DAVID A. CLARK v. COMMONWEALTH OF KENTUCKY
2005-SC-000862-MR
Supreme Court of Kentucky
AUGUST 21, 2008
RENDERED: AUGUST 21, 2008; TO BE PUBLISHED; ON APPEAL FROM HARDIN CIRCUIT COURT, HONORABLE JANET P. COLEMAN, JUDGE, NO. 03-CR-000311
OPINION OF THE COURT BY JUSTICE SCOTT
OPINION OF THE COURT BY JUSTICE SCOTT
AFFIRMING IN PART AND REVERSING IN PART
Appellant, David A. Clark, appeals his conviction by a Hardin Circuit Court jury of one count of first-degree rape, seven counts of first-degree sodomy, three counts of second-degree sodomy, eight counts of incest, one count of promoting a sexual performance by a minor, two counts of using a minor in a sexual performance, one count of criminal attempt to commit a sexual performance by a minor, and two counts of criminal attempt to commit use of a minor in a sexual performance. In sum, Appellant was found guilty of twenty-five felony offenses, all of which were committed against his two biological children and the child of his live-in girlfriend. Appellant appealed his convictions as a matter of right pursuant to
I. BACKGROUND
The underlying convictions stem from a troubling series of events wherein Appellant engaged in multiple and systematic molestations of his biological children and his live-in girlfriend‘s son. Appellant and Susan Preston had lived together for thirteen years. Preston‘s child, V.P. was ten months old when they met, and their child, K.C., was born a year and a half later, with M.C. following the year after. Preston acted as mother to all the children, and, indeed, she and Appellant lived together as husband and wife, though not legally married.
According to all accounts, the relationship had been troubled throughout, with problems of physical abuse, alcohol, drug use, and infidelity. However, Preston testified that the relationship ended when she discovered that Appellant had been sexually abusing her children.1
In April 2003, Preston discovered some sexually explicit notes in Appellant‘s handwriting directing the children to perform various sex acts.
The day following her conversations with the children, Preston went to the police and reported that Appellant was molesting her children. Appellant was subsequently arrested, indicted and tried on thirty-two counts, eventually being found guilty of twenty-five counts, including first-degree rape, first-degree sodomy, second-degree sodomy, incest, promoting a sexual performance by a minor, use of a minor in a sexual performance, criminal attempt to commit promoting a sexual performance by a minor, and criminal attempt to commit use of a minor in a sexual performance.
Testimony at trial from Appellant‘s biological son, K.C., indicated that beginning around the time he was nine or ten years old, Appellant began abusing the children and made them perform sex acts on Appellant and on each other. Testimony from V.P. likewise indicated that Appellant sexually abused all of the children. V.P. recounted one incident wherein Appellant directed V.P. to simulate sexual intercourse with his sister while a pornographic movie played in the background and Appellant pleasured himself. M.C., Appellant‘s biological daughter, testified that Appellant began sexually abusing her when she was approximately eight years old, and that Appellant instructed her brother to perform sex acts on her and that she also observed her siblings performing sex
For these crimes Appellant was sentenced by the Hardin Circuit Court to life imprisonment. We now review Appellant‘s convictions.
II. ANALYSIS
A. Disqualification of the Jury
In his first assignment of error, Appellant argues that the trial court erred in failing to disqualify the entire jury panel based on alleged bias stemming from their contact with a member of the media. Appellant claims that by virtue of this tainted jury panel he was denied a fair and impartial jury as required by
Prior to Appellant‘s trial, the Hardin Circuit Court decided the unrelated case of Commonwealth v. Heck, 04-CR-00506, which likewise involved charges of rape and sodomy. The Heck jury had recently delivered a not guilty verdict for the accused. After the Heck verdict was returned, four members of the jury panel were approached outside the courthouse by a reporter from a local newspaper who berated the jurors and told them they were wrong to acquit the accused and that if they had read her articles in the newspaper they would realize their mistake. The reporter also insinuated that evidence had been withheld from the jury and referred to various other alleged bad acts of the accused which were ostensibly not discussed at trial.
The foregoing is noteworthy in that several members of Appellant‘s jury pool were likewise members of the Heck jury panel. Appellant became aware of
Each prospective juror was asked if they had served on the Heck trial. If a juror answered in the affirmative, such juror was questioned individually at side bar to determine if the reporter‘s statements affected their impartiality in the present matter. Seven potential jurors who served on the Heck jury were interviewed, and all indicated that they could be impartial. Significantly, no motions were made to strike any juror for cause. While Appellant‘s counsel did use three peremptory challenges to remove members of the Heck jury,2 ultimately, four Heck jurors, including one of the individuals confronted by the reporter, sat on Appellant‘s jury.
Although Appellant argues that the jury pool was invariably tainted by some of the members’ contact with the reporter, he fails to demonstrate such bias. Indeed, Appellant offers little more than unsubstantiated speculation that the confrontation may have had some bearing on his conviction. Additionally, while it is certain that the conversation between the Heck jurors and the reporter was inappropriate, it is not an automatic indication that that the individuals
It is presumed that potential jurors are qualified to serve unless there is a showing of actual bias. Moreover, “[i]t is incumbent upon the party claiming bias or partiality to prove the point.” Polk v. Commonwealth, 574 S.W.2d 335, 337 (Ky. Ct. App. 1978) (citing Watson v. Commonwealth, 433 S.W.2d 884, 887 (Ky. 1968)). Therefore, it logically follows that one must demonstrate actual bias in order to overcome the presumption of qualification. See Watson, 433 S.W.2d at 887. Here, Appellant has made no such showing.
It is elemental that every criminal defendant is entitled, as a matter of due process, to an unbiased decision by an impartial jury. Grooms v. Commonwealth, 756 S.W.2d 131, 134 (Ky. 1988);
Here, Appellant was presented with the opportunity to question, in voir dire, each potential juror as to whether they were able to serve impartially. All jurors answered affirmatively. Moreover, Appellant‘s counsel did not strike any of the Heck jurors for cause. It is well settled law that “if a litigant wishes to complain he must complain before the jury is accepted.” Galliaer v. Southern Harlan Coal Co., 57 S.W.2d 645, 647 (Ky. 1932).
Since Appellant was afforded the opportunity to test the impartiality of the prospective jurors in voir dire and, in fact, did so without striking any of the jurors
B. Appellant‘s Convictions for Promotion of a Sexual Performance with a Minor and Use of a Minor in a Sexual Performance Violate Double Jeopardy.
Appellant next argues that his convictions for use of a minor in a sexual performance,
Initially, it should be noted that Appellant‘s argument is unpreserved. However, we will review for palpable error, as we have held -- though not without some measure of reluctance3 -- that failure to present a double jeopardy argument to the trial court should not result in allowing a conviction which
Here, Appellant takes specific issue with two of the six indictments under
For this crime, the jury convicted Appellant of use of a minor in a sexual performance,
In Commonwealth v. Burge, 947 S.W.2d 805 (Ky. 1996), this Court again adopted the federal constitutional test for double jeopardy claims as outlined in the seminal United States Supreme Court case of Blockburger v. United States, 284 U.S. 299, 52 S.Ct. 180, 76 L.Ed. 306 (1932), after departing from its usage for a period of time. In doing so, we noted, “we now depart from the ‘same conduct’ test . . . and the ‘single impulse test’ . . . and declare that double jeopardy issues arising out of multiple prosecutions henceforth will be
Thus, under Blockburger and Dixon, we must determine whether a single course of conduct has resulted in a violation of two distinct statutes and, if so, whether each statute requires proof of an additional fact which the other does not. Blockburger, 284 U.S. at 304, 52 S.Ct. at 182. If each statute requires proof of an additional fact which the other does not, then conviction under the two statutes in question does not violate double jeopardy. See id. If, however, the exact same facts could prove the commission of two separate offenses, then the double jeopardy clause mandates that while a defendant may be prosecuted under both offenses, he may be convicted under only one of the statutes.
(1) When a single course of conduct of a defendant may establish the commission of more than one (1) offense, he may be prosecuted for each such offense. He may not, however, be convicted of more than one (1) offense when:
(a) One offense is included in the other, as defined in subsection (2); or
(b) Inconsistent findings of fact are required to establish the commission of the offenses; or
(c) The offense is designed to prohibit a continuing course of conduct and the defendant‘s course of conduct was uninterrupted
by legal process, unless the law expressly provides that specific periods of such conduct constitute separate offenses.
(2) A defendant may be convicted of an offense that is included in any offense with which he is formally charged. An offense is so included when:
(a) It is established by proof of the same or less than all the facts required to establish the commission of the offense charged; or
(b) It consists of an attempt to commit the offense charged or to commit an offense otherwise included therein; or
(c) It differs from the offense charged only in the respect that a lesser kind of culpability suffices to establish its commission; or
(d) 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.
At the outset, we note that
In order to determine if each statute requires proof of an element which the other does not, we will turn to the definitional components of the verbs articulated therein.
In Woodard v. Commonwealth, 219 S.W.3d 723 (Ky. 2007), we recognized that
Thus, a plain reading of the statute, with the definitional intent in mind, connotes the conclusion that the offender of the “use” statute is one who causes a minor to engage in a sexual act - either by complicity or active engagement - with the purpose that the prurient act be performed before an audience. In the present instance, Appellant “used” the minor victims to simulate sexual intercourse for the intended audience of himself, as he watched with prurient purpose. As such, Appellant‘s activity was resolutely violative of the statute.
Therefore, to avoid offending double jeopardy, Appellant‘s conviction under
Under
Accordingly, once again noting that performance means any visual representation exhibited to an audience,4 a person would be in violation of
Of import, however, is that the common course of conduct which supports both of these convictions did not require the proof of a fact in existence which the other did not. It is true that an overlap of proof does not, of its own accord, establish a double jeopardy violation. Dishman v. Commonwealth, 906 S.W.2d 335, 341 (Ky. 1995) (citing United States v. Felix, 503 U.S. 378, 112 S.Ct. 1377, 118 L.Ed.2d 25 (1992)). However, an inability to point to the requirement of at least one mutually exclusive fact in existence does. Although, the
The Commonwealth asserts that the focus of the “promotion” statute is the direction of the sexual performance, while the focus of the “use” statute is the engagement in the performance. However, as the above discussion clearly demonstrates, the Commonwealth‘s argument points to a distinction without a difference. The “use” statute requires only that the offender either passively (“consent“) or actively (“employ“) facilitate a minor‘s participation in a visual representation of a sexual performance before an audience. Woodard, 219 S.W.3d at 728. (“Use of a Minor in a Sexual Performance requires passive observation.“);
Therefore, we hold that Appellant‘s convictions under
In Jones v. Commonwealth, 756 S.W.2d 462 (Ky. 1988), we recognized that double jeopardy prohibits the Commonwealth from “‘carving out of one act or transaction two or more offenses.‘” 756 S.W.2d 462, 463 (Ky. 1988) (overruled on other grounds by
In the present instance, however, Appellant‘s convictions under
C. Variance Between Indictment and Jury Instructions Did Not Unfairly Surprise or Prejudice Appellant.
Appellant alleges in his third assignment of error that he was convicted of two offenses - counts twenty-seven (27) and thirty (30) - which differed from the crimes charged in the indictments, in violation of RCr 6.16.5 Appellant concedes that his argument is unpreserved for review. Thus, we will review only for palpable error. RCr 10.26.
For an error in an indictment to amount to palpable error, there must be a “manifest injustice resulting from the error” so substantial that absent the error there would be a “probability of a different result or error so fundamental as to threaten a defendant‘s entitlement to due process of law.” Martin v. Commonwealth, 207 S.W.3d 1, 2 (Ky. 2006) Likewise, in Robards v. Commonwealth, 419 S.W.2d 570, 573 (Ky. 1967), we noted that errors in an indictment are not strictly reviewed for technical violations, but are looked at to make sure that the defendant had fair notice and a fair trial. Indeed, RCr 6.10(3) references the idea that error or omission in an indictment shall not be grounds for reversal of a conviction if the error did not mislead a defendant to his prejudice.
Implicit in this theory is the notion that a defendant should be aware of the crimes charged against him and the evidence forthcoming so that he may prepare a defense. See Commonwealth v. McKenzie, 214 S.W.3d 306, 308 (Ky. 2007).
In Johnson, the appellant alleged that certain variance between the indictment and the proof required reversal of his convictions. Johnson, a minor, had been charged and convicted of rape and sodomy when he engaged in nonconsensual sexual acts with a female minor who was intoxicated and unconscious at a New Year‘s Eve party. Arguing that since the indictment charged him of rape and sodomy by “‘use of forcible compulsion’ and not physical helplessness of the victim,” he contended that the evidence submitted at trial varied from the indictment and thus the crime was not proven. Id. at 271. However, relying on Robards the Court reasoned that appellant had suffered no surprise or prejudice and “[t]he variance did not involve a different or additional offense.” Id. at 272. In doing so the Court articulated that while the indictment should have been amended or drafted more carefully, the variance was harmless as “the defendant was fully aware of the nature and cause of the charge, and was not in the least surprised, misled or otherwise unfairly prejudiced by the variance.” Id. at 273.
Here, it should be noted that the indictments on the aforementioned counts differ from their corresponding jury instructions in only one respect: the names of the victims. Count twenty-seven (27) of the indictment indicated M.C. as the victim of the offense of promoting a sexual performance by a minor. However, the jury instructions for the corresponding count listed the victim as
In the present instance, Appellant alleges that the inconsistencies in the names indicated on the corresponding jury instructions amounted to being charged with wholly different offenses than those indicted. However, we are disinclined to agree, as we are the opinion that the error was little more than clerical in nature, and such inadvertent mistake did not affect Appellant‘s substantial rights, nor was he prejudiced by such mistake. Here, Appellant was not surprised or prevented from defending himself upon the offenses charged. Indeed, Appellant‘s defense theory at trial was that he did not sexually abuse any of the children. Thus, such theory was not altered or impinged upon. Appellant‘s theory remained viable regardless of which victim was listed on the count.
The variance between the indictment and the jury instructions was nothing more than the insertion of the correct set of corresponding initials for the victims of the crimes charged. As such, we find, as in Johnson, that we are affirmatively convinced that Appellant was “fully aware of the nature and cause of the charge, and was not in the least surprised, mislead or otherwise unfairly prejudiced by the variance.” Johnson, 864 S.W.2d at 273.
D. Appellant Suffered No Prejudice from the Testimony of Former Live-In Girlfriend Despite the Lack of Notice.
For his final assignment of error, Appellant claims the trial court erred in permitting Susan Preston to testify in violation of KRE 404, which resulted in denial of his due process rights and an unreliable sentence determination.
Preston was the long-term girlfriend and cohabitant with Appellant and the mother of all three minor victims. During trial, the Commonwealth called Preston to testify, and pursued a line of questioning wherein she was asked of the circumstances which led her to suspect Appellant of sexually abusing the children and why she did not want him to know that she had suspected him. Preston responded, “out of fear” and explained that after living with Appellant for thirteen years she knew how he acted and reacted. Preston then testified to having suffered physical abuse by Appellant on multiple occasions and that V.P. had witnessed some of these, causing her to fear Appellant. Upon hearing this testimony, Appellant‘s counsel objected; however, the trial judge overruled on grounds that Preston should have the right to explain her actions, with the understanding that the Commonwealth would abandon this line of questioning.
Here, the setting and context of the events surrounding Preston‘s discovery of the sexual abuse of her children, and her reasons for not contemporaneously confronting Appellant about it, were germane to the overall sequence of events surrounding the crimes and to the events which led to them
Admittedly, it is clear from the record that the Commonwealth failed to provide adequate notice of its intent to use this bad acts evidence as required by KRE 404(c). However, in the present instance, such error was harmless, as Appellant fails to make any showing of substantial prejudice. Here, it is significant to note that Preston‘s testimony resulted in a mere repetition of evidence already properly placed before the jury and which had been duly considered by the trial court and counsel. At trial V.P. testified about the physical confrontations he witnessed between Appellant and Preston.
Furthermore, Appellant concedes - on multiple occasions - to the very testimony of which he now complains. In his brief to this Court, Appellant admits that his theory of defense at trial was that the charges were manufactured in order that the family would no longer have to live with him because he was physically abusive. Likewise, Appellant also testified at trial, without any objection by his counsel, that he abused Preston.
As such, the complained of testimony was cumulative in nature. Moreover, given the wealth and breadth of testimony and evidence against Appellant, and the fact that, in all likelihood, he had actual notice of the Commonwealth‘s intent to use such evidence, any prejudicial impact on Appellant was de minimus, and therefore harmless. See Matthews v. Commonwealth, 163 S.W.3d 11, 19 (Ky. 2005). Harmless error is not grounds for reversal on appeal. RCr 9.24.
III. CONCLUSION
Minton, C.J., Abramson, Cunningham, Noble, and Schroder, JJ., concur. Venters, J., not sitting.
Emily Holt Rhorer
Department of Public Advocacy
100 Fair Oaks Lane, Suite 302
Frankfort, KY 40601
COUNSEL FOR APPELLEE:
Jack Conway
Attorney General of Kentucky
Jeffrey Allan Cross
Assistant Attorney General
Office of Criminal Appeals
Office of the Attorney General
1024 Capital Center Drive
Frankfort, KY 40601
