Lead Opinion
OPINION ON STATE’S AND APPELLANT’S PETITIONS FOR DISCRETIONARY REVIEW
Appellant was convicted in a consolidated trial of the offenses of aggravated kidnapping and aggravated sexual assault and received a life sentence for each offense. Appellant argued that the trial court fundamentally erred in charging the jury at the punishment stage that aggravated kidnapping was a first degree felony. The State and appellant also disputed whether this charge corrupted the jury’s punishment consideration of aggravated sexual assault. The court of appeals agreed with the appellant’s contention that the trial court’s instruction amounted to fundamental error, and accordingly reversed and remanded appellant’s conviction for aggravated kidnapping. See Williams v. State,
At about 4:20 p.m. on January 18, 1984, an assailant abducted the victim, a high school student, as she was preparing to leave a mall where she had been shopping. Forcing her into the passenger side of her car, the assailant drove her to a cemetery, compelled her to have sexual intercourse with him, then left her at the cemetery. After a few moments to recover, the victim walked to a nearby motel and called her parents. The police arrived by about five o’clock and questioned the victim. She was taken to the hospital about an hour later.
The critical dispute at trial was the identity of the assailant. Neither fingerprints nor hair samples taken from the car conclusively connected the appellant with the offenses. However, the victim identified the appellant as the assailant in a line-up conducted approximately fifteen months after the offense. The defense produced alibi witnesses and raised various questions about the reliability of the identification. The jury found appellant guilty of both aggravated kidnapping and aggravated sexual assault.
At the punishment phase the State introduced appellant’s prior conviction for burglary with intent to commit rape, for which the appellant had been placed on eight years probation. The State also called three probation officers and two police officers, all of whom testified that the appellant’s reputation in the community as a peaceable and law-abiding citizen was bad. Appellant called members of his family who maintained that he was innocent.
The trial court instructed the jury that by their guilty verdict, “you have found the [appellant] guilty of Aggravated Kidnapping, a felony of the first degree[,]” and that appellant could be punished “by confinement in the Texas Department of Corrections for life or for any term of not more than 99 years or less than 5 years.” Appellant made no objection to this charge. The jury sentenced appellant to life for both aggravated kidnapping and aggravated sexual assault.
On appeal, appellant contended that the trial court erred in advising the jury that aggravated kidnapping was a felony of the first degree. The court of appeals reviewed V.T.C.A. Penal Code, § 20.04(b), which states:
“(b) An offense under this section is a felony of the first degree unless the actor voluntarily releases the victim alive and in a safe place, in which event it is a felony of the second degree.”
Relying upon Wright v. State,
Appellant also sought reversal from the court of appeals for the aggravated sexual assault conviction on the grounds that the erroneous instruction on aggravated kidnapping deprived him of a fair assessment of punishment for aggravated sexual assault. However, appellant conceded that it is “impossible to determine what factors might have contributed to the severity of the [aggravated sexual assault] sentence.” Because the harm contended was speculative, the court of appeals found that appellant did not meet his burden of demonstrating egregious harm required by Almanza,
We will address these issues seriatim.
II.
In Wright,
The jury charge in the present case simply told the jury that aggravated kidnapping was a felony of the first degree and that the jury could assess a life sentence or any term of imprisonment between 5 and 99 years. The charge mentioned nothing about the requirement that the jury determine whether the victim was released alive and in a safe place. In effect, the trial court’s instruction amounted to a judicial command to assess a punishment for a first degree felony. The court of appeals held that because the State failed to meet its burden to prove the place appellant released his victim was unsafe, the jury should instead have been instructed it could only assess punishment as a second degree felony. Williams,
In its petition the State urges that, contrary to the holding of the court of appeals, it is appellant who bears the burden of producing evidence that the victim was released alive and in a safe place and requesting an instruction on the issue at the punishment stage. Because appellant failed to show that the cemetery was a safe place, and did not request a mitigation charge, the State maintains that the charge did not constitute fundamental error.
Thus, the question is now squarely before us, viz: which party is assigned the burden of proof under § 20.04(b). Section 20.04(b) provides that conviction for aggravated kidnapping shall be punishable as a first degree felony “unless” the accused voluntarily released his victim alive and in a safe place. We have construed Rule 81(b)(2), Tex.R.App.Pro., which mandates appellate reversal for trial error “unless” harmless, to place a burden upon the beneficiary of the error, which in that context is the State. Arnold v. State,
In context of Penal Code § 20.04, however, it is the accused who benefits from a finding that his victim was released alive and in a safe place. The accused will be punished as a first degree felon “unless” such a finding is made; any doubt on the question would presumably be resolved against him. It would appear, then, consistent with Arnold, that the burden of proof should be assigned to the accused. But § 20.04 is different than Rule 81(b)(2) in two important respects. First, unlike harmfulness of trial error, which is a question for the appellate court in the first instance, the question whether an accused has released his victim alive and in a safe place is for the factfinder at trial. Burden of proof is broken down into two components at trial: burden of production, or going forward; and burden of persuasion. We must decide whether an accused shoulders both burdens under § 20.04. Second, unlike Rule 81(b)(2), § 20.04(b) does not prescribe a particular level of confidence. An appellate court must find trial error harmless “beyond a reasonable doubt” under Rule 81(b)(2). But in § 20.04(b), the Legislature did not say how persuasive the
This Court has said that § 20.04(b) does not constitute an exception to the offense, under V.T.C.A. Penal Code, § 2.02. Smith v. State,
We take guidance from V.T.C.A. Penal Code § 2.03(e). That provision reads:
“A ground of defense in a penal law that is not plainly labeled in accordance with this chapter has the procedural and evidentiary consequences of a defense.”
Strictly speaking, that an accused may have released his victim alive and in a safe place is not “a ground of defense” in the sense that it excuses or justifies commission of the offense. Because it “only mitigates punishment[,]” we have said the issue of safe release is properly litigated at the punishment phase of trial. Robinson v. State,
We hold that the issue of whether an accused voluntarily released his victim alive and in a safe place “is not submitted to the jury unless evidence is admitted supporting” a finding that he did. V.T.C.A. Penal Code § 2.03(c). In other words, the accused has the threshold burden of production; if no evidence from either party could support that finding, the accused is not entitled to an instruction, and he will be punished as a first degree felon. If evidence from any source does raise the issue, however, then “the court shall charge that a reasonable doubt on the issue requires” the jury to find the accused did in fact release his victim in a safe place. See § 2.03(d). Once the issue is raised, the burden of production is met.
This holding is consistent with our opinion in Wright,
The court of appeals held the trial court should have instructed the jury it could only convict appellant as a second degree felon because the State produced no evidence to show the cemetery where he released his victim was not safe. Williams,
Finding error in the court’s charge, we must now determine whether that error is reversible. Almanza,
We do not agree with the court of appeals’ analysis of the harm issue. First, we refuse to create a per se rule that a defendant suffers egregious harm when the trial judge fails to instruct the jury on a “lesser included offense”
In Castillo-Fuentes v. State,
Utilizing this same harm analysis, this Court reached the same result in Ruiz v. State,
In determining the defendants in Castillo-Fuentes and Ruiz had suffered egregious harm, the Court distinguished Lawrence v. State,
The harm, if any, resulting from the error in this case is even less than that in Lawrence and Goff, and more akin to that in Moore. The primary defenses offered by appellant during his trial were misidenti-fication and alibi, as he concedes in his brief. While we have concluded the evidence supported an inference that the cemetery was a safe enough place, this issue of safeness was not a hotly-contested issue at trial, and neither party claims it as such. Indeed, defense counsel’s jury argument
III.
In his petition, in his first ground for review, appellant complains that the erroneous charge on aggravated kidnapping also deprived him of a fair and impartial consideration of punishment for aggravated sexual assault. Because we hold no egregious harm resulted from the trial court’s error, we find our decision to grant review on this issue was improvident. Tex. R.App.Proc. 202(k). Appellant’s petition is therefore dismissed.
IV.
Accordingly, the judgment of the court of appeals is affirmed in part and reversed in part. The judgment of the trial court is affirmed.
Notes
. The State relies upon two cases for support of its proposition, Smith v. State,
. The burden of production is no more than a rule of default, prescribing which party loses if there is a total failure of proof. Though the burden of production is on the accused, evidence raising the issue, and thus meeting that burden, may come from either party. In the present context it is likely that evidence raising the issue whether the place of a victim’s release was safe will often come out in the course of the State’s own evidence of the circumstances of the offense itself, at the guilt phase of trial. If no evidence whatever is adduced by either party showing the nature of the place of release, however, the accused, having failed in his burden of production, will be punished as a first degree felon.
. This allocation of the burden of proof is entirely consistent with federal due process. See Patterson v. New York,
. We use the term "lesser included offense" liberally in this regard. In this cause, we are of course dealing with only one offense, aggravated kidnapping, but with two possible punishment ranges depending on resolution of the fact issue on "safeness.” Failure to instruct the jury on this fact issue (when raised by the evidence as in this case) precludes the jury’s consideration of whether the defendant committed second degree felony aggravated kidnapping because the victim was released alive and in a safe place or first degree felony aggravated kidnapping where the victim was not. It is in this sense only that we consider one offense as a “lesser included offense” of the other. Cf. Mitchell v. State,
.Cf. Sattiewhite v. State,
. See Cobarrubio v. State,
. Lawrence v. State,
. Counsel’s jury argument during the guilt/innocence phase concentrated on misidentifica-tlon of the perpetrator, suggestive line-up procedures, and alibi, which issue was included in the court’s charge to the jury.
Dissenting Opinion
dissenting.
I agree with the majority’s assignments of burden in the punishment issue of release of a kidnapping victim alive and in a safe place. I agree, as well, that the court of appeals erred to hold unqualifiedly that appellant should have been punished as a second degree felon in this cause. I part ways with the majority here in its conclusion that failure to submit the issue of safe release to the jury, with instructions that it assess punishment in accordance with its resolution of that question, did not constitute fundamental error under Almanza v. State,
I.
The court of appeals found error in charging the jury that appellant should be punished as a first degree felon to be egregious, and hence fundamental under Al-
The likely finding that the complainant was released alive and in a safe place would have mandated punishment within a range of “not more than 20 years or less than two years.” V.T.C.A. Penal Code, § 12.33. Instead, appellant was assessed a life sentence. That hardly sounds like a “minimal impact” to me. Op. at 289. Under the circumstances I cannot conclude he was afforded a fair and impartial punishment proceeding on his aggravated kidnapping conviction.
II.
I do not agree appellant did not suffer egregious harm in the failure to submit the issue of safe release in relationship to his punishment for aggravated kidnapping. Therefore I cannot agree that our decision to grant his petition for discretionary review was improvident. Ultimately, however, I believe his contention fails.
Appellant complains that the erroneous charge on aggravated kidnapping also deprived him of a fair and impartial consideration of punishment for aggravated sexual assault. He asserts that the wrong penalty range in the aggravated kidnapping charge which misguided the jury’s deliberation on that offense also misguided the jury’s deliberation on the aggravated sexual assault conviction. Emphasizing that the same jury assessed punishment in both prosecutions and heard the same evidence, the appellant contends that it is unreasonable to suppose that the error infected only one of the two prosecutions.
Appellant relies primarily upon Uribe v. State,
Although Uribe is instructive, it is distinguishable from the present case. Uribe involved conviction for only one offense, for which the jury was instructed on an improperly high punishment range. In the present ease, the instruction authorizing
Appellant essentially argues that the error committed in the instruction authorizing punishment for aggravated kidnapping as a first degree felony somehow spilled over to vitiate assessment of punishment for aggravated sexual assault as well. The court of appeals held that such harm was too “speculative,” and at any rate not sufficiently egregious to justify reversal of the aggravated sexual assault conviction, sans objection. Albeit before Almanza was decided, this Court has held similarly on a similar set of facts. Blott v. State,
In Blott the defendant was convicted in a single proceeding of three instances of injury to a child and one instance of aggravated assault. The jury charge at the conclusion of the guilt phase of trial authorized conviction should the jury find the defendant acted, inter alia, “with criminal negligence.” Because the indictment did not allege that particular mens rea, the Court recognized that the instructions on injury to a child reduced the State’s burden of proof and thus were fundamentally defective under Cumbie v. State, 578 S.W.2d 732 (Tex.Cr.App.1979). The defendant argued that the fundamental error adhering in the instructions on injury to a child also “tainted” the charge authorizing conviction for aggravated assault. This is particularly true, he asserted, in view of an apparent prosecutorial invitation to the jury to convict defendant of that offense as well upon a finding of no more than criminal negligence. Noting that the defendant had failed to object to the prosecutor’s argument, and that the instruction on aggravated assault properly required a finding that the defendant acted at least “recklessly,” as the indictment had alleged, we rejected Blott’s “taint” analysis.
Absent an objection to the aggravated kidnapping instruction, and in view of the fact that the instruction on aggravated sexual assault correctly identified the punishment range for that offense, we should likewise reject appellant’s contention in the instant cause. It was within the jury’s authority to assess a life sentence for the aggravated sexual assault offense. There is no indication in the record that the jury was invited to assess additional punishment for the aggravated sexual assault offense on the basis that he contemporaneously committed the offense of aggravated kidnapping. Cf. Lomas v. State,
III.
Insofar as it affirmed appellant’s conviction for the offense of aggravated sexual assault, the judgment of the court of appeals should be affirmed. We should also affirm the court of appeals’ ultimate disposition of appellant’s conviction for aggravated kidnapping; that cause should be remanded to the trial court for further proceedings not inconsistent with this opinion. Because the majority does not, I respectfully dissent.
Obviously I would reject the court of appeals' dictum that “[i]f the evidence had been sufficient to create a fact issue on ‘safeness,’ the trial court’s instruction may not have risen to the level of egregious harm." Williams v. State, supra, at 775.
