Michael Winn LAFLEUR, Appellant, v. The STATE of Texas.
No. 1447-02.
Court of Criminal Appeals of Texas, En banc.
May 21, 2003.
106 S.W.3d 91
Jeffrey L. Van Horn, First Asst. State‘s Atty., Matthew Paul, State‘s Atty., Austin, for State.
Before the court en banc.
OPINION
COCHRAN, J., delivered the opinion of the Court, joined by KELLER, P.J., and MEYERS, WOMACK, KEASLER, HERVEY, and HOLCOMB, J.J.
Concluding that our prior decision in Davis v. State1 required it to do so, the court of appeals deleted the deadly weapon finding in appellant‘s manslaughter judgment.2 In Davis, we held that “deadly weapon” language in a lesser-included manslaughter application paragraph (when a defendant is indicted for committing murder with a specific deadly weapon) is not sufficient to support a deadly weapon finding when the jury returns a guilty verdict on the lesser-included offense if the verdict form does not explicitly refer to the original indictment.3
Although we reaffirm our decision in Polk v. State,4 holding that there must be an express finding of a deadly weapon when the jury is the factfinder,5 we now conclude that our reasoning in Davis was flawed. Thus, we hold that courts may look to the application paragraph of a lesser-included offense to determine if the express deadly weapon allegation in that portion of the jury charge matches the deadly weapon allegation in the indictment for the charged offense. If so, the trial court may enter a deadly weapon finding in the judgment based upon the jury‘s verdict of guilt on the lesser-included offense.6
I.
Appellant was charged with murder. The indictment alleged that he
did then and there intentionally and knowingly cause the death of an individual, namely: Keith Walker, hereafter styled the complainant, by shooting the complainant with a deadly weapon, to-wit: a firearm.
At trial, the State and defense agreed that appellant shot and killed Keith Walker with a firearm. The contested issues were
Therefore, if you believe from the evidence beyond a reasonable doubt that in Jefferson County, Texas, on or about May 31, 1998, the defendant Michael Winn Lafleur, did then and there recklessly cause the death of an individual, namely: Keith Walker, hereafter styled the complainant, by shooting complainant with a deadly weapon, to-wit: a firearm, you shall find the defendant guilty of the lesser included offense of Manslaughter.
The jury‘s verdict read:
WE, THE JURY, find the defendant NOT GUILTY of Murder as charged in the indictment, but GUILTY of the lesser included offense of Manslaughter.
The jury then sentenced appellant to eight years imprisonment. The trial judge entered an affirmative finding in the written judgment that appellant used a deadly weapon.
On appeal, appellant complained that the trial judge erred in entering a deadly weapon finding. The Beaumont Court of Appeals noted that this Court had held, in Davis v. State, that a trial court is authorized to enter a deadly weapon finding:
where the jury has 1) found guilt as alleged in the indictment and the deadly weapon has been specifically plead as such using “deadly weapon” nomenclature in the indictment; 2) found guilt as alleged in the indictment but, though not specifically plead as a deadly weapon, the weapon plead is per se a deadly weapon; or 3) affirmatively answered a special issue on deadly weapon use.7
The court of appeals noted that neither the first nor second option was exactly applicable because
[h]ere, the jury verdict does not say “guilty of manslaughter as alleged in the indictment.” It could not have. There was no indictment for manslaughter; nor did there have to be. Manslaughter is a lesser-included offense of murder.8
The court of appeals stated that the manslaughter application paragraph included an express deadly weapon assertion, but it also noted that in Davis, this Court had held that similar “firearm” and “deadly weapon” language in a lesser-included manslaughter application paragraph was merely an “implied” finding, not an “express” finding.9 The court of appeals expressed its concern about the logic of Davis:
Respectfully, we question how the application paragraph‘s language regarding the use of the deadly weapon constitutes only an implied deadly weapon finding rather than an express finding. In following the trial court‘s instructions in the charge, the jury convicted the defendant of the lesser-included offense by finding that the expressly stated requirements of the application paragraph existed beyond a reasonable doubt.10
That is, the jury in this case could not have found appellant guilty of manslaughter
Nonetheless, the court of appeals felt constrained to follow Davis and stated it was “required to conclude the trial court erred in including a deadly weapon finding in the judgment.”11 We granted review to re-examine the reasoning in Davis and Polk.12
II.
In 1977, the Texas Legislature proposed adding a “deadly weapon” provision to article 42.12 of the
so that when the trier of fact found that a deadly weapon or firearm was used in the commission of the offense, that finding would then be entered on the judgment, which would then be sent with the order of commitment. Thus, the Department of Corrections would know how to compute the defendant‘s time for parole purposes.14
The provision was added as
In Polk, this Court addressed that problem, noting that “[t]he indictment, charge, verdict and judgment” were all relevant in determining if, when, and how a jury makes a deadly weapon finding.16 First, the Court analyzed the term “affirmative finding,” and concluded that “these words taken together were intended to mean the trier of fact‘s express determination that a deadly weapon or firearm was actually used or exhibited during the commission of the offense.”17 The trial judge could not enter a deadly weapon finding simply because some evidence indicated that the defendant had used a deadly weapon and therefore the jury‘s general verdict might
“The jury found appellant ‘guilty as charged in the indictment.’ The indictment contains no mention of a deadly weapon. Neither does the court‘s charge to the jury. Thus, the court entered its finding as to use of a deadly weapon in the absence of such an ‘affirmative finding’ by the appropriate trier of fact. This was improper.”19
Thus, when neither the indictment nor the jury charge contained any “deadly weapon” language, a trial court could not enter an “implied” deadly weapon finding based solely upon its own assessment of the evidence and a general “guilty” verdict. Because the trial judge was not the factfinder, it did not have the authority to “find” implied facts that the jury did not expressly find.
That was what happened in Polk. In that case, the indictment alleged that Mr. Polk attempted to cause the death of the complainant by stabbing and cutting the complainant with a knife.20 The application paragraph of the jury charge tracked the language of the indictment but failed to say anything about a deadly weapon.21 The verdict form, on the other hand, simply stated that the jury found Mr. Polk guilty “as charged in the indictment.” Thus, none of the three possible sources of an express deadly weapon finding—the indictment, the jury charge, or the verdict form—contained any deadly weapon language. Because a knife is not a deadly weapon per se and Mr. Polk‘s jury might have concluded that this particular knife was not, in fact, a deadly weapon, there was no way for the trial judge to determine with any certainty what, exactly, the jury had found regarding Mr. Polk‘s use of the knife.
To assist the bench and bar, in Polk this Court “examine[d] how, when the jury is the trier of fact, an affirmative finding may properly be made.”22 First, “the trier of facts’ verdict on the indictment may constitute an affirmative finding” when the indictment itself alleges a deadly weapon.23 Second, sometimes “an affirmative finding will arise as a matter of law“—as in when the instrument used is a per se deadly weapon, such as a pistol or a firearm.24 Third, the jury may make an affirmative finding through a deadly weapon special issue included in the jury charge.25 After rephrasing its three major modes of making an affirmative finding,26 this Court con-
On the very same day that this Court decided Polk, it also decided another deadly weapon case, Travelstead v. State.28 In that case, the indictment charged the defendant with capital murder of the complainant “by shooting him with a gun” in the course of committing robbery.29 The verdict form read: “We the jury, find the defendant ‘Guilty of Murder’ as charged in the indictment.”30 So far, so good under Ex parte Moser,31 said this Court, but here the evidence and the application paragraph of the jury charge showed that the defendant was guilty only as a party to the murder, not as the shooter himself.32 This Court in Travelstead thus held that deadly weapon findings must be personal to the particular defendant. “When a defendant is a party, as defined in Sections 7.01 and 7.02 of the Penal Code, to the use or exhibition of a deadly weapon, there must be a specific finding by the trier of facts that the defendant himself used or exhibited the deadly weapon.”33 Thus, under Travelstead, courts were to determine whether a defendant personally used the deadly weapon alleged in the indictment by looking to the application paragraph of the jury charge to decide whether it included a parties charge. The application paragraph was crucial to that determination.
Neither Polk nor Travelstead, however, addressed the situation in which a defendant is indicted for one offense using a deadly weapon, but found guilty of a lesser-included offense, also using a deadly weapon. That issue arose in Davis v. State.34 And that, as the Beaumont Court of Appeals so politely suggests, is where we went wrong. In Davis, the defendant was charged with murder by shooting the
In other words, under the reasoning of Travelstead and Davis, courts should look to the application paragraph to overturn a deadly weapon finding if that paragraph includes a parties charge, but courts should not look to that same application paragraph to uphold a deadly weapon finding. This is peculiar logic. Either the application paragraph is or is not an appropriate source for the trial court to consult in determining whether the jury made an “express” deadly weapon finding pertinent to the particular defendant in its verdict. Polk reasoned that the jury charge was relevant; Davis said it was not. One of them is wrong.
First, of course, Polk simply did not address the issue of a deadly weapon finding in the context of a lesser-included offense. Thus, this Court was not thinking in that context, and its three modes of addressing a deadly weapon finding simply did not take into account lesser-included offenses. Obviously, neither of the first two modes could be exactly applicable to a guilty verdict on a lesser-included offense because, as the Beaumont Court of Appeals so aptly points out, the verdict form will never read “guilty as charged in the indictment.”
Second, if the jurisprudential goal is to avoid implied or uncertain deadly weapon findings in favor of clear and express findings, courts should not be required to consult two different documents (i.e., the verdict form in the jury charge and the indictment) if one document will suffice. If the jury‘s express deadly weapon finding could be more easily verified by simply consulting the application paragraph and the verdict, both of which are contained in the same jury charge document, so much the better. Clearly, neither the “guilty as charged” verdict form nor the indictment are crucial to an express deadly weapon finding because the third alternative set out in Polk is a special issue submitted in the jury charge, and that special issue refers to neither the “guilty as charged” verdict form nor the indictment.
Our holding in Davis did not serve Polk‘s underlying purpose of ensuring that the jury make an “express” deadly weapon finding. Instead, it exalted form over substance to no discernible jurisprudential purpose. It did not explain why
III.
In this case, the combination of: 1) the indictment which alleged “a deadly weapon: to wit, a firearm“; 2) the jury charge application paragraph of the lesser-included offense of manslaughter that required a finding, beyond a reasonable doubt, that the appellant used “a deadly weapon: to-wit, a firearm“; and 3) the jury‘s verdict, that appellant was guilty of the lesser-included offense of manslaughter, contained an express finding that appellant used a firearm, which is a deadly weapon per se, to cause the complainant‘s death. Therefore, the trial court did not err in entering an affirmative finding of a deadly weapon in its judgment. We reverse the judgment of the court of appeals, reinstate the deadly weapon finding, and affirm the trial court‘s judgment.
KELLER, P.J., filed a concurring opinion.
JOHNSON, J., filed a concurring opinion.
PRICE, J., filed a dissenting opinion.
KELLER, P.J., filed a concurring opinion.
I write separately to respond to the dissent‘s discussion of stare decisis and of Travelstead v. State.1 Citing Busby v. State, the dissent contends that stare decisis concerns are especially compelling in the present case because it involves the judicial construction of a legislative enactment on which the parties rely for guidance.2 In Busby, we explained, “The interests underlying the doctrine of stare decisis are at their height for judicial interpretations of legislative enactments upon which parties rely for guidance in attempting to conform to those legislative enactments.”3 Although the present case involves the interpretation of a legislative enactment, it does not involve reliance. Advance notice of the Court‘s holding in the present case would have changed noth-
Stare decisis concerns are also strong when the Legislature reenacts a statute without change after a judicial decision construing the statute—the inference being that the Legislature must have intended that the judicial construction continue to apply.5 The inference is considerably weaker when the Legislature is merely silent after a judicial construction.6 “[L]egislative inaction does not necessarily equal legislative approval. The Legislature is not required to repair our error, nor are we forbidden to do so ourselves.”7
The dissent further contends that the Court errs to rely upon Travelstead because the Legislature effectively overruled that decision by amending
With these comments, I join the Court‘s opinion.
JOHNSON, J., filed a concurring opinion.
I agree with the dissent that the far better practice is to include in the verdict form appropriate wording about the use of a deadly weapon. However, because we assume that a jury follows the instructions given to it in the jury charge, under the facts of this case the jury explicitly found the use of a deadly weapon. I concur in the judgment of the Court.
Stare decisis is the means by which we ensure that the law will not merely change erratically, but will develop in a principled and intelligible fashion. Vasquez v. Hillery, 474 U.S. 254, 265, 106 S.Ct. 617, 88 L.Ed.2d 598 (1986). The United States Supreme Court reiterated the policies behind stare decisis. “Stare decisis promotes the evenhanded, predictable, and consistent development of legal principles, fosters reliance on judicial decisions, and contributes to the actual and perceived integrity of the judicial process.” Payne v. Tennessee, 501 U.S. 808, 827, 111 S.Ct. 2597, 115 L.Ed.2d 720 (1991).
Stare decisis strongly urges judges not to reconsider precedent. Seminole Tribe v. Florida, 517 U.S. 44, 63, 116 S.Ct. 1114, 134 L.Ed.2d 252 (1996). However, overruling precedent in Texas is acceptable under certain circumstances. Some factors that support overruling precedent are: 1) when the original rule is flawed from the outset; 2) when older precedent conflicts with a newer decision that is found to be more soundly reasoned; and 3) when the rule consistently creates unjust results or places unnecessary burdens upon the system. Hammock v. State, 46 S.W.3d 889, 892-93 (Tex.Crim.App.2001).
In Davis v. State, a majority of this Court, including two judges currently sitting on this Court, held that a trial court was not authorized to enter a deadly weapon affirmative finding because there was no deadly weapon special issue included in either the guilt or punishment jury charge, and the voluntary manslaughter verdict mentioned neither a deadly weapon nor the indictment. 897 S.W.2d 791, 793 (Tex.Crim.App.1995). Yet, today, a majority of this Court now finds that the reasoning in Davis was flawed.
The majority in this case, justifies overruling Davis by comparing it to Travelstead. In Travelstead, the defendant was convicted of murder under the law of parties, and an affirmative finding of the use or exhibition of a deadly weapon was included in the judgment. Travelstead v. State, 693 S.W.2d 400, 401 (Tex.Crim.App.1985). Because the defendant was not the triggerman, he argued to this Court that it was inappropriate for the trial court to make an affirmative finding in his case. This Court agreed and stated:
We find that the phrase “the defendant used or exhibited a deadly weapon” implies that the defendant, himself, use or exhibit a deadly weapon during the commission of a felony or flight therefrom. When a defendant is a party ... to the use or exhibition of a deadly weapon, there must be a specific finding by the trier of facts that the defendant himself used or exhibited the deadly weapon.
Therefore, as the majority reasons, courts were to determine whether a defendant personally used the deadly weapon alleged in the indictment by looking to the application paragraph of the jury charge to decide whether it included a parties charge. The application paragraph was crucial to that determination.
In its comparison of the two cases, the majority states that the courts should look to the application paragraph to overturn a deadly weapon finding if that paragraph includes a parties charge, but courts should not look to that same application paragraph to uphold a deadly weapon finding. If that were the law today, the majority‘s reasoning might be persuasive.
In 1991, the Legislature effectively overruled Travelstead when it amended
In its next reason to overrule Davis, the majority states that this Court‘s holding in Davis did not serve Polk‘s underlying purpose of ensuring that the jury make an express deadly weapon finding. Instead, it exalted form over substance to no discernible purpose.
The purpose is obvious. This Court defined “affirmative finding” to mean “the trier of fact‘s express determination that a deadly weapon or firearm was actually used or exhibited during the commission of the offense.” Polk v. State, 693 S.W.2d 391, 393 (Tex.Crim.App.1985). This Court specifically noted that an implied finding is not an express finding as is required by statute, and that the Legislature‘s requirement for an express finding was meant to save all of us from sinking ever deeper into the quagmire of whether differing indictment/verdict/fact situations amounted to implied findings or not. Id. at 396.
In Travelstead, the majority stated that when the issue of punishment is before the jury, the trial court should submit a special issue to the jury regarding an affirmative finding of a deadly weapon. Much confusion would be eliminated if this procedure was followed. Travelstead v. State, 693 S.W.2d 400, 402 (Tex.Crim.App.1985).
Since Polk, it has been very well-settled that in a jury trial, a trial court is authorized to enter a deadly weapon affirmative finding in three situations: where the jury has 1) found guilt as alleged in the indictment and the deadly weapon has been specifically plead as such using deadly weapon nomenclature in the indictment; 2) found guilt as alleged in the indictment but, though not specifically plead as a deadly weapon, the weapon plead is per se a deadly weapon; or 3) affirmatively answered a special issue on deadly weapon use. Polk, 693 S.W.2d at 396.
The majority believes that this Court did not take into account lesser-included offenses when it set out the three modes of addressing a deadly weapon finding. That may be true but, when looking at these three modes, it is obvious that the third mode, affirmatively answering a special issue, is the proper avenue to take when dealing with a lesser-included offense.
The majority also states that courts should not be required to consult two different documents (i.e., the verdict form in the jury charge and the indictment) if one document will suffice. What the majority is overlooking is that its holding today will only make that situation worse. The majority would have the appellate courts review every indictment, every verdict form and every application paragraph in the jury charges to locate an affirmative finding that a deadly weapon was used or exhibited during the offense of conviction.
The majority believes that the moral of Polk is that courts should not have to wade through trial evidence to divine whether a jury did or did not find, beyond a reasonable doubt, that a defendant used a deadly weapon in the commission of the offense. Yet, the majority would have the courts look through numerous documents to locate the deadly weapon finding. Would it not be easier to only have to consult the verdict form and sometimes the indictment when the verdict relates back? Would it not be more beneficial to the system if the courts knew exactly where to go to find this information?
Upon close analysis, the majority‘s attempt to justify its holding is lacking both logic and skill. The procedure in Davis is simple and beneficial to the organization of the criminal justice system. Only one sentence needs to be added to the verdict form. The deadly weapon finding will be easy to find and there will be no confusion on whether there was an express finding. The trial court should be responsible for having a special issue in the jury charge relating to a deadly weapon finding.
Our law requires that “the judge shall ... deliver to the jury ... a written charge distinctly setting forth the law applicable to the case....”
In our system the parties are adversaries; the judge is not. The parties may make strategic decisions whether to present evidence, and the evidence will determine what law must be applied. To that extent the adversaries’ decisions affect the court‘s charge. But the charge is the judge‘s. It is not under the control of the adversaries. When the evidence is closed, the judge‘s duty to charge on the applicable law is no longer subject to the strategic decisions of the parties.
966 S.W.2d 57, 69 (Tex.Crim.App.1998).
Without any basis for doing so, I believe that the majority of this Court is departing from the doctrine of stare decisis in its holding. I would affirm the judgment of the Court of Appeals and strike the affirmative weapon finding from the judgment. I respectfully dissent.
Robert Marvin WALLACE, Appellant, v. The STATE of Texas.
No. 937-02.
Court of Criminal Appeals of Texas, En Banc.
May 21, 2003.
