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Gonzalez v State8 S.W.3d 640January 5, 2000 No. 1466-98 Majority opinion by Presiding Judge McCormick Link to Dissenting opinion by Judge Meyers IN THE COURT OF CRIMINAL APPEALS OF TEXAS NO. 1466-98 ALFRED GONZALEZ, Appellant v. THE STATE OF TEXAS ON APPELLANTS PETITION FOR DISCRETIONARY REVIEW FROM THE THIRD COURT OF APPEALS TRAVIS COUNTY McCormick, P. J., delivered the opinion of the Court, in which Mansfield, Keller, Holland, Womack and Keasler, JJ., joined. Meyers, J., filed a dissenting opinion in which Price and Johnson, JJ., joined O P I N I O N In this case we decide that appellants multiple punishments for the same offense federal constitutional double jeopardy claim1 is a forfeitable claim which may not be raised for the first time on appeal.2 Count I of appellants indictment charged aggravated robbery in three separate paragraphs alleging alternative means of committing this offense. These paragraphs were submitted to the jury disjunctively. Count II of appellants indictment charged injury to an elderly individual in a single paragraph. In a single proceeding a jury convicted appellant of both offenses by a general verdict. 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 jurys general guilty verdict of aggravated robbery could have rested on one of these paragraphs.3 Appellant conceded that if the jurys general guilty verdict of aggravated robbery rested on paragraph two, then no multiple punishments issue was presented.4 The Court of Appeals, therefore, rejected appellants multiple punishments claim because the jurys general guilty verdict of aggravated robbery could have rested on paragraph two. See Gonzalez v. State, 973 S.W.2d 427, 430-31 (Tex.App.--Austin 1998). The Court of Appeals also decided that because of this it was appellants burden to preserve, in some fashion, a double jeopardy objection at or before the time the charge [was] submitted to the jury. See id. The Court of Appeals did not analyze whether, and effectively decided it did not matter that, 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. See id. We granted appellants discretionary review petition on two grounds. Ground one asserts the Court of Appeals erred to reject appellants multiple punishments claim because the jurys 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, 973 S.W.2d at 431. Ground two asserts the Court of Appeals erred to decide that it was appellants burden to preserve in some fashion his multiple punishments claim at or before the time the charge [was] submitted to the jury. See id. 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 jurys action. See Griffin v. U.S., 502 U.S. 46, 112 S.Ct. 466, 469-74, 116 L.Ed.2d 371 (1991). The United States Supreme Court carved out an exception to this general rule in Stromberg v. California, 283 U.S. 359, 51 S.Ct. 532, 75 L.Ed. 1117 (1931). The Stromberg exception applies when one of the invalid submitted grounds rests on constitutionally protected speech or conduct. See Griffin, 112 S.Ct. at 471;5 Street v. New York, 394 U.S. 576, 89 S.Ct. 1354, 1362-64, 22 L.Ed.2d 572 (1969) (issue was whether defendants constitutionally protected speech could have been an independent cause of his flag-burning conviction), and at 1370 (Warren, C.J., dissenting) (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);6 see also Leary v. United States, 395 U.S. 6, 89 S.Ct. 1532, 23 L.Ed.2d 57 (1969);7 Cramer v. United States, 325 U.S. 1, 65 S.Ct. 918, 921, 935-41, 89 L.Ed. 1441 (1945) (treason conviction could have rested on conduct not clearly within the constitutional definition of treason under Article III, Section 3, of the United States Constitution); Williams v. North Carolina, 317 U.S. 287, 63 S.Ct. 207, 210, 87 L.Ed. 279 (1942) (North Carolina conviction could have rested on constitutionally protected conduct by virtue of out-of-state divorce decree that North Carolina was constitutionally compelled to honor under the Full Faith and Credit Clause). Most United States Supreme Court cases applying the Stromberg exception are First Amendment cases in which the United States Supreme Court characterized the invalid submitted ground as involving constitutionally protected speech.8 For the Stromberg exception to apply here, we arguably would have to decide that robbing, assaulting and injuring elderly individuals are constitutionally protected conduct. 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 appellants discretionary review petition, overrule ground two of appellants 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 clarity.9 The overriding principles expressed by this case-law are that, because of the fundamental nature of double jeopardy protections, a double jeopardy claim may be raised for the first time on appeal10 or even for the first time on collateral attack11 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. Cases such as Shaffer v. State12 and Ex parte Evans13 illustrate these principles.14 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, 477 S.W.2d at 876-77. This Court decided the double jeopardy claim was not properly raised in either the trial court or this Court because any double jeopardy violation was not apparent on the face of the record and enforcement of the usual rules of procedural default served legitimate state interests. See Shaffer, 477 S.W.2d at 876-77.15 In Evans, the habeas corpus applicant raised a successive prosecutions claim for the first time on habeas corpus. See Evans, 530 S.W.2d at 591. Relying on Duckett,16 Evans decided, based on the now discarded carving doctrine, that the habeas corpus applicant could raise the successive prosecutions claim for the first time on collateral attack essentially because the double jeopardy violation was apparent on the face of the record. See Evans, 530 S.W.2d at 591-92; but see Gardner, 959 S.W.2d at 199. Federal law is more or less consistent with our Shaffer line and Duckett/Evans line of cases. Compare United States v. Broce, 488 U.S. 563, 109 S.Ct. 757, 102 L.Ed.2d 927 (1989), with, Menna v. New York, 423 U.S. 61, 96 S.Ct. 241, 46 L.Ed.2d 195 (1975). Consistent with our Shaffer line of cases, Broce decided that a defendant who pled guilty to two counts with facial allegations of distinct offenses could not raise a successive prosecutions claim for the first time on collateral attack primarily because this would have required further proceedings at which to expand the record with new evidence. See Broce, 109 S.Ct. at 763-66. 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, 96 S.Ct. at 242; see also Broce, 109 S.Ct. at 765-66. In Menna, the Court stated:
It has, however, been suggested that our decision in Phillips v. State17 stands as authority that all multiple punishments claims may be raised for the first time on appeal. Relying on the United States Supreme Courts decision in Jeffers v. United States,18 Phillips decided that the defendants waiver of a successive prosecutions claim with a successful motion to consolidate19 did not waive a multiple punishments claim which the defendant raised for the first time on appeal. 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 defendants successfully opposing the governments motion to consolidate deprived him of any right that he might have had against consecutive trials,20 Jeffers went on to address sua sponte a multiple punishments claim even though both parties, throughout the proceedings, appear to have assumed that [the case presented] no [multiple punishments] problem. See Jeffers, 97 S.Ct. at 2218. 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, 991 S.W.2d at 806. Nothing in Jeffers precludes this Court from deciding that appellant may not raise his multiple punishments claim for the first time on appeal. Finally, it has been suggested that a defendants 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.21 Several United States Supreme Court cases have been cited to support this.22 The argument seems to be that these cases require an affirmative, Johnson v. Zerbst waiver of double jeopardy rights for Marin 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, 109 S.Ct. at 764 (conscious waiver unnecessary with respect to [double jeopardy] defense relinquished by a plea of guilty). These cases very carefully pointed out that they were not applying traditional waiver concepts under Johnson v. Zerbst. See, e.g., Broce, 109 S.Ct. at 764; Dinitz, 96 S.Ct. at 1080-81; Menna, 96 S.Ct. at 242; Green, 78 S.Ct. at 226 ([w]aiver is a vague term used for a great variety of purposes, good and bad, in the law). These cases, therefore, do not support the proposition that double jeopardy rights require an affirmative, Johnson v. Zerbst waiver for Marin purposes. 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 jurys 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, 966 S.W.2d 57, 62 (Tex.Cr.App. 1998). Timely raising the matter in the trial court would have provided the trial court and the prosecution an opportunity to remove the basis of the objection, and it also would have provided the prosecution the opportunity to obtain an aggravated robbery conviction based on paragraph two without the risk of an unnecessary retrial in the face of a valid multiple punishments claim.
The judgment of the Court of Appeals is affirmed. McCormick, Presiding Judge (Delivered January 5, 2000
See Footnote 15. 17 See Phillips v. State, 787 S.W.2d 391, 393 (Tex.Cr.App. 1990). 18 See Jeffers v. United States, 432 U.S. 137, 97 S.Ct. 2207, 2218-20, 53 L.Ed.2d 168 (1977) 19 Phillips erroneously relied on Jeffers for this proposition because Jeffers decided the defendant waived a successive prosecutions claim when he successfully opposed the governments motion to consolidate. See Jeffers, 97 S.Ct. at 2212, 2218. When a defendant, like the one in Phillips, successfully urges a motion to consolidate, there can be no successive prosecutions problem since only a single proceeding is involved. 20 It is significant that Jeffers did not decide that this constituted a waiver of the defendants successive prosecutions claim. See Jeffers, 97 S.Ct. at 2218. 21 See Johnson v. Zerbst, 304 U.S. 458, 58 S.Ct. 1019, 1023, 82 L.Ed.1461 (1938) (waiver is intentional relinquishment or abandonment of a known right or privilege and waiver of right to counsel cannot be inferred from a silent record); Brewer v. Williams, 430 U.S. 387, 97 S.Ct. 1232, 1242, 51 L.Ed.2d 424 (1977) (same rule applies to jury trial right); Marin, 851 S.W.2d at 279 (discussing category two rights of litigants which the system must implement unless affirmatively waived vis-a-vis Johnson v. Zerbst). 22 See Broce, 109 S.Ct. at 764; Ricketts v. Adamson, 483 U.S. 1, 107 S.Ct. 2680, 97 L.Ed.2d 1 (1987); United States v. Scott, 437 U.S. 82, 98 S.Ct. 2187, 57 L.Ed.2d 65 (1978); Jeffers, 97 S.Ct. at 2217-18; United States v. Dinitz, 424 U.S. 600, 96 S.Ct. 1075, 47 L.Ed.2d 267 (1976); Menna, 96 S.Ct. at 242; Schneckloth v. Bustamonte, 412 U.S. 218, 93 S.Ct. 2041, 36 L.Ed.2d 854 (1973); Green v. United States, 355 U.S. 184, 78 S.Ct. 221, 2 L.Ed.2d 199 (1957). 23 See Casey v. State, 828 S.W.2d 214, 218 (Tex.App.--Amarillo 1992, no pet.) (defendant waived double jeopardy claim by waiting until closing argument at guilt/innocence to raise it). This information is made available as a free public service for your personal, non-commercial use. While every effort has been made to provide accurate material at this site, it is provided "as is" and no representations are made that it is free of mistakes or inaccuracies. This file was derived from the text posted on the web site of the Texas Court of Criminal Appeals, by the automatic operation of conversion software, and may contain errors. Baker's Legal Pages are a public service of Freelance Enterprises, Inc.
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