Grey v. State
Full Opinion (html_with_citations)
delivered the opinion of the Court
In the Royster-Rousseau line of cases, we established a two-pronged test for determining when a trial judge should submit to the jury a lesser-included offense that is requested by the defendant.
Appellant was indicted for aggravated assault by causing bodily injury and using a deadly weapon. The alleged deadly weapon was appellant’s hand, used to strangle the victim. In addition to instructions about the indicted offense, the jury charge contained an instruction on the lesser-included offense of simple assault by causing bodily injury. The jury charge was prepared by the prosecutor’s office, and one of the prosecutors stated on the record that she had no objection to it and thought it was sufficient. But defense counsel objected to the lesser-included-offense instruction.
On appeal, appellant claimed that the submission of the lesser-included offense was error. The court of appeals agreed and reversed the conviction.
II. ANALYSIS
A. Rules for Overruling Precedent
Though it is “[ojften better to be consistent than right,”
(1) that the original rule or decision was flawed from the outset,
(2) that the rule’s application produces inconsistent results,
(3) that the rule conflicts with other precedent, especially when the other precedent is newer and more soundly reasoned,
(4) that the rule regularly produces results that are unjust, that are unanticipated by the principle underlying the rule, or that place unnecessary burdens on the system, and
(5) that the reasons that support the rule have been undercut with the passage of time.8
B. The Remedy in Arevalo
One obvious flaw in the rule laid down by Arevalo and its progeny, one that produces inconsistent and unjust results in every single case in which the rule is applied, is the remedy. When a lesser-included offense is submitted in violation of Arevalo, and the defendant is convicted of that offense, the remedy this Court has imposed is a remand for a new trial on the very same lesser-included offense that the defendant has just claimed should never have been submitted.
C. Source of the Rule in Arevalo
1. Constitution?
So where did the rule in Arevalo come from, and what is the legal basis for its existence? Arevalo’s holding was based upon the “guilty only” requirement that is the second prong of the Royster-Rousseau test.
Evans also discussed the plurality opinion of Roberts v. Louisiana,
The arguable relevance of Roberts to Texas jurisprudence is far more tenuous. The Roberts opinion found arbitrariness in the context of a scheme that automatically imposed the death penalty upon conviction for first-degree murder.
2. Statute?
Though the Court’s opinion in Arevalo cited to articles 37.08 and 37.09,
D. The Reasoning Behind the Rule in Arevalo
The “guilty only” requirement was originally articulated by this Court in Daywood v. State.
The Court in Arevalo then made an inferential leap: It held that this rationale “is as applicable to the State’s request for a lesser-included offense as it is to a defendant’s request.”
But the Court did not ask or answer the next obvious question: How does a lesser-included-offense instruction invite a jury to reach an irrational verdict? If the lesser offense is viewed in isolation, a jurys verdict would be rational so long as the lesser offense is included in the charging instrument and supported by legally sufficient evidence.
E. The Consequences of the Rule in Arevalo
We have already addressed one detrimental consequence of the rule in Arevalo: the remedy for the supposed error is illogical. Another detrimental consequence is that the prosecutor may be faced with a situation in which any decision he makes carries a high risk of error. If the prosecutor requests a lesser-included offense, he may run the risk of a reversal under Are-valo. But if the prosecutor fails to request a lesser-included offense, he may also run the risk of an outright acquittal by a jury or an acquittal for legal insufficiency on appeal.
The present case is illustrative. To convict appellant of aggravated assault in this case, the State had to prove that he used or exhibited a deadly weapon.
Arevalo’s application is not limited to cases in which the prosecutor is uncertain how a jury or an appellate court will view the strength of the State’s case.
The cautious approach for the prosecutor to take would be — or at least should be — to request the lesser-included offense. Allowing submission of lesser offenses when requested by the prosecutor would serve at least two important interests. First, society has an interest in convicting and punishing people who are guilty of crimes. When, in the prosecutor’s judgment, submission of the lesser-included offense will enhance the prospects of securing an appropriate criminal conviction for a defendant who is in fact guilty, society’s interests are best served by allowing the submission. Second, the prosecutor has “the primary duty ... not to convict, but to see that justice is done.”
Of course, the prosecutor could simply abandon the charged offense in favor of the lesser-included offense.
F. Conclusion
The common-law rule established in Arevalo is based on flawed premises, places undue burdens on the prosecutor, and results in an illogical remedy. Consequently, we overrule Arevalo.
The judgment of the court of appeals is reversed, and the case is remanded to address appellant’s remaining points of error.
HERVEY, J., filed a concurring opinion in which MEYERS, and KEASLER, JJ., joined.
COCHRAN, J., filed a concurring opinion.
I agree that we should overrule Arevalo v. State, 943 S.W.2d 887 (Tex.Cr.App.1997). I also agree with the dissenters in Arevalo that a “trial court has no discretion to deny a request for an instruction [on a lesser-included offense] when [the Royster-Rousseau ] test is met,[
. See Royster v. State, 622 S.W.2d 442 (Tex.Crim.App.1981)(plurality op.); Rousseau v. State, 855 S.W.2d 666 (Tex.Crim.App.1993).
. Rousseau, 855 S.W.2d at 673.
. 943 S.W.2d 887 (Tex.Crim.App.1997).
. Defense counsel objected as follows: “I would object to the lesser-included offense of misdemeanor assault being included. The reason is because of the strangled. There is no definition. The definition is to cause death. A lesser included is we strike elements or facts in and see if we have another lesser offense. We strike deadly weapon, well, now we have strangled indicating death of a misdemeanor.” After the objection was overruled, defense counsel requested an instruction on the lesser-included offense of Class C misdemeanor assault by offensive touching. That request was denied. The State does not raise before us any claim regarding the sufficiency of appellant’s trial objection to the lesser-included offense that was submitted.
. Grey v. State, 269 S.W.3d 785 (Tex.App.Austin 2008).
. Malik v. State, 953 S.W.2d 234, 236 (Tex.Crim.App.1997).
. Ex parte Lewis, 219 S.W.3d 335, 338 (Tex.Crim.App.2007).
. Id.
. Hampton v. State, 165 S.W.3d 691, 694 (Tex.Crim.App.2005).
. Hampton v. State, 109 S.W.3d 437, 442 (Tex.Crim.App.2003)(Keller, P.J., dissenting).
. Green v. United States, 355 U.S. 184, 78 S.Ct. 221, 2 L.Ed.2d 199 (1957); TexCode Crim. Proc. art. 37.14.
. Hampton, 165 S.W.3d at 694; see also Hampton, 109 S.W.3d at 442 (Keller, P.J., dissenting).
. Hampton, 165 S.W.3d at 694.
. See Arevalo, 943 S.W.2d at 888-90.
. Arevalo, 943 S.W.2d at 890-91 (McCormick, P.J., dissenting); id. at 892 n. 2, 893 (Meyers, J., dissenting).
. 456 U.S. 605, 102 S.Ct. 2049, 72 L.Ed.2d 367 (1982).
. Rousseau, 855 S.W.2d at 672-73, 673 n. 4; see Evans, 456 U.S. at 612, 102 S.Ct. 2049 (quoting the federal rule).
. 447 U.S. 625, 100 S.Ct. 2382, 65 L.Ed.2d 392 (1980).
. Evans, 456 U.S. at 610, 102 S.Ct. 2049 (citing Beck, 447 U.S. at 642, 100 S.Ct. 2382)(bracketed material inserted).
. 428 U.S. 325, 96 S.Ct. 3001, 49 L.Ed.2d 974 (1976)(plurality op.).
. Evans, 456 U.S. at 611, 102 S.Ct. 2049.
. Evans, 456 U.S. at 611, 102 S.Ct. 2049 (quoting Roberts, 428 U.S. at 334, 96 S.Ct. 3001).
. Id. (citing Roberts, 428 U.S. at 335, 96 S.Ct. 3001).
. Beck, 447 U.S. at 638 n. 14, 100 S.Ct. 2382; see also Howell v. Mississippi, 543 U.S. 440, 444-45, 125 S.Ct. 856, 160 L.Ed.2d 873 (2005).
. Howell, 543 U.S. at 445, 125 S.Ct. 856.
. Almanza v. State, 686 S.W.2d 157 (Tex.Crim.1984).
. Saunders v. State, 913 S.W.2d 564, 570-72 (Tex.Crim.App.1995).
. Jimenez v. State, 32 S.W.3d 233, 237 (Tex.Crim.App.2000).
. Saunders, 913 S.W.2d at 571 n. 3.
. Roberts, 428 U.S. at 336, 96 S.Ct. 3001.
. 925 F.2d 1527, 1552-53 (3rd Cir.1991).
. Id. at 1553.
. Id.; see also McDougall v. Dixon, 921 F.2d 518, 531-32 (4th Cir.l990)(distinguishing Roberts on the basis that there was evidence upon which a jury could have returned a verdict on the lesser offense and North Carolina did "not have a mandatory death sentence for first degree murder as Louisiana had at the time of Roberts ").
. See id. at 888 (citing Tex.Code Crim. Proc. arts. 37.08, 37.09).
. Art. 37.08 provides: "In a prosecution for an offense with lesser included offenses, the jury may find the defendant not guilty of the greater offense, but guilty of any lesser included offense.” Art. 37.09 provides:
*649 An offense is a lesser included offense if:
(1) it is established by proof of the same or less than all the facts required to establish the commission of the offense charged;
(2) it differs from the offense charged only in the respect that a less serious injury or risk of injury to the same person, property, or public interest suffices to establish its commission;
(3) it differs from the offense charged only in the respect that a less culpable mental state suffices to establish its commission; or
(4) it consists of an attempt to commit the offense charged or an otherwise included offense.
.See TexCode Crim. Proc. art. 36.14 ("the judge shall ... deliver to the juiy ... a written charge distinctly setting forth the law applicable to the case").
. See Tex.Code Crim. Proc. art. 1.27 (“If this Code fails to provide a rule of procedure in any particular state of case which may arise, the rules of the common law shall be applied and govern.”).
. 157 Tex.Crim. 266, 269, 248 S.W.2d 479, 481 (Tex.Crim.App.1952).
. Id.
. Arevalo, 943 S.W.2d at 889 (bracketed material substituted for original).
. Id.
. Id. at 890.
. See Wasylina v. State, 275 S.W.3d 908, 909-10 (Tex.Crim.App.2009).
. Eastep v. State, 941 S.W.2d 130, 134 (Tex.Crim.App.1997).
. See Collier v. State, 999 S.W.2d 779, 790 (Tex.Crim.App.1999)(Keller, J., dissenting); id. at 794 (McCormick, P.J., dissenting on motion for rehearing); Haynes v. State, 273 S.W.3d 183 (Tex.Crim.App.2008)(reformation to lesser-included offense not permitted when the lesser-included offense is not submitted and the prosecutor failed to request its submission).
. See Tex. Pen.Code § 22.02(a)(2).
. Grey, 269 S.W.3d at 788-89.
. For an example of a dispute about the strength of the State’s case, see Easier v. State, 275 S.W.3d 512, 523-24 (Tex.Crim.App.2009), and id. at 528-33 (Cochran, J., dissenting). Judge Cochran noted that, if her view were correct, the conviction could be reformed to reflect a lesser included offense that was submitted to the jury, with a remand for resentencing. Id. at 533, 533 n. 40 (Cochran, J., dissenting).
.See Lomax v. State, 233 S.W.3d 302 (Tex.Crim.App.2007)(felony DWI can be an underlying offense for felony murder) and id. at 311 n. 31 (because lesser offense of felony DWI was submitted, judgment could have been reformed to lesser offense if felony murder conviction had been set aside); Haynes v. State, 254 S.W.3d 466, 469-70 (Tex.App.
. See Long v. State, 931 S.W.2d 285, 294 (Tex.Crim.App.1996)(element distinguishing stalking from lesser offense rendered stalking offense unconstitutional).
. See Roberts v. State, 273 S.W.3d 322, 330-31, 332 (Tex.Crim.App.2008)(overruling holding in Norris v. State, 902 S.W.2d 428 (Tex.Crim.App.1995), regarding the proper use of transferred intent and reforming judgment to reflect conviction for lesser-included offense of murder and remanding for resentencing).
. Tex.Code Crim Proc. art. 2.01; Haynes, 273 S.W.3d at 191 (Johnson, J., concurring).
. See Eastep, cited above.
. This rule for determining when a trial court must submit a lesser-included-offense instruction apparently is based on federal due process, at least in death-penalty cases. See Beck v. Alabama, 447 U.S. 625, 633-38, 100 S.Ct. 2382, 65 L.Ed.2d 392 (1980); Keeble v. United States, 412 U.S. 205, 208, 212-13, 93 S.Ct. 1993, 36 L.Ed.2d 844 (1973); Arevalo, 943 S.W.2d at 890-91 (McCormick, P.J., dissenting) and at 892 n. 1 (Meyers, J., dissenting).
. See Hall v. State, 225 S.W.3d 524 (Tex.Cr.App.2007).