Opinion of the Court by
I. INTRODUCTION
Appellant was convicted of being a second-degree persistent felony offender and his sentences for attempted rape and kidnapping were enhanced. On appeal, he contends that the trial court erred (1) by refusing to allow mitigation evidence and (2) by requiring that he remain in leg shackles in front of the jury. Finding no error, we affirm Appellant’s convictions.
II. BACKGROUND
Appellant, Ricky Barbour, was convicted of first-degree attempted rape, kidnapping, and fourth-degree assault in November 1994. The jury recommended sentences of ten years for attempted rape, twenty years for kidnapping, and twelve months and a $500 fine for fourth-degree assault, all to run consecutively. The jury also found that Appellant was a second-degree persistent felony offender (“PFO II”), and recommended enhanced sentences of twenty years for the attempted rape and two hundred years for the kidnapping.
Appellant appealed his conviction to this Court as a matter of right, contending that the trial court erred in admitting evidence of two out-of-state felony convictions, which were used to prove his status as a PFO II. In May 1996, we reversеd the PFO II conviction and sentence enhancement and remanded the matter to the Hart County Circuit Court for retrial of the PFO II charge. Barbour v. Commonwealth, NO.1995-SC-000078-MR (Ky. June 13,1996).
On remand, Appellant moved the trial court to bar retrial of the PFO II charge on the grounds of double jeopardy, collateral estoppel, res judicata, due process, and equal protection. The trial court denied Appellant’s motion. He then petitioned the Court of Appeals for a writ of prohibition, which was denied. We affirmed the decision of the Court of Appeals in 2001. Barbour v. Raikes, No.2000-SC-000249-MR (Ky. March 15, 2001).
After the failure of his writ petition, Appellаnt filed a pretrial motion pursuant to KRS 532.055(2)(b), the truth-in-sentencing statute, to allow him to introduce mitigation evidence at the retrial of the PFO II charge. Specifically, Appellant sought to introduce evidence of his post-conviction conduct, including proof of his completion of the Sexual Offender Treatment Program and other programs in prison, and evidence of his remorse. The trial court granted Appellant’s motion on November 12, 2002.
On July 30, 2004, Appellant filed a motion in limine to limit the retrial “to the PFO phase and not a full truth-in-sentencing proceeding.” On August 9, 2004, the trial court issued an оrder that granted the motion in limine but that also overruled the previous order allowing the introduction of mitigation evidence at the retrial. The trial court’s order stated in part: “Since the defense cannot introduce mitigation evidence, the Commonwealth is also barred from introducing victim impact evidence. The only issue on retrial is the PFO II charge.” On August 11, 2004, in a conference in the judge’s chambers immediately before the PFO retrial, Appellant mentioned the mitigation evidence issue again, and the judge confirmed that the
Also at this in-chambers meeting on August 11, 2004, Appellant objected to wearing leg shackles during the PFO proceeding. The Commonwealth responded by requesting that the shackles remain on Appellant. The judge ruled that the Appellant would remain in shackles, but offered to give the jury an admonition regarding the procedure. Appellant expressed concern that such an admonition would draw more attention to the shackles. Appellant then declined the judge’s offer to give the instruction, and no such instruction was given at the PFO proceeding.
The jury found Appellant guilty of being a PFO II and enhanced his sentences accordingly: the sentence for first-degree attempted rape conviction was enhanced from ten years to twenty years and the sentence for kidnapping was enhanced from twenty years to fifty years. The sentences were set to run consecutively for a total of seventy years imprisonment. Appellant appeals to this Court as a matter of right. Ky. Const. § 110(2)(b).
III. ANALYSIS
We address the issues in the order in which they appear in Appellant’s brief.
A. Mitigation Evidence
Appellant first claims that his motion to introduce mitigation evidence during the rеmanded PFO proceeding was denied improperly. Appellant contends such a ruling contravenes KRS 532.055, which provides for the introduction of mitigation evidence during sentencing, and Boone v. Commonwealth,
Although Appellant asks us to consider whether mitigation evidence is admissible during a separate, remanded PFO phase, this issue simply was not preserved for our review. While Appellant had at one time moved the trial court to allow the introduction of mitigation evidence under the truth-in-sentencing statute, we believe that request was effectively withdrawn when he subsequently filed a motion in limine requesting “that the retrial be limited to the PFO phase and not a full truth-in-sentencing proceeding.” Thе trial court granted Appellant’s motion in limine, thus overruling its previous order granting the motion to allow introduction of mitigation evidence and stating that neither Appellant nor the Commonwealth could introduce evidence under the truth-in-sentencing statute. Appellant’s current challenge to this ruling cannot be justified, given that it was the direct result of his own motion. Otherwise, we would be forced to allow Appellant to pursue inconsistent, if not mutually exclusive, positions, first by seeking to take advantage of the truth-in-sentencing statute, and later moving for its application to be barred. The triаl court gave Appellant exactly what he requested in the later motion in limine: a retrial limited to the evidence related to the PFO charge, not a full truth-in-sentencing hearing. The effect of this ruling was that all other evidence, including mitigation evidence, could not be introduced.
We cannot consider Appellant’s alleged objection to the exclusion of mitigation evidence as grounds for reversing Appellant’s conviction when the exclusion was prompted by his own motion and was not properly preserved by any subsequent objection.
B. Shackles
Appellant next claims that the trial court improperly ordered that he remain in leg shackles during the PFO proceeding. Under the common law, shackling a defendant during trial, absent exceptional circumstances, was heavily disfavored. See, e.g., Deck v. Missouri,
There is some question, however, whether the constitutional rule against routine shackling of criminal defendants in the presence of the jury applies beyond the guilt phase of a trial. The United States Supreme Court has recently addressed the issue in Deck v. Missouri,
In building up to its analysis regarding the use of shackles during the penalty phase of a capital case, the Court in Deck again described the issue under consideration, noting specifically that it was “considering] shackling not during the guilt phase of an ordinary criminal trial, but during the punishment phase of a capital case.” Id. at 630,
However, we need not wade too deeply into this debate because our Rule of Criminal Procedure on this point does not distinguish between the guilt and penalty phases of a trial. Rather, RCr 8.28(5) bars the routine shackling of a defendant, absent a showing of good cause, whenever he will be seen by the jury. This amounts to an extension of the prohibition of routine shackling to all jury-observed aspects of a criminal trial. Thus, in accordance with our rule, even though Appellant is challenging his shackling during the unique setting of a remanded PFO proceeding, we must still determine whether there was sufficient good cause in this case to justify shackling Appellant during the PFO proceeding.
Shackling of a defendant in a jury trial is allowed only in “the presence of extraordinary circumstances.” Peterson v. Commonwealth,
There have been a few such exceptional cases in which we have upheld the practice of shackling, and in each case the trial court based its decision on specific findings of extraordinary circumstances. In Tun-get, our predecessor court upheld the trial court’s decision to shackle the defendant because of his history of violent escape attempts. The defendant, who was serving a life sentence for a murder conviction, obtained a gun while in jail and usеd it to trap four prison guards in his cell. The defendant then shot and killed an associate warden.
In this case, the shackling of Appellant was not based on any specific finding that the he was violent or a flight risk. In fact, the prosecutor supported his shackling request only with nonspecific concerns about escape risk and safety, stating to the court:
Your Honor, I would ask that the Defendant remain in shackles. He’s dressed in street clothes today. As Your Honor has pointed out, Your Honor will inform the jury that he is already under sentence of the court for thirty years. He would not be prejudiced by the jury knowing or seeing any evidence that he is in fact in custody. As far as a flight risk, his circumstances speak for themselves. He is under sentence, the court has pointed out earlier that he’s already been flopped once. He knows the likelihood of serving out thirty years is very, very real. He has every reason to take advantage of being unshackled in a courthouse, to flee from the courthouse. And for the safety of the courtroom I ask that the shackles remain.
The Commonwealth now points to these statements as proof that the trial court’s decision was justified. Under the Commonwealth’s reasoning, a trial court would be free to predict a defendant’s behavior solely from his status as a convicted felon, without making any specific findings that he posed a risk of violence in or escape from the courtroom. If that were a correct application of the rule, shackling would be justifiable in almost any serious felony case and would likely become a routine practice. But as our predecessor court noted of the practice, “[a] court would hardly be justified in permitting this to be done in one murder case out of an average hundred coming to trial.” Tunget,
In a case similar to this one, the Sixth Circuit refused to endorse such generаl reasons for shackling. Lakin v. Stine,
In addition to the general justifications offered by the prosecutor immediately preceding the PFO retrial, the Commonwealth now cites an episode of verbal disobedience by Appellant as further justification for shackling him during the PFO
Judge: I don’t want to hear anything more.
Appellant: I’m gonna speak when I wanna speak.
Judge: No, you’re not, not in my court. Appellant: If it concerns me being locked up, I am.
The Commonwealth claims that Appellant’s tone of voice during this discussion showed his hostility. Nonetheless, little in this exchange raises a concern that Appellant would be violent or would try to escape. Indeed, a single display of displeasure or disrespect by a criminal defendant rarely rises to such a level as to justify shackling before the jury. Furthermore, we must also note that the pretrial conference during which this discussion occurred took place more than a year and a half before the PFO proceeding. More importantly, however, this episode was not offered at trial as part of the prosecutor’s purported justification for shackling Appellant in front of the jury. Rather, the incident has only been raised on appeal. That the incident, if it can even be called that, was not even mentioned at trial indicates it was hardly memorable and likely was not even considered by the trial judge in allowing Appellant to remain shackled.
All that being said, a trial court’s decision to keep a criminal defendаnt shackled before the jury is usually accorded a great deal of deference. See Tunget,
This error, however, is subject to the harmless error rule. Under RCr 9.24, we “must disregard any error or defect in the proceeding that does not affect the substantial rights of the parties.” In light of this standard, we have held that “[t]he doctrine of nonprejudicial error, sometimes called ‘harmless error,’ is that in determining whether an error is prejudicial, an appellate court must consider whether on the whole case there is a substantial possibility that the result would have been any different.” Commonwealth v. McIntosh,
Given that the PFO proceeding is essentially a status determination, we have no doubt that the jury would have found Appellant guilty of being a PFO II whether the shackling error occurred or not. Second-degree-persistent-felony-offender status is defined in part as follows:
A persistent felony offender in the second degree is a pеrson who is more than twenty-one (21) years of age and who stands convicted of a felony after having been convicted of one (1) previous felony. As used in this provision, a previous felony conviction is a conviction of a felony in this state or conviction of a crime in any other jurisdiction provided:
(a)That a sentence to a term of imprisonment of one (1) year or more or a sentence to death was imposed therefor; and
(b) That the offender was over the age of eighteen (18) years at the time the offense was committed; and
(c) That the offender:
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2. Was on probаtion, parole, conditional discharge, conditional release, furlough, appeal bond, or any other form of legal release from any of the previous felony convictions at the time of commission of the felony for which he now stands convicted ....
KRS 532.080(2).
At the PFO proceeding, the prosecutor introduced evidence that Appellant satisfied each of these requirements. The prosecutor relied on two prior convictions, one committed in Arizona and one committed in Kentucky, to prove Appellant’s PFO II status. The judgment from Arizona, which was certified by the trial court, revealed that Appellant had committed an offense in January 1991 and was sentenced to three years for that offense in January 1993. The jury was also offered proof of a second offense that was committed in Kentucky in May 1994, while Appellant was on parole from his conviction in Arizona. Appellant’s counsel stipulated that Appellant’s age had been established by Appellant’s own statement that he was thirty-six years old as of May 1994. This statement was made in open court and was later shown to the PFO jury via videotape. Appellant’s statеment established that he was over age eighteen when he committed his first offense in 1991 and over twenty-one when he committed his second offense in 1994. This evidence clearly established all of the requirements necessary to find Appellant guilty of being a PFO II, and Ap
In light of the overwhelming, unrebutted evidence that Appellant met the statutory requirements of being a PFO II, we conclude that the outcome would not have been different had Appellant appeared before the jury free of shackles. See Lakin v. Stine,
IV. CONCLUSION
For the foregoing reasons, we affirm the judgment of the Hart Circuit Court.
Notes
. We also note that the federal courts apply a similar standard when the constitutional preference against shackling is in play: “CT]he Constitution forbids the use of visible shackles ... unless that use is justified by an essential state interest — such as the interest in courtroom security — specific to the defendant on trial.” Deck,
. We also note that when the trial judge offered to admonish the jurors about the effect of the shackling, he indicated he would tell them that the shackles were a policy of the sheriff's department. Such a policy belies the Commonwealth’s contention that Appellant’s shackling was not a routine undertaking. However, it is unclear from the record whether such a policy actually existed or the trial judge was simply attempting to reduce the prejudice of shackling to Appellant. As such, we do not rely heavily on this part of the record in reaching our decision.
. Though the error involved in this case was a violation of our Rules of Criminal Procedure, rather than a Constitutional right, we note that even violations of the constitutional rule against shackling are subject to harmless error analysis. See Deck,
