Haynes v. State
Full Opinion (html_with_citations)
OPINION
delivered the opinion of the Court in which
The issue in this case is whether an appellate court may lâeform a trial courtâs judgment to reflect a conviction for an unrequested lesser-included offense not submitted to the jury, when the appellate court decides that the evidence is insufficient to support the juryâs guilty verdict for the greater offense but is sufficient to support a conviction for the lesser-included offense. We decide that, under these circumstances, an appellate court may not reform the trial courtâs judgment to reflect a conviction for the lesser-included offense.
A jury convicted appellant of the charged felony offense of assaulting a member of his household by causing her bodily injury several years after appellant had been convicted of assaulting a family
The court of appeals decided that the evidence is insufficient to support appellantâs conviction for the charged offense, because the evidence does not support an elemental finding that the more recent assault victim was a member of appellantâs household at the time of the assault. See Haynes, op. at 189. The court of appeals reversed appellantâs conviction and entered a judgment of acquittal. See id. We granted ground two of the Stateâs petition for discretionary review, which presents the claim that, instead of ordering a judgment of acquittal, the court of appeals should have reformed the trial courtâs judgment to reflect appellantâs conviction for the lesser-included, Class A misdemeanor offense of assault.
This Court addressed this reformation issue as one of first impression in Collier v. State, 999 S.W.2d 779, 780 (Tex.Cr.App.1999). Judge Mansfieldâs lead four-judge plurality opinion in Collier decided that:
[A] court of appeals may reform a judgment of conviction to reflect conviction of a lesser included offense only if (1) the court finds that the evidence is insufficient to support conviction of the charged offense but sufficient to support conviction of the lesser included offense and (2) either the jury was instructed on the lesser included offense (at the request of a party or by the trial court sua sponte) or one of the parties asked for but was denied such an instruction.
Collier, 999 S.W.2d at 782 (Mansfield, J., joined by Meyers, Price, and Johnson, JJ.) (italics in original).
Judge Mansfieldâs lead opinion in Collier was based in large part on the rationale that in cases like this the State âoverreachesâ or goes âfor brokeâ by pursuing a trial strategy of not requesting a lesser-included offense instruction to make it more likely it will obtain a conviction for the greater offense that the evidence might only âweaklyâ support. See Collier, 999 S.W.2d at 781-82.
Judge Keaslerâs opinion concurring only in the judgment in Collier was the necessary fifth vote to support the judgment in that case. See Collier, 999 S.W.2d at 783-85 (Keasler, J., concurring). Judge Keaslerâs concurring opinion decided that a âcourt of appeals cannot reform a judgment to reflect a conviction for a lesser-ineluded offense unless that lesser-included offense was submitted in the jury charge.â See Collier, 999 S.W.2d at 784 (Keasler, J., concurring) and at 785 (same).
We understand the State to claim that Collier has no precedential value, because there is no majority holding contained within its lead and concurring opinions. See, e.g., Marks v. United States, 430 U.S. 188, 193, 97 S.Ct. 990, 51 L.Ed.2d 260 (1977) (when âa fragmented Court decides a case and no single rationale explaining the result enjoys the assent of five Justices, the holding of the Court may be viewed as that position taken by those Members who concurred in the judgments on the narrowest groundsâ) (internal quotes omitted). We further understand the State to argue that the issue presented in Collier and in this case should, therefore, be reexamined anew as an issue of first impression unburdened by any stare decisis considerations.
We note, however, that the âoverreachingâ rationale in Judge Mansfieldâs lead opinion in Collier replicates much of the rationale of this Courtâs majority opinion in Stephens v. State, 806 S.W.2d 812, 817-18 (Tex.Cr.App.1990) (Campbell, J., joined by Davis, Clinton, Teague, Miller, White, Berchelmann, and Sturns, JJ.).
And, Judge Keaslerâs concurring opinion in Collier is based on Rules 43.3 and 43.2(b), which have not changed since Collier was decided. What has changed since Collier was decided is the composition of this Court, which is not a valid reason for ignoring stare decisis principles. See Wheatfall v. State, 882 S.W.2d 829, 843 (Tex.Cr.App.1994) (change in court membership not sufficient reason to ignore stare decisis principles). We decide that the court of appeals could not reform the trial courtâs judgment to reflect a conviction for the unrequested lesser-included, Class A misdemeanor assault offense, since it was not submitted in the jury charge.
Presiding Judge Kellerâs dissenting opinion asserts that this Courtâs 8-1 majority opinion in Stephens cannot supply the âoverreachingâ
Presiding Judge Kellerâs dissenting opinion also asserts that Collier contains no majority holding, because Judge Mansfieldâs lead plurality âopinion and Judge Keaslerâs concurring opinion contain entirely disparate rationales.â See Dissenting op. at 194. But, the rule for determining a majority holding in a case decided by a fragmented court applies when there are âdisparate rationalesâ for the result. See Marks, 430 U.S. at 193, 97 S.Ct. 990 (when âa fragmented Court decides a case and no single rationale explaining the result enjoys the assent of five Justices, the holding of the Court may be viewed as the position taken by those Members who concurred in the judgments on the narrowest
Judge Cochranâs dissenting opinion seems to suggest that this Court is at liberty to decide the issue presented in this case as one of first impression. See Dissenting op. at 189-91 (Cochran, J., dissenting). The Courtâs opinion, however, applies majority decisions in two prior cases
The judgment of the court of appeals is affirmed.
JOHNSON, J., filed a concurring opinion.
. The evidence shows that appellant caused his former roommate bodily injury by striking her mouth with his hand. She had moved out about a month.before to "get awayâ from appellant. The evidence also shows that appellant had been convicted of assaulting a family member several years before he committed the assault in this case.
Current and former Section 22.01(a)(1), Tex. Pen.Code, provide that a person commits assault if the person "intentionally, knowingly, or recklessly causes bodily injury to another, including the personâs spouse.â The law applicable to appellantâs case provides that this offense is a third-degree felony, instead of a Class A misdemeanor offense, if the offense is committed against "a member of the defendantâs family or household, if it is shown on the trial of the offense that the defendant has been previously convicted of an offense against a member of the defendant's family or household under this section.â See Former § 22.01(b)(2), Tex. Pen.Code; Haynes v. State, 254 S.W.3d 466, 468 n.l (Tex.App.-Houston [1st Dist.], 2007) (setting out the history of this statute).
. Judge Mansfield's lead opinion in Collier adopted the reasoning of the Wisconsin Supreme Courtâs unanimous decision in State v. Myers, 158 Wis.2d 356, 461 N.W.2d 777 (1990). See Collier, 999 S.W.2d at 782.
. The rationale of Judge Mansfieldâs lead plurality opinion in Collier, therefore, appears to be based on not allowing the State âto have its cake and eat it too.â We note that the punishment range for the charged third-degree felony offense in this case with two prior felony convictions is 25 to 99 years in prison. See § 12.42(d), Tex. Pen.Code. The punishment range for a Class A misdemeanor assault offense with two prior felony convictions is 90 days to one year in jail. See § 12.43(a)(2), Tex. Pen.Code. Appellant was, therefore, exposed to a much greater punishment range than he would have been exposed to had the jury been instructed on and convicted appellant of the Class A misdemeanor assault offense.
. Judge Keaslerâs holding was based on Tex. R.App. 43.2(b), which authorizes a court of appeals to "modifyââ a trial courtâs judgment and affirm it as modified, and Tex.R.App. 43.3, which authorizes a court of appeals, when reversing a trial courtâs judgment, to ârender the judgment that the trial court should have rendered.â See Collier, 999 S.W.2d at 784 (Keasler, J., concurring) (âjudgment that the trial court should have renderedâ under Rule 43.3 can only be a judgment that trial court was capable of rendering, given the jury instructions, and if jury is only instructed on one offense, then trial court can render only judgment on that offense or a judgment of acquittal) and at 785 (rendering judgment on lesser-ineluded offense is not simply "modifyingâ judgment under Rule 43.2(b) but is entry of another judgment entirely); see also Myers, 461 N.W.2d at 779-80 (Wisconsin rule of appellate procedure authorizing appellate court to modify a judgment does not permit appellate court to "repair a guilty verdict reversed for insufficient evidence by simply modifying the conviction to reflect a lesser included offense when instructions on the lesser included offense were not submitted to the juryâ).
. The majority opinion in Stephens held that "when a defendant has obtained a reversal of a conviction for a greater offense solely on the ground that there was insufficient evi
. Since the record in this case does not reflect that "one of the parties asked for but was deniedâ a lesser-included offense instruction, this case does not require this Court to decide whether an appellate court may reform a judgment to reflect a conviction for the lesser-included offense in these circumstances. See Collier, 999 S.W.2d at 782 (plurality holding that a court of appeals may reform the judgment in these circumstances) and at 790-91 (Johnson, J., concurring to denial of State's motion for rehâg) (discussing possible "majority" holdings in Collier) and at 790-91 (McCormick, P.J., dissenting to denial of State's motion for rehâg) (same).
. The term "overreachingâ that has been used to describe the Stateâs conduct in cases like this is taken from this Court's opinion on original submission in Garrett v. State and from Judge McCormick's dissenting opinion on rehearing in Stephens. See Garrett v. State, 749 S.W.2d 784, 794 (Tex.Cr.App.1986) (op. on orig. subm'n); Stephens, 806 S.W.2d at 831 (McCormick, J., dissenting on rehâg).
. Judge Mansfieldâs lead plurality opinion in Collier decided that the judgment in that case could not be reformed to reflect conviction
. We also note that this Court's decision in Stephens extended its âoverreachingâ rationale to the reformation context when it also stated in dicta that âthis Court does not have the authority to reform a conviction of a greater felony found to be based on insufficient evidence to lesser felony, which the evidence will support." See Stephens, 806 S.W.2d at 818 n. 8. We further note that the Wisconsin Supreme Court's majority decision in Myers also relied on the "overreaching" rationale in construing a Wisconsin rule of appellate procedure, similar to the ones discussed in Judge Keasler's concurring opinion in Collier, as not authorizing reformation in cases like this. See Myers, 461 N.W.2d at 779-80. Judge Mansfieldâs lead plurality opinion in Collier is not the only judicial decision to rely on an "overreachingâ rationale in a reformation context.
. Presiding Judge Kellerâs dissenting opinion also asserts that, because a "juryâs verdict on a greater offense necessarily constitutes a finding on every essential element of a lesser-included offense,â Collier was wrong to conclude that "insufficiency of the evidence of an aggravating element of an offense may result in an acquittal rather than in conviction of the unaggravated lesser-included offense." See Dissenting op. at 192. However, an overwhelming majority of this Court did not accept this argument when it was presented in dissenting opinions in Stephens in 1990 and in Collier in 1999. See Collier, 999 S.W.2d at 792-93 (McCormick, P.J., dissenting on rehâg, joined by Keller, J.) (Stephens "failfedj to appreciate the legally significant distinction between when a jury acquits a defendant of the greater offense versus when a jury convicts the defendant of the greater offense but an appellate court decides the evidence is insufficient to support only an aggravating element of the greater offense") (emphasis in original) and at 795 (when jury convicts defendant of greater offense, it necessarily convicts him of lesser offense, so reforming judgment to reflect conviction of lesser offense would reflect a "true finding of the fact finderâ) (internal quotes omitted); Stephens, 806 S.W.2d at 821 (McCormick, J., dissenting) ("Had HarĂłn Stephens been tried for aggravated rape and a jury had found him not guilty, then I might agree that the State could not retry him for the lesser included offense of rape. But that is not what happened to Stephens. Stephens was tried and a jury found him guilty of aggravated rape. In finding him guilty of this greater offense, the jury necessarily found Stephens guilty of the lesser included offense of rape.") (emphasis in original) and at 833-34 (double jeopardy principles should not prohibit a subsequent prosecution of Stephens for rape "regardless of whether [this] predicate or lesser included offense was separately submitted to the trier of fact as an alternative basis for convictionâ in his earlier prosecution for aggravated rape) (emphasis in original).
. See Footnote 6 (noting that this case does not require this Court to decide whether an appellate court may reform a judgment to reflect a conviction for a lesser offense when "one of the parties asked for but was deniedâ an instruction on the lesser offense).
. The remaining arguments presented in Presiding Judge Kellerâs dissenting opinion (persuasive though they may be) were raised and apparently rejected by a majority of this Court in Collier. See Collier, 999 S.W.2d at 785-91 (Keller, J., dissenting).
. See Collier, 999 S.W.2d at 782 (Mansfield, J.) and at 783-85 (Keasler, J., concurring); Stephens, 806 S.W.2d at 813-20.
. It should be noted that the rule applied in this case should be changed through the legislative or rule-making process rather than through judicial activism. Compare Collier, 999 S.W.2d at 783-85 (Keasler, J., concurring) (reformation not permitted in cases like this, because rules of appellate procedure do not authorize it). This could also have been accomplished at any time during the almost 10 years since Collier was decided.