Lead Opinion
OPINION
delivered the opinion of the Court,
In this case we decide that appellant’s “multiple punishments for the same offense” federal constitutional double jeopardy claim
Count I of appellant’s indictment charged aggravated robbery in three separate paragraphs alleging alternative means of committing this offense. These paragraphs were submitted to the jury disjunc-tively. Count II of appellant’s indictment charged injury to an elderly individual in a
Appellant claimed for the first time on appeal that it was 'possible he was multiply punished for the same offense because the injury to an elderly individual offense is a lesser included offense of the aggravated robbery offense as set out in paragraphs one and three and the jury’s general guilty verdict of aggravated robbery could have rested on one of these paragraphs.
The Court of Appeals, therefore, rejected appellant’s multiple punishments claim because the jury’s general guilty verdict of aggravated robbery could have rested on paragraph two. See Gonzalez v. State,
We granted appellant’s discretionary review petition on two grounds. Ground one asserts the Court of Appeals erred to reject appellant’s multiple punishments claim because the jury’s general guilty verdict of aggravated robbery could have rested on paragraphs one or three. Appellant argues that if the injury to an elderly individual offense is a lesser included offense of the aggravated robbery offense as set out in paragraphs one and three, then he should be “afforded [double jeopardy] protection.” See Gonzalez,
The general substantive constitutional rule implicated by ground one is that “a general verdict [is] valid so long as it [is] legally supportable on one of the submitted grounds — even though that [gives] no assurance that a valid ground, rather than an invalid one, [is] actually the basis for the jury’s action.” See Griffin v. U.S.,
The Stromberg exception applies when one of the invalid submitted grounds rests on constitutionally protected speech or conduct. See Griffin,
We, however, find it unnecessary to decide whether the Stromberg exception applies here because we agree with the Court of Appeals that appellant had the burden to “preserve, in some fashion, a double jeopardy objection at or before the time the charge [was] submitted to the jury.” We, therefore, dismiss ground one of appellant’s discretionary review petition, overrule ground two of appellant’s discretionary review petition, and hold appellant forfeited his multiple punishments double jeopardy claim.
Our case-law on preservation of double jeopardy claims is not a model of
In Shaffer, the defendant raised a successive prosecutions claim in the trial court based only on an unsworn declaration of a prior acquittal. See Shaffer,
In Evans, the habeas corpus applicant raised a successive prosecutions claim for
Federal law is more or less consistent with our Shaffer line and Duckett/Evans line of cases. Compare United States v. Broce,
Consistent with our Evans/Duckett line of cases, Menna decided that a guilty-pleading defendant could raise a successive prosecutions claim for the first time on appeal because the claim could have been resolved “on the basis of the existing record” which showed an indictment “facially duplicative of the earlier offense of which the defendant had [previously] been convicted.” See Menna,
“We do not hold that a double jeopardy claim may never be waived. We simply hold that a plea of guilty to a charge does not waive a claim that — judged on its face — the charge is one which the State may not constitutionally prosecute.” Menna,96 S.Ct. at 242 fn. 2. (Emphasis Supplied).
It has, however, been suggested that our decision in Phillips v. State
The suggestion that Phillips and Jeffers stand for the proposition that all multiple punishments claims may be raised for the first time on appeal reads too much into these cases. Phillips and Jeffers fit within the Evans/Duckett line of cases because their multiple punishments claims were capable of being addressed on the existing record and arguably no legitimate state interests would have been served by applying the usual rules of procedural default.
In addition, Jeffers did not decide that all multiple punishments claims may be raised for the first time on appeal. After Jeffers decided that the defendant’s successfully opposing the government’s motion to consolidate “deprived him of any right that he might have had against consecutive trials,”
This, however, does not amount to a holding that all multiple punishments claims may be raised for the first time on appeal. Appellate courts, even the Supreme Court, have addressed the merits of arguably unpreserved claims especially when, as in Jeffers, the other party does not object. Compare Ervin,
Finally, it has been suggested that a defendant’s right to be “free from cumulative punishments” is a category two right under Marin and may be raised for the first time on appeal unless this right is affirmatively “waived” under Johnson v. Zerbst which means appellant may raise his multiple punishments claim for the first time on appeal since he did not affirmatively “waive” it.
The argument seems to be that these cases require an affirmative, Johnson v. Zerbst “waiver” of double jeopardy rights for Mann purposes because these cases assessed the effectiveness of a particular “waiver” of double jeopardy rights in a variety of contexts. These cases actually are to the contrary. See, e.g., Broce,
In this case, assuming the injury to an elderly individual offense is a lesser included offense of the aggravated robbery offense as set out in paragraphs one and three, the face of the record nevertheless fails to show a multiple punishments violation because the jury’s general guilty verdict of aggravated robbery could have rested on paragraph two. Appellant, therefore, has not sustained his appellate burden of presenting a record showing on its face any multiple punishments violation.
More important, requiring appellant to have timely raised his multiple punishments claim in the trial court serves legitimate state interests and is consistent with the underlying policies of the general rules of procedural default. See Posey v. State,
“The State has a valid interest in avoiding problems which would interfere with its lawful prosecution of alleged crimes and in being able to research and prepare responses to claims of double jeopardy. It also has a valid interest in being able to investigate and present any evidence which might exist that supports or controverts claims of double jeopardy in order that prosecutions continue when it is proper to do so. It has a valid interest in conserving valuable judicial time by not going through unnecessary trials when a double jeopardy claim is valid.”23
The judgment of the Court of Appeals is affirmed.
Notes
. For brevity’s sake, we will refer to this as a "multiple punishments” claim or issue.
. See generally Marin v. State,
. See generally Missouri v. Hunter,
. We express no opinion on whether the injury to an elderly individual offense is a lesser included offense of, and, therefore, could be considered the “same offense” as, the aggravated robbery offense as set out in any of the three paragraphs as we did not grant discretionary review on this issue. We note, however, that the Legislature apparently has authorized multiple punishments even if these offenses could be considered the "same” under double jeopardy principles. See Tex.Pen. Cd., Section 22.04(h) (person "subject to prosecution” for injury to elderly individual and "another section of this code may be prosecuted under either or both sections”); Hunter,
. Griffin characterized Stromberg as not standing "for anything more than the principle that, where a provision of the Constitution forbids conviction on a particular ground, the constitutional guarantee is violated by a general verdict that may have rested on that ground.” Griffin,
. Street was a flag-burning case. The majority opinion and Chief Justice Warren's dissenting opinion agreed on the "teaching of Strom-berg." Compare Street,
. Leary applied the Stromberg exception because the defendant’s conviction could have rested on an unconstitutional presumption that supplied the required mens rea for conviction. See Leary,
. See Stromberg,
. We have decided that a pretrial writ of habeas corpus is usually the procedural vehicle by which a defendant should raise a "successive prosecutions for the same offense” double jeopardy claim. See Ex parte Robinson,
. Most of the cases discussed here are pre-rules of appellate procedure cases. We find it unnecessary to decide what, if any, effect the current rules of appellate procedure have on these pre-rules cases as our holding in this case is consistent with these pre-rules cases and the current rules of appellate procedure. See Rule 33.1(a) (generally requiring issue to be raised in trial court before it may be raised on appeal).
We note, however, that we recently addressed the merits of a multiple punishments claim for the first time on collateral attack in Ex parte Ervin v. State,991 S.W.2d 804 , 806 (Tex.Cr.App.1999). It would be unusual to decide that a defendant like the one in Ervin may not raise a multiple punishments claim for the first time on appeal but he may raise it for the first time on collateral attack. Of course, Ervin addressed no procedural default or preservation issues as none were raised.
. In addition to the considerations discussed in the body of this opinion, the State’s legitimate finality interests and recent statutory developments are relevant in determining whether a defendant may raise a double jeopardy claim for the first time on collateral attack. See Ex parte Gardner,
. Shaffer v. State,
. Ex parte Evans,
. The Court of Appeals also seems to have recognized these principles. See Gonzalez,
. Shaffer distinguished Duckett v. State,
“In [Duckett ] the two convictions were in the same court, on the same day, before the same judge, and were based on the same evidence. Clearly, the enforcement of the statutory [procedural default] requirements in [Duckett] would have served no state interest whatsoever. In the case at bar, however, such is not the case. The alleged former acquittal did not occur in the same court, and no evidence concerning the verdict in [the prior] cause was ever offered. The trial court had no way of knowing of the prior proceeding other than by way of evidence offered by appellant.” Shaffer,477 S.W.2d at 876 .
. See Footnote 15.
. See Phillips v. State,
. See Jeffers v. United States,
. Phillips erroneously relied on Jeffers for this proposition because Jeffers decided the defendant "waived” a successive prosecutions claim when he successfully opposed the government’s motion to consolidate. See Jeffers,
. It is significant that Jeffers did not decide that this constituted a “waiver” of the defendant's successive prosecutions claim. See Jeffers,
. See Johnson v. Zerbst,
. See Broce,
. See Casey v. State,
Dissenting Opinion
filed a dissenting opinion in which PRICE and JOHNSON, J.J., joined.
Appellant did not relinquish his right to be free from cumulative punishments by failing to object to the proposed jury charge. The Fifth Amendment’s double jeopardy protections “represent a fundamental ideal in our constitutional heritage.” Benton v. Maryland,
I.
The majority recites a brief description of the facts and procedural history of this case. See ante, at 640-41. Nevertheless, in order to further elucidate the parties’ arguments, it is necessary to add some additional detail. Appellant was accused of entering the house of eighty-five year-old Lora Thurman and brutally attacking her with a crowbar. Count one of the indictment against appellant charged him with aggravated robbery and contained three paragraphs listing alternative aggravating manner and means. See Tex. Penal Code Ann. § 29.03 (Vernon 1994). Count two charged appellant with injury to an elderly person. Id. at § 22.04.
On appeal, appellant argued that the two convictions were violative of his double jeopardy rights under the Fifth and Fourteenth Amendments to the United States Constitution. Specifically, appellant contended that, as alleged in the indictment, the aggravating allegations included in the aggravated robbery count punished the same conduct as the count involving injury to an elderly person. The Court of Appeals rejected appellant’s argument and held that the two convictions were not jeopardy barred. Gonzalez,
Assuming without deciding that paragraphs one and three of the aggravated robbery count and count two (injury to an elderly person) do implicate the double jeopardy clauses of the federal and state constitutions, appellant’s argument must still fail. We conclude that as long as the general verdict of the jury can be reconciled in such a fashion that it does not implicate the double jeopardy clauses of the federal and state constitutions, then the convictions and punishments must stand. We regard it as the appellant’s burden to preserve, in some fashion, a double jeopardy objection at or before the time the charge is submitted to the jury. The record in this case is clear that no objection was made, and thus the jury’s general verdict finding appellant guilty of both aggravated robbery and injury to an elderly person is proper under the circumstances.
Id. at 431 (citation omitted). In a footnote following this passage, the court limited the breadth of its language as it related to the preservation issue:
By this comment, we do not mean to suggest that, absent objection, appellant is barred from a double jeopardy claim on appeal. We only mean to suggest that when a jury is charged in the disjunctive and required to return a general verdict, appellant must in some fashion preserve his contention that a general verdict would preclude him from raising a double jeopardy claim when at least one of the allegations in the disjunctive charge would not be jeopardy barred.
Id. at 431 n. 3. Based on the conclusion that it need only decide that one of the alternative paragraphs included in the aggravated robbery count was not “the same” as the offense of injury to an elderly person for double jeopardy purposes, the lower court affirmed appellant’s conviction. Id.
II.
The Court of Appeals suggested that appellant forfeited his right to complain that he was subject to multiple punishments because he failed to “preserve, in some fashion, a double jeopardy objection at or before the time the charge [was] submitted to the jury.” Gonzalez,
There are some fundamental rights, however, which “are not extinguished by inaction alone.” Marin v. State,
Some rights are widely considered so fundamental to the proper functioning of our adjudicatory process as to enjoy special protection in the system. A principle [sic] characteristic of these rights is that they cannot be forfeited. That is to say, they are not extinguished by inaction alone. Instead, if a defendant wants to relinquish one or more of them, he must do so expressly.
Id. at 278-79 (internal citations omitted). Therefore, a Texas appellate court must address the merits of a claim which is rooted in one the rights located in the second Marin category, unless expressly waived, even where the claim is brought for the first time on appeal. See id. at 279.
The second category carved out by the Marin Court is consistent with the teaching of various Supreme Court cases involving waiver of some fundamental constitutional rights. The Supreme Court has indicated that in order to waive such fundamental rights, the waiver must amount to an “intentional relinquishment or abandonment of a known right or privilege.” Johnson v. Zerbst,
The Supreme Court has long recognized the fundamental nature of the Fifth Amendment’s double jeopardy prohibition.
Since Green, however, the Supreme Court has retreated somewhat from its suggestion that a defendant’s “waiver” of his rights under the Double Jeopardy Clause necessarily requires that he make explicit reference to the abandonment of those particular Fifth Amendment rights. In fact, the Court has suggested that a conscious waiver of the specific defense of double jeopardy may not be necessary. See United States v. Broce,
Whatever criteria the Court has used to assess the effectiveness of a “waiver” of a defendant’s double jeopardy rights, the Court has indicated that silence does not waive a defendant’s rights against cumulative punishments. In Jeffers v. United States,
In the instant case, there is no evidence in the record that appellant did anything that could be construed as an affirmative waiver of his rights against cumulative punishments. The Court of Appeals erred in holding that it was necessary for appellant to object before the jury charge was submitted in order to preserve his multiple punishment claim for appeal. Appellant’s second ground for review should be sustained.
III.
Having concluded that appellant did not waive his cumulative punishments claim, it is necessary to examine the Court of Appeals’ conclusion that no jeopardy problem is presented where multiple aggravating factors are alleged, the jury returns a general verdict and one of the aggravating factors can be reconciled with the remaining counts in such a way as to not implicate the Double Jeopardy Clause.
In Stromberg v. California, the appellant was convicted under a California statute which made it a felony to display “any flag, badge, banner, or device ... as a sign, symbol or emblem of opposition to organized government or as an invitation or stimulus to anarchistic action or as an aid to propaganda that is of a seditious character.” Stromberg, 283 U.S. at 360-61,
As there were three purposes set forth in the statute, and the jury was instructed that their verdict might be given with respect to any one of them, independently considered, it is impossible to say under which clause of the statute the conviction was obtained. If any one of these clauses, which the state court has held to be separable, was invalid, it cannot be determined upon this record that the appellant was not convicted under that clause.... It follows that instead of being permissible to hold, with the state court, that the verdict could be sustained if any one of the clauses of that statute were found to be valid, the necessary conclusion from the manner in which the case was sent to the jury is that, if any of the clauses in question is invalid under the Federal Constitution, the conviction cannot be upheld.
Id.
The “rule of the Stromberg case” applies here.
The rationale of Stromberg, which has been explained in cases like Griffin, applies whether the allegation of unconstitutionality has its origins in the First Amendment or in the Double Jeopardy Clause. In Griffin, the Court held that if there was sufficient evidence to support any object of a multiple object conspiracy charge, even if the evidence was lacking for the other objects, a conviction on the general verdict could stand. In reaching its conclusion, the Court distinguished Stromberg, explaining:
Jurors are not generally equipped to determine whether a particular theory of conviction submitted to them is contrary to law.... Quite the opposite is true, however, when they have been left the option of relying upon a factually inadequate theory, since jurors are well equipped to analyze the evidence.
See Griffin,
IV.
I would vacate the judgment of the Court of Appeals and remand to that court to consider whether a conviction under the remaining two paragraphs of count one violated the Double Jeopardy Clause.
. The State did not argue the issue of procedural default before the Court of Appeals. In fact, the State does not assert that appellant forfeited his double jeopardy claim before this
. Rule 33.1(a) replaced former Tex.R.App. P. 52(a) in 1997. The relevant portion of Rule 33.1 does not alter the substance of former Rule 52(a), although it does make some semantic changes and divides the rule into numbered paragraphs. See Tex.R.App. P. 33 (Official Comment to 1997 Change). Thus the case law interpreting the old rule is applicable to the instant case.
. Had the Supreme Court been inclined to hold that double jeopardy rights were forfeited strictly by a failure to object at trial, it could have resolved a case like Broce far more easily. After all, the Broce defendants pleaded guilty to the two indictments without entering any form of double jeopardy objection. Broce,
. At least in the context of double jeopardy rights, the term "waiver” has not maintained the same meaning as was initially ascribed to it in Johnson v. Zerbst,
. Only last month, this Court handed down its opinion in Ex parte Hawkins,
Equally perplexing is the Court’s recent opinion in Ex parte Birdwell,
. The Devine Court distinguished its previous decision in Grogan v. United States,
.In departing from the structure of Marin, the majority crafts its new rule for waiver of constitutional double jeopardy protection out of whole cloth. The majority writes,
[t]he overriding principles expressed by [Texas] case-law [is] that, because of the fundamental nature of double jeopardy protections, a double jeopardy claim may be raised for the first time on appeal or even for the first time on collateral attack when the undisputed facts show the double jeopardy violation is clearly apparent on the face of the record and when enforcement of usual rules of procedural default serves no legitimate state interests.
Ante, at 642-43 (footnotes omitted). But even under the majority’s new rule, appellant should have his claim addressed on the merits. Appellant’s claim meets the first prong of the majority's test inasmuch as a determination of whether there actually was a violation of the Double Jeopardy Clause can be made on the face of the current record. Unlike in Shaffer, where no evidence was presented to substantiate the appellant's claim of former jeopardy, the Court of Appeals had all the information it needed in the current record to conduct a proper constitutional analysis. Moreover, the fact that the jury returned a general verdict does not preclude a Blockbur-ger-type analysis on these facts — all of the paragraphs included in count one must be constitutionally sound to amount to a valid conviction. See infra, Part III. Furthermore, by addressing the merits of appellant’s claim in the instant case, we would not offend any "legitimate state interest” inherent in the rules of procedural default. First, "the two convictions were in the same court, on the same day, before the same judge, and were based on the same evidence.” Shaffer v. State,
. By pouring cases like this out under the guise of procedural default, the majority does more harm to the “legitimate state interests” in finality and efficiency than it realizes. Appellant may simply couch his claim as ineffective assistance of counsel and resubmit his argument in a writ application. If appellant successfully prosecutes this claim, the remedy would be a new trial. See Tex.Crim. Proc.Code Ann. art. 44.29(a) (Vernon Supp.1999). Such a remedy would be far more severe than simply addressing a meritorious cumulative punishment claim on the merits and vacating one of the redundant sentences.
. The Court concludes that appellant is procedurally barred from asserting his multiple punishment claim and therefore determines that it is "unnecessary” to reach appellant’s first ground for review. Ante, at 642-43. Nevertheless, the majority cannot restrain themselves from writing a four page commentary on why appellant would fail on this ground as well. See id., at 641-42. This is, of course, dicta. See, e.g., Reynolds,
. The State conceded as much at oral argument when it said, "in all candor I doubt— have some doubt — that the Court of Appeals’ opinion regarding, where they say that we will assume that two of the counts are jeopardy barred, but since another one is not, the conviction gets affirmed. I think under Stromberg v. California, in which ... the U.S. Supreme Court said that if one of the alternatives submitted in an indictment is unconstitutional, then a conviction cannot stand. We are used to dealing with the sufficiency of the evidence rule — that is, if any of the alternatives presented, if under any of the alternatives there is sufficient evidence to sustain a conviction, the conviction will be sustained. But when you are talking constitutional issues, I am not sure you can go that way. And the U.S. Supreme Court in Stromberg v. California does certainly indicate that you may not be able to.”
. In a manner reminiscent of trying to force a square peg into a round hole, the majority attempts to reconcile these cases with its speech-and-conduct-specific reading of Stromberg. For example, the majority suggests in a parenthetical that the Supreme Court could have held that the conviction in Williams rested on "constitutionally protected conduct.” See ante, at 642. This interpretation of Williams, however, is at odds with the Supreme Court itself. In Griffin, the Court described Williams as finding that the conviction may have rested on grounds which "violated the Full Faith and Credit Clause.” Griffin, 502 U.S. at 54,
"[T]he verdict of the jury for all we know may have been rendered on that [unconstitutional] ground alone, since it did not specify the basis on which it rested.... No reason has been suggested why the rule of the Stromberg case is inapplicable here. Nor has any reason been advanced why the rule of the Stromberg case is not both appropriate and necessary for the protection of the rights of the accused. To say that a general verdict of guilty should be upheld though we cannot know that it did not rest on the invalid constitutional ground on which the case was submitted to the jury, would be to countenance a procedure which would cause a serious impairment of constitutional rights."
Id. (quoting Williams,
. The majority points out that Chief Justice Warren’s dissenting opinion in Street stated the Stromberg rule more narrowly. See ante at 642 & n. 6. However, the majority misrepresents how the Stromberg rule was stated by a majority of the Supreme Court in that case. Specifically, it notes that Chief Justice Warren's dissent suggested that "the teaching of Stromberg is that, if there is any possibility the general verdict below rests on speech or conduct entitled to constitutional protection, then the conviction must be reversed.” Id. at 642 (quoting Street,
. I note, as the majority does, that Tex. Penal Code Ann. § 22.04(h) (Vernon 1994), may affect appellant’s cumulative punishment claim. However, the substantive double jeopardy issue is not before us. Instead, the Court of Appeals should consider on remand what effect, if any, that provision may have on appellant’s double jeopardy argument.
