 558 , 559-60 (Tex. Crim.App.1997). Landers states that the “most serious” offense is determined by the degree of the felony, range of punishment and sentence imposed, with rules of parole eligibility and good-conduct time as a tie-breaker: Id.
* * *
Our case law grants great discretion to the finder of fact. See e.g., Swain v. State,181 S.W.3d 359 , 365 (Tex.Crim. App.2005) (suppression motion); Ex parte Peterson,117 S.W.3d 804 , 819 (Tex.Crim.App.2003) (application for writ of habeas corpus); Morales v. State,32 S.W.3d 862 , 865-66 (Tex.Crim. App.2000) (decision to admit of [sic ] exclude scientific evidence). We now extend that discretion to the determination of the “most serious” offense and hold ■ that the “most serious” offense is the offense of conviction for which the greatest sentence was assessed. To the extent that Landers holds that other factors, such as the degree of the felony, range of punishment, and rules governing parole' eligibility and awarding of good-conduct time, shall be used in that determination, it is overruled.6
Consistent with Presiding Judge Keller’s concurring opinion in Cavazos, it appears that this Court has since relaxed its “overruling” of Landers and will look to these other factors in the event that the finder of fact assesses the same sentence.
In this case, if the State had chosen not to abandon Count II, or if the defense had objected to the abandonment of Count II, the trial court would have had to submit both offenses to the jury for punishment.
Nevertheless, in this case, the jury did not have the opportunity to assess punishment for both offenses. .Rather, the State made the decision of which offense to retain and which to set aside when it abandoned Count. II prior to the punishment phase of the trial, leaving only Count I— the burglary offense — to, be submitted to the jury for punishment. Once the State chose to abandon Count II, the trial court should have set aside that jury verdict.
Abandonment of a charge after jeopardy attaches is tantamount to an acquittal because a defendant -may not be retried for that charge.
Could the language in Count II of the indictment have served as notice to support the submission to the jury of a deadly weapon special issue on the remaining Count I? Yes. Could it now support a deadly weapon finding on Count I without a special issue having been submitted? No. Once Count II was abandoned by the State, it was an acquittal on that count. Count. II cannot be resurrected to support a deadly weapon finding because it no longer exists, as a viable charge or a valid conviction. It is gone. Therefore, I agree with the Court’s decision to delete both the aggravated assault conviction and the deadly-weapon finding.
With these comments, I join the majority.
. The trial court judgment states that the degree of offense of Count I is a second degree offense, and the degree of offense of Count II is a first degree offense. However, as alleged in this indictment, aggravated assault is a second degree felony (Tex. Penal Code § 22.02(a) and (b)), and, as pointed out by the Majority, Tex. Penal Code § 30.02(d) elevates the offense of burglary of a habitation to a first degree felony if any party to the offense entered the habitation with intent to commit a felony other than felony theft or committed of attempted to commit a felony other than felony theft. The Majority notes that the court of appeals properly modified the judgment to reflect that Count I (burglary of a habitation) is a first degree felony (that, in this case, was enhanced to repeater status). That portion of
. However, this assertion by the State appears to be contrary to Crocker v. State,
. As a general rule, the State must seek the consent of the Court to dismiss, waive or abandon a portion of the charging instrument. Ex Parte Preston,
. The appellate court cited to Gibson v. State, No. 06-07-00200-CR,
. Ex Parte Cavazos,
. Id. at 340 ("Perhaps parole and good time consequences should not be the first tie-breaker, but it should be an available tie-breaker when the punishment is otherwise identical.”) (Keller, P J., concurring opinion) (emphasis in original). See Villanueva v. State,
. See Cavazos,
. Id.
. Burglary of a habitation is one of the enumerated 3g offenses only if the actor committed the offense with the intent to commit a felony under Section 21.02, 21.11, 22.011, 22.021, or 25.02 of the Penal Code. Tex.Code Crim, Proc. art. 42.12 § 3g(a)(l)(N). Under the indictment in this case, Count I was not alleged as a 3g offense. Aggravated assault is not one of the specifically enumerated 3g offenses in article 42.12(a)(1). Under the indictment in this case, Count II included a deadly weapon allegation, which had the potential of making it a 3g offense. See Tex. Code Crim. Proc. art. 42.12 § 3g(a)(2). The presence of an affirmative finding of a deadly weapon on a judgment convicting a defendant of a non-3g offense has a significant impact
. State v. Florio,
Concurrence in Part
CONCURRING AND DISSENTING OPINION
filed an opinion concurring in part and dissenting in part in which Keasler,- J., joined.
I agree with the Court’s first two conclusions: the court of appeals (1) should have vacated the aggravated assault conviction and (2) should not have held that the deadly weapon finding was proper based on the jury’s verdict with respect to the burglary charge. Majority Opinion at 743. I take issue, however, with the Court’s characterization of much of our previous case law with respect to deadly weapon findings. Most particularly, I question the Court’s suggestion that the second rationale supplied in Crumpton v. State,
Regarding the Majority’s rejection of the State’s final argument, that a deadly
Instead, the Court today resolves the issue itself, and does so in a perfunctory manner that does not seem to me to give adequate consideration to the potential merits of the State’s argument. It seems to me that there may be good arguments to support the 'Court’s conclusion that deadly weapon findings are offense-specific. But I do not think the issue is beyond debate, and I would give the court of appeals a chance to address, it in the first instance. I.would remand the cause to the court of appeals for a fuller treatment. We. may or may not subsequently find it necessary to address the argument/issue ourselves in a later petition for discretionary review. Because the Court does not remand the, cause, I dissent to that facet of its opinion.
. See, e.g., United States v. Potts, 644 F.3d , 233, 237 & n. 3 (5th Cir.2011) ("This circuit follows the rule that alternative holdings are binding precedent and not obiter dictum.”) (quoting Pruitt v. Levi Strauss & Co.,
