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Parson v. Commonwealth
144 S.W.3d 775
Ky.
2004
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*1 PARSON, Wayne Appellant, Michael KENTUCKY, OF

COMMONWEALTH

Appellee.

No. 2002-SC-0103-MR. Kentucky.

Supreme Court of 17, 2004.

June Rehearing

As Modified on Denial of

Oct. *3 Hackett, Appellate De- Deputy

Bruсe P. District, Louisville, fender Jefferson Appellant. Counsel for General, Stumbo, Attorney Gregory D. Attorney Shepherd, Dennis Office W. Division, General, Appellate Criminal Frankfort, Appellee. Counsel Opinion of the Court Justice COOPER. May a motor vehicle owned

On Wayne by Appellant, Michael operated Parson, high- the center line of crossed Kentucky, and way County, in Jefferson operated by a vehicle owned and struck Eberle, injuring damaging her and Lisa 2nd, 4th, 3rd, Appellant her automobile. transport- assault DUI OSL/DUI ed University Hospital years for criminal where test and fifteen mischief 1st. 532.080(6)(b). jury blood revealed an alcohol concentration KRS then recom- grams per 0.288 deciliter and a test of mended that all of the enhanced sentences his urine presence concurrently revealed the of an un- be served for a total of twen- quantified amount of cocaine ty years, again aggregate and cannabi- the maximum (marijuana). noids sentence allowable under KRS 532.110(l)(c). Appellant appeals to this subsequently convicted right. Ky. Court as a matter of Const. Jefferson Circuit Court assault 110(2)(b). § *4 (wanton) (“assault degree the second 2nd”), 508.020(l)(c) felony, a Class C- KRS QUALIFICATION I. JUROR FORMS. (2); and operating a motor vehicle while Section 7 of Part of the Admin II (fourth under the influence of intoxicants of of offense) (“DUI istrative Procedures the Court Jus 4th”), D felony, a Class (“Ad.Proc.”) requires pro tice that each 189A.010(1) (5)(d); operating KRS and a juror juror fill spective qualification out a motor vehicle while license is revoked or form devised the Administrative Office (third offense) suspended for DUI of the and submit it to the clerk (“OSL/DUI Courts 3rd”), felony, D a Class KRS days receipt juror of of within five 189A.090(1) (2)(c); and criminal in mischief 7(7) II, Part summons. Section further (“criminal 1st”), degree the first mischief a provides: 512.020; D felony, Class KRS no motor (“no insurance”), liability vehicle insurance juror qualification The contents of the 304.39-080(5), misdemeanor, KRS a KRS forms made available to the shall be trial 304.99-060(l)(a); expired reg- and vehicle judge parties attorneys and to or their istration, 186.170(1), violation, KRS KRS judge of record unless the chief circuit 186.990(1). in designee any or determines instance justice in the interest of the infor- jury initially The Appellant sentenced or kept mation shall be confidential its imprisonment years for ten for assault 2nd part. use limited in whole or 4th, years and five each for DUI OSL/DUI 3rd, 1st, and criminal questionnaire. mischief fines The form is addition $1,000 i.e., data, name, address, identifying for no insurance and $100 birth, status, expired registration. jury vehicle marital place The rec- date and questionnaire ommended that the sentences for con- employment, assault also 2nd, designed DUI 4th and 3rd served to determine inquiries tains OSL/DUI consecutively juror legally and the sentence for criminal the prospective whether concurrently disqualified jury mischief 1st be served for a service for Proc., II, twenty years, total of maximum Part aggre- the reasons set forth Ad. § gate Finally, questions pertain- sentence allowable under KRS contains 532.110(l)(c). Commonwealth, Young ing juror’s experience v. to the with the court (1998); Ky., Hendley juror 675 has system, e.g., S.W.2d whether the ever party v. to a lawsuit or been a defen- S.W.2d been (1978). However, dant, witness, jury in a criminal complainant because the II, very language also found of Part Sec- persistent to be case. The 7(7) (“PFO felony degree offender the first tion clarifies that a criminal defendant 1st”), 532.080(3), inspect KRS it recommended en- not an does have absolute twenty years completed hanced sentences of each for forms. ju- twelve, plus two alternate juryA

Thrice, approved a local this Court has re- rors, and the sworn and seated Court that rule of the Jefferson Circuit Four jurors excused. mainder of the were access to a criminal defendant denies court ad- then testified before witnesses on that jurors who serve addresses following day. On journed for v. Thompkins case. Common- defendant’s a mis- demanded defense counsel (2001); morning, wealth, 147, 151 Ky., 54 S.W.3d full had a that he had now claiming Commonwealth, Ky., 990 Cornelison juror quali- all 248 to examine opportunity (1999); Samples Com- S.W.2d have that he would fication forms and monwealth, 151, 152-53 Ky., 983 S.W.2d jurors than he actual- four different struck (1998), grounds on other overruled prema- forced to ly struck had he been Commonwealth, Ky., 53 S.W.3d Lawson v. per- of his turely complete the exercise Accordingly, instead of he jurors he claims emptory strikes. larger original forms with the copying the No. would have struck were Juror out, ad- pool blacked addresses missing; form was Juror original whose smaller, typewritten ministrators create a sign failed his form No. who (thus all of fully legible) cоntaining form *5 who, therefore, irresponsible; was deemed juror except the provided the data the 491, night shift No. who worked Juror juror’s juror’s and answers to address (information type- to the not transferred questions regarding legal qualifica- form); No. who written and Juror tions. privacy” margin in the wrote “invasion of dire, de- Prior to voir defense counsel marital about his inquiries next to the original qualification to manded see fur- occupation (though and he did status jurors for forms submitted selected information). requested nish the case, panel suggesting in this that the qua “sine It voir dire that is the is jury pool may administrators have inaccu- impartial fair and seating non to the of a rately transferred information from the Commonwealth, Ky., McCarthy v. jury.” In- original typewritten form the form. (1993), overruled 867 S.W.2d stead, fur- pool administrators by Lawson v. Common grounds other jurors nished the forms for all of the 248 wealth, the extent that supra, at 544. To for that month— impaneled who had been informa juror forms contain qualification one, origi- whose except Juror No. juror’s subjects other than tion related or mis- apparently nal form had been lost expe purpose its legal qualifications, placed. approximately Voir dire lasted by eliminating process the voir dire dite Appellant and does not claim two hours every juror. routinely questions asked counsel’s voir dire was re- that defense original form No. any forty-eight fashion. After Juror whose stricted obviously submitted a missing, had deliberating peremptory minutes of over was strikes, presumably the dаta she prompting by after form because and some from the had been transferred provided submitted his judge, defense counsel form. list, typewritten form to the complaining original that he peremptory strike on the all could have made record enough Appellant time to examine had not had that by asking she accuracy question Examina- juror qualification forms. to whether questioned re- chambers as peremptory tion of the strike sheets was typewritten form defense information on the prosecutor vealed that and not to incomplete. He chose three had both struck the same inaccurate counsel No. 28117 was so. The fact that Juror jurors. do president company proximately of a medical staff one hour after the accident leaves skeptical Appellant us that positive would unquantified was for amounts of have peremptory against exercised a strike marijuana. Appellant cocaine made a solely him on grounds that he was “irre- motion in limine suppress expected tes- sponsible.” that Appellant We note did timony from George Rodgers, Dr. a toxi- not claim entitlement to a mistrial on cologist, testifying night “on the grounds jurors, that three additional Nos. accident, appellant’s a test of urine he whom failed to marijuana.” revealed traces of cocaine and also, peremptorily fully strike did not com- fact, prior to Dr. Rodgers’s testimony, plete original their forms. Juror No. 491 Kummer, Alberta a mеdical technician em- request did not excusal from jury service ployed hospital, at the testified without because she worked at If night. objection that she the person was who workers, desired to night-shift excuse he Appellant’s tested samples blood urine could have inquired during voir dire positive and that the urine screen was whether prospective jurors were so marijuana. cocaine and Also without ob- employed. might He have learned that jection, printout Kummer introduced a many Juror No. like persons public results, her test which is found in the employment, had been excused from work record as It Commonwealth’s Exhibit 8. performing jury while service. When the presented was this exhibit to Dr. raised, issue judge the trial noted and Rodgers him of the test results. inform no disagreed one ap- Juror No. 491 Thus, there was no violation of the motion peared highly attentive and exhibited no in limine. *6 signs of being sleep-deprived. tired or Dr. Rodgers testified that of mar- traces respect With Appel- Juror No. ijuana body can remain in the for weeks truly lant juror concerned whether ingestion after that but traces of cocaine considered an inquiry into marital status will disappear twenty-four within hours. occupation privacy, an invasion of he say twenty-four He in could not when the could inquired during have so voir dire. period Appellant ingested hour had the note in passing We that defense counsel cocaine but admitted that he also could not prosecutor’s refused the offer to have Ju- say Appellant ingested that had not ror No. ju- 23788 excused anas alternate immediately prior operating cocaine his ror. And, in although vehicle. he testified de- The bottom line on this is that it issue tail to the effects of a blood alcohol concen- would not have been an abuse of discretion grams per tration of 0.238 deciliter on the for the trial court Appellant to have denied judgment person motor skills and of a with and his original counsel access to the system, that amount of in alcohol he they jurors’ forms since contained the did not know what additional effect would so, home being addresses. That the trial result from a mixture of alcohol and co- court could not have abused its discretion caine. not Appellant did move strike in limiting the time for defense counsel to Rodgers’s testimony either Kummer’s or peruse the forms for that might evidence an to the but moved for admonition have prompted perempto- the exercise of a marijuana disregard evidence of all ry strike. and cocaine as The motion irrelevant. denied.

II. URINALYSIS RESULTS. A sample upheld screen of urine taken We the admission of almost iden- Estep v. Common- Appellant University Hospital from at in ap- tical evidence both (1997), wealth, its value was Ky., probative 957 S.W.2d missible unless 193-94 Commonwealth, Ky., substantially outweighed by prejudicial v. its and Bush (1992). 550, 555 an issue com- State KRE 403. This is S.W.2d effect. McClain, (Fla.1988), 525 So.2d Su- mitted to the sound discretion preme of Florida that even English, Court held court. Commonwealth v. system amount of cocaine in the trace We conclude 993 S.W.2d person charged with homicide vehicular its discre- that the trial court did not abuse 421; relevance, some would have id. admitting in tion evidence.

agreed a district with conclusion of III. CHAIN CUSTODY. Weitz, OF appeals

court of State (Fla.Dist.Ct.App.1986), So.2d that she Christine Kerr testified simply such evidence is inadmissible samples Appellant’s blood collected toxicologist because a cannot estimate the in the at Uni emergency and urine room impairment pres- its degree caused question, versity Hospital night McClain, swpra, ence. at 423. Neverthe- handed the to a medical samples that she less, held that McClain the trial court did samples with technician who labeled the not abuse its discretion suppressing to an Appellant’s name and handed them 90.403, § Fla. evidence under Stat. Ann. delivery to the other medical technician for equivalent Florida’s KRE 403. Id. at laboratory, hall hospital located down the emergency Kummer testi room. samples fied that were delivered Here, admitted trial court her, they Appel were labeled with McClain, Like the the evidence. court in name, lant’s tested the blood she person we believe that that a evidence sample presence for the of alcohol and the vehicular charged with homicide intox had sample presence urine for the of various system in his icating drugs when the homi marijuana. drugs, including cocaine and cide occurred is relevant to the issue оf claims that the Commonwealth even wantonness without additional evi custody be prove failed to chain of degree dence of the of impairment caused *7 testimony produce it did not the cause by KRE presence. its 402. person samples the the either who labeled evidence, single An item of a being but to the person who delivered them or the proof, in prove link the chain of need not laboratory. disagree. We conclusively proposition it for which unnecessary perfect is a [I]t establish offered. It need is not even make custody possi- or all chain of to eliminate proposition appear probable than more misidentification, bility tampering enough not.... It is could the item long as there evidence persuasive so is reasonably slightly show that a fact is is that probability reasonable probable appear more than it would in any has the evidence not been altered without that after the evidence. Even respect. material spent, force of is probative the evidence proposition for offered which Commonwealth, Ky., 973 Rabovsky v. quite improbable. still can seem omitted). (1998) 6, (quotation S.W.2d Lawson, Ky., Kentucky Evi- also Love v. Robert G. The See (4th 2.05[3], 816, § of- dence Law Handbook at 80 The evidence S.W.3d 2003) ed., by proved W. Kerr and a rea- (quoting LEXIS Edward fered Kummer and Cleary, probability McCormick Evidence 542-43 sonable the blood on (3d ed.1984)). by samples thus ad- to and tested evidence was urine delivered

Kummer were the samples judge. Appellant collected from and his counsel were Appellant, samples and that the had not present and counsel was afforded and ex- any been in respect altered material dur- right ercised the In cross-examination. ing emergency the short transit from the addition to testifying to the nature and room laboratory. to the injuries extent of the victim’s and his thereof, treatment Nichol stated under IV. WITNESS DEPOSITION. arrangements oath that he had made to be doctors, Three medical Drs. Peter Lati- during Minnesota the Christmas holi- no, Zhou, David George Rodgers, days 22 through January from December a physical therapist, licensed Timothy Ni- 2, company and in meeting Nevada chol, testified for the Commonwealth. The January through January 7. At the first August scheduled trial date was deposition, conclusion of the defense coun- trial, 2001. morning On the Appellant subpoena ap- sel served Nichol with a requested and was granted continuance pear January at trial person on granted after the trial court the Common- 20, 2001, hearing At a on December wealth’s motion to amend the indictment. regular judge quashed subpoena trial morning On the of the second scheduled testimony presented to and Niehol’s date, November videotaped the form of the again requested granted and was a contin- deposition. uance, this time because defense counsel’s investigator, might who called as wit- The Confrontation Clause (the ness, ill investigator did not testi- States Sixth Amendment of United fy held), when the finally trial was guarantees Constitution a criminal defen because might possibly defense counsel dant right to confront his accusers problem have a medical as pros- well. The Green, trial. 399 U.S. California objected ecutor grounds that this was 1930, 1934-35, 90 S.Ct. 26 L.Ed.2d 489 the second time the medical (1970) (“[I]t witnesses had is this literal to ‘confront’ been subpoenaed prac- and their medical the' trial that forms witness at the time of disrupted. tices inquired The trial court core of the values furthered parties agree present whether the could Clause.”); Page, Confrontation Barber v. testimony by or all of the medical 1318, 1322, 20 390 U.S. 88 S.Ct. (in deposition and defense counsel (“The (1968) L.Ed.2d to confron presence of Appellant) readily agreed. basically right.”). tation is a trial “Testi response to a judge statement the trial monial statements of witnesses absent that if plea agreement nego- could not be from trial have been admitted where *8 tiated, they deposing would discuss the unavailable, declarant setting doctors and the case for trial at a a prior op defendant has had where the date, himself, Appellant, responded, future v. portunity to cross-examine.” Crawford fine, “That your would be honor.” A new 36, -, 124 541 S.Ct. Washington, U.S. 2, January trial date was scheduled for (2004). 1354, 1369, L.Ed.2d 177 KRE 158 804(a)(5) that a witness is unavail provides 21, 2001, of admission of former purposes able On November the Common- 804(b)(1), if testimony, KRE the witness videotaped deposition wealth took the Nichol, hearing pro from the and the Timothy physical the licensed absent “[i]s ther- aрist. deposition ponent of the statement has been unable to was taken special judge pre- procure pro courtroom before a who the declarant’s attendance regular sided due to the illness of the cess or other means.” reasonable When

783 528, 522, v. Gagnon, 470 105 S.Ct. right implicated, confrontation is ‍‌​​‌‌‌​​‌​​‌​‌​‌‌​​‌‌‌​‌‌​‌​‌‌‌​​​​​‌‌‌​​​‌​​​‌‌‍U.S. Fugate 1482, (1985), 1485, is an that the requirement there additional 84 L.Ed.2d 486 Commonwealth, 15, v. of the witness have made 19 proponent Ky., 62 S.W.3d v. Com- faith effort to obtain the witness’s appeal, Johnson good (2001); right Barber, supra, 725, monwealth, 704, at presence at trial. 706 Ky., 120 S.W.3d Contrary prosecu (2003). at 1822. to the 88 S.Ct. 20, 2001,

tor’s assertion at December hearing, mere absence of the witness Likewise, a criminal defendant jurisdiction does not constitute may right of con waive constitutional 7.10(1) “unavailability,” RCr Allen, cannot be 337, Illinois v. frontation. 397 U.S. interpreted. Brumley Wingard, v. so 269 1060-61, 342-43, 1057, 25 L.Ed.2d 90 S.Ct. (6th Cir.2001) 629, (construing F.Bd 640 Commonwealth, v. (1970); Richmond 353 15(F), R. a rule almost identi Ohio Crim. (1982); Bonar v. 642, Ky., 646 637 S.W.2d 7.10). to RCr Nichol Obviously, cal was 338, Ky. 202 S.W. 180 not “unavailable” constitutional 676, Appellant clearly 679 waived sense.1 when right his to confront Nichol trial counsel, Appellant’s acquies defense with

However, even “the most basic cence, medi agreed testimony rights subject of criminal are defendants presented by depo cal witnesses could be Hill, to waiver.” New York v. 528 U.S. Richmond, supra, at 644 (waiver sition. 110, 114, 659, 663, 120 S.Ct. 145 L.Ed.2d have defendant] counsel: could “[The (2000) (internal omitted). g., E quote 560 attorney cho [present] been had so trial, v. Wingo, Barker right speedy sen.”). uniformly Federal have courts 529, 514, 2182, 2191, 407 U.S. 92 S.Ct. 83 held that counsel can waive a criminal (1972), Dunaway v. Common L.Ed.2d 101 right of defendant’s Sixth Amendment wealth, Ky., 563, (2001); 60 S.W.3d 571 long Confrontation “so as defendant trial, Levine v. United right to a public attorney’s does not dissent from his deci States, 610, 619, 1038, 362 U.S. 80 S.Ct. sion, long it can be that the and so as said 1044, (1960); 4 right L.Ed.2d 989 to a trial attorney’s legitimate decision trial by jury, Adams v. United States rel. ex part strategy.” tactic prudent McCann, 236, 317 U.S. 63 S.Ct. Reveles, v. 678, United States 190 683 F.3d 240, v. (1942), Short Com 87 L.Ed. 268 Cir.1999) (5th (quoting United States n. 6 monwealth, 828, Ky., 519 S.W.2d 832-33 (5th 230, Stephens, v. 609 F.2d 232-33 (1975), superseded by rule as stated in Cir.1980)). See also States v. Coo United Commonwealth, Ky., v. Jackson 113 Cir.2001) (7th 411, per, 243 F.3d 128, (2003); right S.W.3d 131-32 to coun Plitman, (same); United States sel, California, 806, Faretta U.S. (2d Cir.1999) (“[W]e reject F.3d S.Ct. L.Ed.2d 562 Barker, (1975), argument every a defendant Wake v. [the] 514 S.W.2d (1974); personally instance must waive the testify 695-96 one’s him.”); Arkansas, behalf, against Rock v. confront witnesses own 483 U.S. *9 1146, Hannigan, Hawkins v. 52, 185 F.3d 107 97 S.Ct. L.Ed.2d 37 Commonwealth, (10th Cir.1999) (1987), evidentiary 1155 Crawley v. (upholding Ky., 197, (2003); chal right stipulation against 199 Sixth Amendment 107 S.W.3d to be trial, no that United States present stages lenge at all of “there is because evidence object ground “un- Appellant deposi- only not but on the that he was not 1. did to Nichol’s ground tion on the that he was not a available.” "doctor” 784 disagreed cused, objected by entering plea with or to either a or by

[defendant] decision”); Gray, his taking counsel’s Wilson v. action to his detriment in reli- n (“[T]he (9th Cir.1965) 282, offer, 345 286 on agreement F.2d anee the then the may right binding accused his ex- waive to cross becomes and enforceable. amination and confrontation the and... Ky., Reyes, Commonwealth v. 764 S.W.2d right may accomplished waiver of this be (1989) added) (emphasis (quota- 64-65 by the accusеd’s counsel as a matter of omitted). tion strategy.”); tactics Cruzado v. When, however, the defendant detrimen- Rico, (1st Puerto 210 F.2d Cir. tally government’s promise, relies on the 1954) (“[WJhere an accused is represented resulting the harm this from induced counsel, by counsel, why we do not see in implicates guaran- process reliance due behalf, presence may and on his not estoppel principle This basic tees. make an effective waiver of of [the by in recognized the Court Santobello confrontation].”).2 Here, defense counsel York, v. [Santobello New U.S. agreed deposition to in the either ex- (1971)]; 30 L.Ed.2d 427 S.Ct. or, change for a continuance noted in- as guilty a defendant in pleads when reli- fra, pretrial purpose obtaining the agreement prosecu- an the ance on with discovery to which he was not otherwise tor, promise that must be San- fulfilled. entitled. Appellant present and did arguably tobello could be extended to not dissent the only waiver. The cover the situation where the defendant remaining issue whether could yet plea, not the has entered but has renege on deposi- his waiver after Nichol’s way on in bargain relied such that tion was completed. longer possible. a fair trial would no

Application principle contractual Scotland, Virgin Gov’t Islands v. F.2d estoppel applied agreements has been (3rd Cir.1980). 360, 365 prosecutor between and defendant cases, course, involved situa- These criminal case. sought government tions where the It seems obvious that state agreement welsh its a criminal after makes a to an promise accused and the defendant had acted in detrimental reli- accused no takes action reliance on thereon, process implicating ance thus due promise, may the state withdraw Nevertheless, considerations. we have agreement offer. No has been reached. may held that criminal defendant nothing prose- There is enforce. The by advantage claiming tactical obtain a equal cutor’s to withdraw is to his his attorney lack of confrontation after right to withhold an offer. initially attended a witness’s court-ordered voluntarily departed prior but

deposition However, if the offer is made to its conclusion. Carter Common- wealth, prosecution accepted Ky., ac- 599-600 S.W.2d dissent, Commonwealth, Contrary to the assertion in the dissent’s reliance on Dean v. Sowders, (6th post, (1989), Ky., Carter v. 5 F.3d 975 Cir. 777 S.W.2d 900 overruled on oth 1993), grounds by does not hold otherwise. The defect in er Caudill v. (2003), Fugate Carter was the absence of we evidence 120 S.W.3d noted Commonwealth, supra, defendant knew Dean did Commonwealth deposition, purport intended to take witness’s thus not monwealth, v. Com overrule Richmond and, argument precluding supra, being plurality that his failure deposition opinion point, precedential attend the somehow constituted an on this had no implied Id. at consent. 980-82. As for the value.

785 overruled, trial, testimony at monwealth of Nichol’s (1989), Nor- grounds by on other Cоmmonwealth, 750, Re- another continuance. Ky., yet 37 S.W.3d or to obtain v. ton (2001), on in det- granted habeas other acted gardless, 753 the Commonwealth Sowders, (1) grounds by supra, note by Carter v. the agreement rimental on reliance (defendant de- personally 2 did not attend key a trial date on which agreeing to prove (2) and did not he had position evidence mak- present, not be witness could thereof, could actual notice thus he not deposition ing keya available for a witness confrontation). have to waived deemed not ob- could have been otherwise (defen- Estep, at 193 See also 957 S.W.2d of principles conclude that tained. We appeal not on use of complain dant could pre- fairness estoppel fundamental deposition agreed she videotaped where denial of claiming from Appellant clude that expert’s deposition to trial could prior cir- under these of confrontation evidence). Couch, v. People as be used Cf. cumstances. 220, 1053, Cal.Rptr.2d Cal.App.4th 56 (defendant (1996) estopped from 221-22 Furthermore, deposi the because challenging appeal on to which he sentence videotaped tion was courtroom with the agreed plea bargain); State v. had Cros- box, the in the the witness witness (La.1976) (defen- by, 338 So.2d the “weigh was the demeanor of able to agreement to concede venue in ex- dants’ setting. in a courtroom Barber witness” change prosecutor’s agreement for nоt to Nor Page, supra, at 88 S.Ct. at 1322. relevant, grue- exhibit admissible and but right of cross- Appellant was denied the some, necessary prove to photographs ven- “meet the wit examination or to ue, precluded claiming defendants from on § 11. A Ky. face.” ness[ ] face to Const. stip- that trial forced them appeal court to testimony just as judge presided over venue). ulate Thus, we would have occurred trial. criminal provision error, There is no in our if conclude that even there had been Appellant rules that would have allowed beyond a been harmless would have discovery deposition take a of a witness for Chapman v. reasonable doubt. Califor Rigsby v. Common- Commonwealth. nia, 386 U.S. S.Ct. wealth, (1973), Ky., 495 S.W.2d (even (1967) er L.Ed.2d 705 constitutional on grounds overruled other Pendleton analy subject are rors harmless error 685 S.W.2d sis). course, had oc Of even an error (1985). Here, would accom- curred, only conviction it would affect the he could plish what otherwise not have since Nichol’s and sentence assault 2nd accomplished permitted agree were he phys testimony addressed the serious 7.10(3), then deposition, to a RCr welsh injury ical offense. element deposition agreement after the was thereby discovery obtain concluded INJURY. V. SERIOUS PHYSICAL testimony. nature of the Ob- witness’s that distin elements One make the viously, decision to belated 2nd guishes felony the Class C of assault objection premeditated because de- 508.020(l)(c), (wanton), KRS deposition counsel came to fense in the A of assault Class misdemeanor subpoena that he withheld armed with (wanton) (“assault 4th”), testimony degree fourth learning until what the would 508.030(l)(a), injury KRS is whether speculate will as whether be. We “physical sustained the victim was purpose to obtain discov- Appellant’s injury.” injury” subterfuge, physical or a “serious ery by deprive the Com- *11 Those terms are as follows in Dr. defined KRS Zhou testified that he first saw 500.080: 30, 2000, Eberle on diagnosed October and

(13) pain by headaches and caused neck “Physical ‍‌​​‌‌‌​​‌​​‌​‌​‌‌​​‌‌‌​‌‌​‌​‌‌‌​​​​​‌‌‌​​​‌​​​‌‌‍injury” means substantial May assault.

physical or vehicular He in- pain any impairment of jected condition; anti-inflammatory physical medications into prescribed

her neck and oral anti-inflam- matory medications and muscle relaxants. (15) physical injury” “Serious means He her periodically continued to treat and physical injury which creates a sub- treating was still at the her time of trial. death, stantial risk or of which causes Her last visit December was on serious and prolonged disfigurement, days time, five before At that trial. she health, prolonged impairment or of still pain, suffered from although neck prolonged impairment loss of the improved numbness in her had arms and any bodily organ. function of her dramatically improved. headaches had added.) (Emphasis The trial judge in- She was taking anti-inflammatory still oral structed jury on both assault 2nd and medications and relaxants and muscle Dr. assault 4th as included lesser offenses of considering Zhou referring was her for the indicted of assault in offense the first therapy. additional physical degree. Appellant claims it was error to instruct on 2nd assault because the evi- her employment Eberle testified that dence support was a finding insufficient working history department included in a by victim, jury Eberle, that the Lisa store, a a roofer. At factory, and as physical injury. sustained a serious assault, employed time of was full- she collision, Following baby-sitter time as a for children whose Eberle was transported by parents After University night ambulance worked a shift. assault, Hospital diagnosed part where was she of quit she with work because multiple strains, injuries frequency phys- and her of contusions and the her lacera- tion sutured, ical therapy part elbow which was visits and her and a because strain, cervical Latino, companion enough described Dr. domestic earned income the emergency physician, employment support from his room as a both stretching ligaments and them. She that she still muscles of testified suffers discharged pain the neck. from neck that she did not She was re- family physician, ferred to “choose not to Lynn her Dr. work.” Riley. Riley Dr. referred Eberle to Nichol Eberle Appellant claims that sustained for physical Nichol therapy. diagnosed only pain” as a result physical “substantial headaches, pain, neck lack cervical assault, inju- a “physical thus range of cervical motion caused muscle ry.” The claims that Commonwealth spasms, upper pain, thoracic and numb- “prolonged impair- Eberle also sustained ness of the right arm. He administered аssault, ment of health” result of the as a physical therapy treatments Eberle on thus instructed on properly twenty-seven between occasions June 20 agree the offense of 2nd. assault We with and October 2000. Because he was the Commonwealth. unable symptoms, sug- to reheve her he gested Riley that Dr. refer Eberle to a Luttrell v.

pain management specialist. Accordingly, (1977), that a police S.W.2d 75 held we Dr. Riley Eberle to referred Dr. David officer who was in the chest with bird shot shot, Zhou. days, for five hospitalized *12 prolonged, it is “physical injury;” but for six weeks approximately off work injury.” law, not, physical it a “serious as a of sustained then is matter had only in head- injuries at And resulted not physical injury. Id. 77-79. Eberle’s serious Commonwealth, also muscle pain, v. 719 aches neck but in Souder and (1986), that of neck range held a child decreased spasms causing we S.W.2d arm, arm. bruising, motion, a swollen and of who sustained numbness her and mouth her in and about from until burns continued at least The numbness cigarette lighter, Zhou, of cigarette or none not be- Dr. which did treatment follow-up treatment after A required which after the assault. gin until five months visit, had not sus emergency an room reasonably the evi- jury could believe Id. physical injury. a serious at 732. tained lost pain, dence combination of that Hocker, However, in Commonwealth motion, con- range and arm numbness of (1993), we that Ky., 865 S.W.2d 323 held substantially to decision tributed Eberle’s victim who sustained facial con an assault A public employment. to to not return sutures, requiring tusions and lacerations beliеve that Eberle was could also the loss of several teeth which were suc inju- suffering still from the effects of her cessfully reimplanted, a nondisplaced trial, months day ries on of nineteen fracture of linear the skull followed assault, and duration of after the that the symptoms neurologic of concussion but no im- “prolonged those constituted a effects injury, properly found to have sus Thus, jury was pairment health.” of injury. at physical tained serious Id. of as- properly instructed the offense Commonwealth, In Meredith v. 324-25. sault 2nd. (1982),

Ky.App., 628 S.W.2d 887 the Court language, held Appeals “impair of that the VI. DOUBLE ENHANCEMENT. condition,” in the physical ment of defini his sen Appellant asserts that “physical injury” simply “in tion of means tences 4th 3rd for DUI and OSL/DUI at jury.” Id. 888. See also Hubbard v. PFO improperly were enhanced under the Ky.App., 932 S.W.2d statute the same used to because offenses present DUI and enhance the OSL/DUI not previously We have addressed what D also were convictions to Class felonies “prolonged impairment constitutes D prior to Class used enhance offenses health” the context of the definition of felonies, present were then which used However, physical injury.” “serious PFO enhancement. State, (Del.1982), A.2d 735 Cronin The DUI and convictions present OSL that that two

was held evidence during the resulted from verdicts rendered dislodged during teeth victim’s were phase They first the trial. were en- assault, subsequent surgery dental dur- hanced 4th and 3rd to DUI OSL/DUI in proper align- to leave the teeth failed second, phase trial. ing separate of thе ment, victim was unable Ramsey, Ky., See Com v. 920 S.W.2d certain for four months after chew foods (1996) used (prior 528-29 DUI convictions “pro- was sufficient evidence of the assault cannot underlying offense enhance impairment of health” constitute longed guilt phase in the be introduced physical injury.” Id. 736-37. “serious trial). enhance- respective To obtain ments, required “im pain is an the Commonwealth was We conclude occur- pain prove prior If the sub three DUI convictions pairment of health.” stantial, years May ring it constitutes a within five prolonged, but prior two convictions. convictions ordered KRS were to be OSL/DUI 189A.090(2)(c).3 189A.010(5)(c), (10); concurrently, they merged KRS served into one proved prior purposes. Commonwealth conviction for PFO DUI KRS five *13 532.080(4). 21, April 1999, convictions on occurring The Commonwealth concedes 11, 20, 1997, 1997, 24, 1998, November July only that October March convictions 22, 1997, 20, 1997;4 satisfy January requirements and and two the time limitation of 532.080(3)(c)(l) prior occurring convictions on KRS and KRS OSL/DUI 532.080(2)(c)(same 11, 1997, 20, November requirements apply and October 1997. evidence, enhancement). hearing jury After 2nd this re- PFO 1st and PFO Thus, turned enhancing additional verdicts that conviction cannot be used for original 4th present convictions to DUI and PFO enhancement of his DUI 4th OSL/ 3rd, convictions, DUI D Class felonies. and 3rd the en- OSL/DUI hanced for those sentences convictions proceeded The trial then into the combi- must be vacated.6 nation penalty/PFO phase. KRS (3). 532.055(2), PFO 1st agree For enhance- We that at least some of the same ment, prior was required Commonwealth convictions used to enhance the of- convictions, 14, prove felony 1998, at least two fenses March prior underlying the con- of one which must satisfied D have one of the victions to Class felonies were also used D requirements time limitation in to enhance to KRS Class felonies the DUI 532.080(3)(c), e.g., complet- and of which Appellant offenses DUI/OSL imposed However, service of ed the sentence on was convicted in this case. prior of the felony only convictions within five 1998 DUI 4th conviction one of- prior fense, years to the date the commission not four consisting offenses of that (3)(c)(l). Id., present felony plus prior offense. offense the three offenses used The proved prior prove Commonwealth four felo- that the offense was a Class D ie., ny convictions,5 felony. Likewise, DUI 4th and the 1998 3rd OSL/ DUI/OSL DUI 3rd occurring only offense, convictions on March conviction one was for not 24, 1998, offenses;- present and two convictions of three separate Appellant’s convic- obtaining by only offense, tion of controlled substances fraud DUI 4th is for one not 218A.140(l)(c), four; forgery, occurring present KRS and his conviction of OSL/ 24, 1990, 31, offense, April October only and 1990. DUI 3rd is for one not three. 24, Because only prior the sentences the March and DUI convic- DUI/OSL 30, 2000, May argues As Ap- 3. KRS 189A.090 did 6.The not Commonwealth even if require prior correct, that the pellant convictions by OSL/DUI issue is mooted years present have occurred within five 24, 1998, fact that the March cоnvictions Garnett, Ky. offense. See Commonwealth Could still be enhance the used to assault 2nd App., 8 S.W.3d That omis- twenty years, ag- conviction to the maximum sion was corrected amendment that gregate imposed sentence that can under did not until become effective October However, 532.110(l)(c). if a KRS federal Acts, § Ky. 2000. 2000 ch. 7. Now see should, review, disagree court on habeas with 189A.090(3). KRS analysis our Confrontation Clause in Part III opinion, supra, of this that conviction and its 4. There is the record evidence in of at least vacated, twenty-year would be sentence leav- occurring two more DUI convictions on June ing only fifteen-year the enhanced sentence and June 1997. for criminal mischief 1st. fact, proved eight the Commonwealth prior felony but the convictions was in- structed on four. KELLER, J., part concurs enhancement tions used obtain PFO present were Appellant’s convictions with opinion, in part separate dissents felony convictions. Since March STUMBO, J., joining opinion. were used to enhance those convictions present

Appellant’s DUI concurring DUI/OSL KELLER by Justice Opinion felonies, they D were convictions Class dissenting part. part for PFO under used enhancement properly I find I cannot what simply decide 532.080(6)(b). KRS Corman Common- (Witness troubling Part IV most about wealth, 122, 124 Ky.App., 908 S.W.2d *14 (1995) I majority opinion. 3rd the (prior Deposition) conviction of OSL/DUI be used for enhancement could PFO however, have, list.” prepared a “short though conviction of 4th even present DUI First, despite the fаct that the Common predi- a prior DUI conviction that was trial has the wealth never—either cate for the 3rd conviction OSL/DUI or in its brief to this Court —ut court convic- prove present also used to that the the “waiver” as or written word tered convic- Appellant’s tion was fourth DUI trial of for its justification introduction tion). Grimes, v. See also Commonwealth deposition of licensed videotaped the 836, (1985) (penalty Ky., 698 S.W.2d 837 Nichol, the therapist Timothy physical offense for second controlled substance for affirm majority’s of the basis linchpin un- conviction could be further enhanced Second-Degree Assault ing Appellant’s prior der PFO statute offense where majority’s is the factual deter conviction not the used for PFO enhancement was and Appellant’s that federal mination prior prove same offense used to that the rights of confrontation underlying controlled offense state constitutional substance offense); Eary was a second v. Common- by agree his counsel’s were waived (1983) wealth, 198, Ky., 659 S.W.2d 200 Second, ma Nichol.1 depose ment to (penalty possession for conviction of jority opinion’s finding Appellant that the felon, handgun by a KRS convicted in the is unreasonable acquiesced waiver 527.040, could be under further enhanced wording part multiple of the because prior felony PFO statute where conviction by court question asked the trial element prove used convicted felon support Appellant’s answer do not underlying was a different offense majority opinion’s Appel conclusion en- conviction from those used for PFO right acquiesced of his lant the waiver hancement). Nichol, particularly so because to confront Accordingly, judgment of convictions pre indulge every reasonable “‘courts imposed by and sentences the Jefferson fundamental sumption against waiver’ of are affirmed. Circuit Court Third, major rights.”2 constitutional optimism remi ity opinion proceeds with C.J.; GRAVES, LAMBERT, inexplicable of Charlie Brown’s WINTERSHEIMER, niscent JOHNSTONE, and placeholder, Lucy, will JJ., that his concur. faith Zerbst, 458, 464, 58 v. 304 U.S. 144 S.W.3d 2. Johnson Parson 1023, 1461, (1938) 1019, 82 L.Ed. 1466 775, (2004) S.Ct. clearly waived ("Appellant 783 Kennedy, 301 (quoting Aetna Insurance Co. v. when to confront at trial Nichol 811, 812, U.S. S.Ct. agreed testimony of defense counsel that the Easton, (1937) Hodges L.Ed. 1177 presented de- witnesses could be medical 27 L.Ed. U.S. S.Ct. position.”). (1882)). break form “the next time” and keep Appellant’s Second-Degree Assault con in place yank football rather than away viction, which I would reverse and re at the last second when it bases its “waiv mand for a new trial because there is no er” finding upon legal the same conclu evidence this record to suggest sion—that unilaterally counsel can effect Appellant knowingly, voluntarily, himself such a waiver—for which the Sixth Cir intelligently relinquished or aban cuit “took us to the woodshed” a decade doned his to confront Nichol at tri ago in And, fourth, Carter v. Sowders.3 al. although it is black-letter law that Before I elucidate further regarding the right of confrontation secured my list,” concerns that mаde “short howev- Sixth Amendment “basically a trial er, I feel the need clarify the record. right[,]”4 the majority employs a harm majority opinion states: less error analysis appears to render morning On the of the second trial harmless the introduction at trial of date, November videotaped deposition as long as the de again requested granted and was *15 fendant had an opportunity to cross-ex continuance, this time because defense amine the witness at the deposition itself. counsel’s investigator, might who be say Suffice it to disagree that I with the (the witness, called as a ill de- majority’s Appellant’s view that trial fense counsel’s investigator did not agreement counsel’s to depose Nichol testify held), finally when the trial was Appellant’s waived rights constitutional and because defense might counsel confrontation or that Appellant acquiesced possibly have a medical problem as to a waiver. Accordingly, consistent with well.6 my consistently-held position any waiver of important counsel, protec Although Appellant’s constitutional Robert (“McIntosh”) tions must come from the defendant him D. McIntosh cited the una- herself,5 self or I dissent in part as to vailability of a investigator defense as one (6th Cir.1993) 3. 5 F.3d (granting 975 today’s majority habeas rect the needlessly error ... relief in the face prolongs litigation of a confrontation [gives clause this the Com that, Commonwealth, violation likely in Carter v. monwealth what will turn out to be a] (1989), Commonwealth, Ky., victory.” Taylor 782 hollow S.W.2d 597 v. this Court found 63 151, (2001) (Keller, J., waived). S.W.3d had been 170 See id. 5 F.3d at dissent 981 n. 3 (6th Cir.1993) ing). (observing that this Court’s opinion in Carter reading "conflicts with our 458, 719, 725, [Johnson v.] Zerbst U.S. Page, [304 58 S.Ct. 4. Barber v. 390 U.S. 88 S.Ct. (1938)]" 82 suggesting L.Ed. 1461 20 L.Ed.2d 260 “personal that the waiver defendant" view applied plurality opinion in the in Commonwealth, Dean v. Ky., 5. See v. Jackson Commonwealth, (1989) Ky., 777 (2003) S.W.2d 900 (right by jury); S.W.3d 128 to trial correct). Commonwealth, I major would observe that the Crawley Ky., 107 S.W.3d ity's holding J., comprehend (2003) (Keller, is difficult for me to dissenting) 203-04 Commonwealth, majority because it is clear cogni (right that the testify); Johnson v. Sowders, (2003) (Keller, zant of Carter v. Ky., which it not n. 6 S.W.3d cites, Parson, J., (right S.W.3d at 784 dissenting) n. but also to trial implicitly protection compelled references acknowledging while self-incrimina tion); Commonwealth, possibility Fugate that the federal courts will some (2001) (Keller, J., review, day, S.W.3d "on 22-28 disagree habeas dissent with our ing) (right present). to be analysis Confrontation Clause in III[sic] Part Parson, opinion[.]” of this 144 S.W.3d at 788 Parson, "By abdicating n. 6. responsibility its to cor 144 S.W.3d at 782. continuance, Court, told Ms. McCleod. I have not request for a reason for his just to do so. I don’t happy I will be “[c]oun- motion also stated that his written to do it on the record. want potentially will be sel for the defendant day the week of Novem- unavailable one Obviously, Common- [Assistant Court: 9, 2001[,]” affi- and his ber 5—November McCleod, I Attorney] Ms. wealth’s explained to the motion davit attached posi- you in an awkward puts know it Parson, “I, attorney for Mr. will be tion, I but assume to a be unavailable due potentially [sic] record, objects for the at least will re- medical condition which personal continuance. during medical tests quire further put me аn Judge, does McCleod: 9.” The of November 5—November

week to, just I but want position, awkward this majority opinion grudgingly mentions record, impor- and I it’s for the feel clear- although basis the record alternative tant, today’s [unintelligible], not for granted the reflects that the trial court ly case is continued and but case the because requested primarily continuance date, the Common- we have another of defense counsel’s medical concerns: objecting to this continuance wealth is times Court: We have talked several just I want to thing, .... The other This is morning this off the record. record so the Court will note for the first time we have on the been this, come back sensitive we McIntosh, you’ve record. And Mr. that I have three doctors again, is morning to the Court this tendered testimony is this case. The medical *16 reassign the trial date and motion I case. important to be this going all, you’ve I talked to first of assume doctors, Judge, three medical have it, your your client about client knows calendar now that have cleared their you to do this. asking are the Court They’ve shifted the second time. for your Yes. I honor. McIntosh: have shift they’ve changed their patients, or they something so fact you your Do or done Court: want to address testify at the Common- are free to motion on the record? disposal Again, tomorrow. wealth’s extent, yes, To a but McIntosh: certain time, I have now to call for a second I expressed to some extent as have they them that now them and tell I morning, this don’t wаnt to. day pa- where have wasted another Court: And the Court understands they, and that won’t be treated tients also, I and I think counsel do but as ‍‌​​‌‌‌​​‌​​‌​‌​‌‌​​‌‌‌​‌‌​‌​‌‌‌​​​​​‌‌‌​​​‌​​​‌‌‍they My eye- I know what do. don’t it, you asking are understand paid not today here are witnesses continue the case tñal CouH to for I four work. have they when leave investigator an both because witnesses, taken an- they again have your is not available and also office court, some wit- day, other come because some medical tests that times and have been here four nesses you go through have to are now to come and paid are not Nunn McIntosh: That’s correct. Ms. they need to come going to be told back on the 19th. She had should be time. back another I it was surgery Thursday, last believe during [Interrupting, McIntosh: As be available on the 19th. will Judge, if— pause] issue, I’m supposed far the other as just I [Interrupting] If could McCleod: something more tomorrow know finish. As I have told the afternoon 3:00. Okay, up you

Court: Ms. McCleod finish You don’t need to because Court: if (cid:127) given then we’ll talk about what we need to want a continuance and reasons, going do about this. medical Court’s grant I would do it the continuance. you, .Judge. McCleod: Thank As to Ms. I think any attorney. don’t Nunn, don’t, I only person she has there’s need to discuss far- even to is talked one witness who said ther. she didn’t anything. know And I would be able to—the Commonwealth Regarding the merits of the issue ad- stipulate could that Ms. Nunn doesn’t majority opinion, in Part dressed IV know anything, the witness for the majority opin- I agree comрletely with I attorney. defense And don’t know “[ojbviously, ion’s observation that Nichol what the medical condition is I constitutional ‘unavailable’ want to be to that if sensitive but it’s And, I hardly sense.”7 need mention that n possible,I don’t if possible, know it’s an unavailability constitutional absolute we could roll this case to tomorrow in precondition to the admission at a criminal the event that Mr. McIntosh is able to trial of an out-of-court testimonial state- continue, going if he’s to be at work Accordingly, petitioner ment.8 “unless did tomorrow, case, try and we could this actually waive his to be confronted roll it at least to tomorrow. ], with and to cross examine th[is] witness! federally guaranteed constitutional Well, guess Court: I first all of Mr. Therefore, the rights have been denied.”9 McIntosh, option, is that an to roll the dispositive issue in this case is whether day? case one Ni- waived his to confront Um, Judge, McIntosh: I’ve expressed presume chol at trial. cannot a waiver We my what concern If is. the Court rights Clause Appellant’s Confrontation wants to roll this until tomorrow then Thus, from a must silent record.10 we that’s the I Court’s decision. would examine the “the facts record and evaluate *17 - week,, prefer to it a if pass but that’s allegedly which support the waiver”11 Well, passing Court: there is no it a accordance with the relevant constitutional know, week. you get As all if we a “[tjhere standards, pre- a under which is date, you new trial looking are at Feb- sumption against the waiver of constitu- ruary at the earliest would be a new tional effec- rights, and for a waiver be trial date. The Court has several con- clearly it tive must be established cerns. or relinquishment there was ‘an intentional privi- If I McIntosh: could address some of of a known abandonment ”12 - addition, things determination lege.’ were stated “[t]he Parson, Janis, 1, 4, 7. 86 S.Ct. 144 S.W.3d at 783. 9. v. 384 U.S. Brookhart 1245, 1247, (1966). L.Ed.2d 36, -, Washington, 8. v. 541 U.S. Crawford Alabama, 238, 243, Boykin 10. 395 U.S. - 1354, 1369, 124 S.Ct. 158 L.Ed.2d 1709, 1712, 279-80 23 L.Ed.2d .S.Ct. (2004) ("Our cases have thus remained faith understanding: ful to the Framers’ Testimoni al statements of witnesses absent from trial Brookhart, at S.Ct. at 384 U.S. only have been admitted where the declarant 16 L.Ed.2d at 317. unavailable, is where the defendant Zerbst, prior opportunity has had a (quoting to cross-exam 12. Id. 304 U.S. Johnson 1019, 1023, added)). (emphasis ine.” 82 L.Ed. 58 S.Ct. a of what possibilities wealth about intelligent an there has been of whether do, do, case, they could not jury could what in each depend, ... must waiver range in a we get tried to it where circum- facts and upon particular so might negotiable, be case, thought that including surrounding stances briefly and talk to them I will at least experience, and conduct background, even, give you if we are videotaped record see of the accused.”13 The decide, just number, you can and then following: the case reveals can either you if a number that it’s go- Depending upon ... what’s Court: a reasonable accept or come back with medically, doctors are ing on these if offer, If we can talk more. counter tomorrow, option available one would not, get at least these then we will depositions be to take video them. and the deposed doctors tomorrow court, they into They could come date, decide next trial we’ll let and that depositions could take video thing. whole secured, testimony way their would fine, your honor. Parson: That would be they wouldn’t have to come back for option at trial. That would be one off the record and The court then went least as to the medical doctors. The parties possibility discussed the Court realizes that it’s an inconven- un- negotiated plea, apparently but were witnesses, prosecuting ience for the mutually-agreeable disposi- able to reach just something that’s we have to deal The trial court then reconvened the tion. maybe with all the time.I think proceedings on the record and continued I counsel and need to talk off the discussion with Assistant Common- about Mr. exactly record what where Attorney wealth’s Foster: McIntosh, you stand with medical my you all understanding Court: It’s things to see at a minimum these doctors bring least [can] deposed can be doctors tomorrow depositions tomorrow and take video take care that. preserve testimony. their that, I willing McIntosh: would be to do honor, coordinating I’m Your Foster: That’s, Judge. I understand Ms. I’m proof in this case and the medical McCleod’s issue with the doctors and going try, going what I’m to do certainly they have that are schedules if that’s basically give option, them the just like ours. that was to be done If Court, okay give them with tomonvw, I can do that. the, I new trial date. know one of

physical therapist, would like to do I but he asked Appellant] deposition14 Court: understand video [To if day. you thought that offer was too we could have it another Would their just me to work it high, possible and I talked to the Common- it be Nichol, (1938)). worthy who is Page, 390 14. I find it of note that See also Barber v. 1318, 1322, 719, 725, was thus U.S. 88 S.Ct. neither an M.D. nor a Ph.D.—and (1968) (also applying contemplated any previous dis- L.Ed.2d not in waiver); depositions taking of a Illinois v. Zerbst’s definition cussions about video Allen, S.Ct. apparently 397 U.S. the Com- "the informed doctors”— (1970) Zerbst). (citing testify 25 L.Ed.2d via video of his desire monwealth date was select- deposition the new trial before ed, Zerbst, any scheduling at and thus 304 U.S. at 58 S.Ct. conflict before presented 82 L.Ed. at 1466. itself. Court, [Interrupting] depo- out with the when we come Court: Which video courtroom, back and use the to take sition is that? (cid:127) deposition? . Well, one, only McIntosh: we’ve taken Judge, problem

McIntosh: we have no and that would be of Mr. Tim Nichol. with that. And, Okay. Court: what’s the issue Foster: everybody. We’ll work with deposition? about the use of the My Court: That’s fíne. concern we’re Well, McIntosh: he has to be unavail- any- scheduled to be here tomorrow able for the trial and I don’t think way. that, in his deposition he stated - I they’ve already going McIntosh: think he was be on vacation through January 2nd and then would thinking Foster: I called them that the meeting January be at a national going case was to be continued and I, January through 3rd 7th. And on said, know, already had you that’s behalf, my chent’s I don’t think that I doing what when I left that’s a valid excuse for his unavaila- courtroom, and I’ve been able to vacation, bility. Someone’s un- get one of them back on phone. fortunate that he would not be able to McIntosh: I think that it would be bet- vacation, him go on does excuse ter they’re going to wait and see if testify. has to If from the fact that he even be unavailable. they testify, him to I don’t want cer- They may Foster: want to come to the tainly they’ve got enough think other trial. in, bring they if doctors to wanted Okay, just I’ll get Maggie Court: then I think "that that use them. don’t get go another trial date and we’ll unavailability. constitutes from there. Court: Ms. McCleod? Later, after deposition, the video at going McCleod: Ms. Foster’s address which learned more information Court, Judge. relevant to alleged inability Nichol’s to tes- 7.10, Rule Judge, [RCr] Foster: under tify trial, in person Appellant’s de- granted the Court is discretion to prohibit counsel moved the trial court to may be un- termine when a witness introducing the Commonwealth from Ni- actually available for trial. And we deposition chol’s video at trial. The tran- today, brought Mr. Nichol script hearing Appellant’s motion concerns Court has additional (1) apparently reveals that: neither the Nichol, unavailability. about his Mr. trial court nor the Commonwealth were deposition that he is he testified cognizant of the constitutional dimensions through the out of town for vacation (2) of “unavailability,” and the Common- January. 2nd of He will not be com- Appellant’s wealth never asserted waiver and then he’s ing night, until that as a basis for the introduction of Nichol’s *19 day and going to turn around the next deposition: video fly Vegas? Vegas. To Las out to Las Court: What issues do we need to take day, quote Court: And that the next up this morning? to start. day supposed the trial is think, McIntosh: I Judge, what we need Right? up to take is the issue of the use of day January 2nd is the McIntosh: I deposition this video at the trial. - 2nd. pretty think that’s much trial starts on the Foster: The all, you presuming are First of get does he Court: Okay, then when Court: seated and going get that we from vacation? back just ready, I mean we and be selected I will be audience] [From Nichol: first Tuesday and the a trial started Monday, the 7th. back on Wednesday morn- called witness was Okay, you go do on Court: so when we presuming are ing. you I mean vacation? far, you presuming are get that will Well, day sup- I Nichol: that was will want that the Commonwealth I’m day that posed to be here is the got early proof, him in the we’ve call our meeting for a national for leaving I don’t understand deposition. his be the 3rd. company, which would what, deposition was I assume the Okay, you leaving on the so are videotaped. Court: also meeting and then go 3rd to to this videotape deposition, Foster: haveWe - meeting vacation after the Judge, opportunity and he had an fully the witness cross-examine before, I will be Nichol: Vacation is easy. I’ll note Okay, it’s real Court: and re- leaving December 28th objection, your objection, overrule the on the 2nd. turning by videotape, you all can do if McIntosh, Okay. Mr. I don’t un- Court: says wrong, it’s it’s Appeals Court of derstand what the issue is. going to be out town wrong, but he’s That McIntosh: constitutes unavailаbili- meeting during period at a ty? Unavailability is someone who is dearly I think that establishes trial. dead, hospital is in the someone who you disagree, If unavailability.15 communicate, don’t or unable I Ap why got that’s we the Court think, anything I haven’t seen before, They wrong found me peals. vacation unavail- indicates constitutes they agree, they don’t I’m sure will ability. It’s unfortunate and I’m sor- differently. to do it tell us - that, ry for but at the same time here, you Mr. Nichol is are Foster: Court: It doesn’t sound like the vacation subpoena him from the excusing meeting is the issue. The issue is this he is under? go he has to to. Yes, you’ve got I mean if Court: McIntosh: His vacation is from the 28th deposition video

until the 2nd. He could be called in subpoena I he is McIntosh: think the testify on the 2nd to and then he can to, referring wrong, correct me if I’m fly meeting by out and be at his subpoenaed deposi- I him at our video 3rd. January tion to be here on 2nd for this trial. all, Judge, Foster: First of I think Mr. that, provide Okay, needs to some sort then he’s excused

McIntosh Court: he’s ex- authority says you given deposition, have to be the video cused, objection is Mr. McIntosh’s dead to be unavailable. Commonwealth, Ky., today’s majority opin- See Parson v. would observe that incorrect. 15. I (2004) ("Contrary to the Kentucky appellate "say[ing] 144 S.W.3d at 783 ion is the court prosecutor’s at the December wrong” court foreshadowed. assertion it’s that the trial 2001, hearing, of the wit- framing the mere absence Although discussion in terms of its jurisdiction does not constitute argument ness from the rather than the Commonwealth’s 7.10(1) be so 'unavаilability,' and RCr cannot ruling, majority opinion the trial court’s *20 analysis interpreted.”). explains court’s that the trial record, way noted but that the record is less clear as to whether the got testimony.- objects we’ve agrees client to or with counsel’s purported waiver, or whether the client majority opinion “Appel- finds that sufficiently had been informed to make clearly lant right waived his to confront choice, such the waiver issue becomes counsel, at Nichol trial when defense with more difficult to assess. While ma- “[t]he Appellant’s acquiescence, agreed that the jority of circuits that have addressed this testimony of medical witnesses could be question that a have stated defendant’s and, presented by deposition,”16 sup- attorney can waive his client’s Sixth cites Richmond v. port finding, of that long Amendment confrontation ‘so as Commonwealth,17 parenthetical with the the defendant does not dissent from the explanation by “waiver [The counsel: de- decision, attorney’s long and so as it can be present could have fendant] been his at- attorney’s said that decision was a torney had so I previously chosen.” have legitimate part prudent trial tactic or of a explained my view that Richmond does ’21 strategy[,]” the Sixth Circuit does support not this “waiver counsel” no- majority not subscribe to the view.22 In tion.18 I by my previous Because stand v. Sowders,23 Carter Sixth Circuit stat- analysis, employs analyt- which the novel rights ed that a waiver of confrontation what the Richmond quоting ical method of requires personal the defendant’s ie., said, actually “obviously court [Appel- knowing consent: lant’s] absence was choice. He could that he opinion have been there. It is our Although may implied waiver waived the of confrontation.” To express, there must be evidence in separate holding “spin” placed its from the implication. the record to that support it, I upon repeat analysis will not here Evans v. This court’s statement simply express my opinion will States, (6th United 284 F.2d 393 Cir. Richmond does not support today’s major- 1960) directly applicable: is “the rec- ity’s holding my previous and reference ord does not show that defendant Instead, comments in that I in- regard. rights. knew or was advised of his depth ques- tend to focus more on the waiver, order to constitute a there tion of whether counsel can waive a defen- voluntary relinquishment must be a rights. dant’s confrontation Id. knoim right.” 395. We find personally Carter did not waive his beyond dispute attorney It an right to confront Elam. cannot a criminal waive defendant’s con- found that rights frontation if the is “inconsis- The district court Carter waiver of this expressed tent with his client’s desire.”20 nonetheless effected a waiver situations, however, right through attorney, In other factual where the actions of his Parson, Cooper, 16. 144 S.W.3d at 783. 21. United States v. 243 F.3d (7th Cir.2001) ‍‌​​‌‌‌​​‌​​‌​‌​‌‌​​‌‌‌​‌‌​‌​‌‌‌​​​​​‌‌‌​​​‌​​​‌‌‍(quoting v. Rev United States Ky., 17. 637 S.W.2d 642 eles, (5th Cir.1999)). 190 F.3d 683 n. 6 Fugate 18. 62 S.W.3d J., (2001)(Keller, Sowders, dissenting). (citing 26-27 22. Id. Carter v. 5 F.3d (6th Cir.1993) see”). 981-82 as a "but Richmond, (emphasis 19. 637 S.W.2d at 646 added). Sowders, (6th 23. Carter v. 5 F.3d 975 Cir. Janis, 1, 7, Brookhart 384 U.S. 86 S.Ct. 1993). . (1966) 16 L.Ed.2d

797 accused, it is he who suffers deposition for the appeared who conclusion if the defense fails.” departed. consequences then We find this 3 Zerbst. As the Second inconsistent with Supreme Kentucky The Court in Circuit stated United States right to confront found that “Carter’s (2nd Crutcher, 239, 243 Cir. 405 F.2d was waived” deposition Elam at the 1968), denied, 394 89 S.Ct. cert. U.S. deposi notice of the “[a]mple because (1969), referring 22 L.Ed.2d 219 to to Carter’s counsel provided tion was proceed defense counsel’s decision to that Car ... There was no evidence in jury impaneling with the defendant’s ter, why legal had a reason personally, assuming [counsel] absence: “[E]ven attend, proof no to he was unable authority Payne’s act coun had the as made a presence would have his sel, ability to he would not have had the Carter, -782 S.W.2d difference.” Payne type to a of this bind decision obviously conflicts with our 599. This obtaining Payne’s without consent.” Moreover, reading of Zerbst. Tenth came to a similar The Circuit made state Kentucky Supreme Court in Tansy, conclusion Larson v. 911 F.2d same opinion ments in an decided the (10th Cir.1990): 396 & n. Commomvealth, 777 day, Dean v. The record indicates defendant’s coun- (Ky.1989), that would lead S.W.2d sel, defendant, and not waived defen- opposite result precisely right presence dant’s at trial. The in that reached Carter: directly trial court never addressed right hold that We because re- concerning defendant his counsel’s per- and to confront is present quest to conduct the remainder of the to the accused under Section sonal in defendant’s absence. We hold Constitution, Kentucky 11 of the right that defendant did not waive [Ky. particularly and more under if present.... to be Even defense 7.12, only the defen- R.Crim.Proc.] validly counsel could have waived de- right. dant can waive this The right present fendant’s to be for the sufficiently must be clear “as waiver trial, conclusion of his where defense’ to indicate a conscious intent.” counsel did not consult with defendant Powell concerning the waiver and did not ob- (1961).... Appel- S.W.2d consent, tain defendant’s the waiver appellant’s waived lant’s counsel binding not be will defendant. deposi- at the right present to be that, similarly We find even Waller’s prosecution wit- tions of the two deposition action at the could constitute There is no indication nesses. rights under waiver defendant’s appellant’s that it was the record Clause, the Confrontation the waiver right this conscious intent waive would not bind Carter in the absence of right to cross- consequent and his As the showing that he consented.3 be- examination. Counsel’s waiver Supreme Court stated Faretta v. Cal ineffective, there was no waiv- ing ifornia, U.S. S.Ct. present; was not er.... (1975): 2533, 45 L.Ed.2d 562 “It is the nor he afforded the accused, counsel, must be ‘in who confront and cross-examine wit- formed of the nature and cause of the testify against him. nesses called to accusation,’ who must be ‘confronted can no reason .... Id. at 903. We discern against him’ with the witnesses standard was used directly why to the a different given to defend is *22 798 offer,

deciding Carter’s accept fate.24 choice the to make whether counter-offer, reject or to further plea words, In other “a waiver cannot be based (4) negotiations, parties and' if the by on statements made defendant’s law- in apart” plea negotia- were “too far yer who has not first consulted with his or tions, possibility deposing of “the doc- client[,]”25 her and a criminal defendant’s day, setting tors” the next but the case rights constitutional of confrontation can by jury itself for trial on a future date. only by personal be waived consent of Based on the multitudinous nature of the although the consent itself defendant — “question” developed and other concerns expressly, e.g., can be communicated either in I opinion, later this do not believe it is in an colloquy, on-the-record con- Appellant’s reasonable to characterize af- duct, e.g., through acquiescence informed firmative as response express, knowing, an in agreement counsel’s to the admission of voluntary and of his to con- waiver an out-of-court statement.26 front Nichol The majority at trial. also bar, In majority' suggests the case at it hangs paraphrases its hat on what as Appellant acquiesced in the waiver of Appellant’s agreement trial counsel’s “that fight his to confront Nichol when he re- testimony of medical witnesses could fine, sponded your would be honor.” “[t]hat presented by deposition.”27 be Given that “ However, response this towas a somewhat indulge every pre- ‘courts reasonable meandering “question” from the trial court оf sumption against waiver’ fundamental (1) however, I believe upon Appellant’s past rights,”28 that touched constitutional be- necessary engage that it in a is more- lief that plea Commonwealth’s offer (2) exacting scrutiny exactly Appel- of what unreasonable, the trial past court’s agreed lant’s trial to do before counsel we proposed future communications with validity of even reach the issue of the regarding possibili- Commonwealth purported counsel’s waiver. ty of obtaining plea Appel- a new offer that (3) might palatable, lant find more the fact view, my majority opinion adopts that, if the Commonwealth extended a new in- overly-broad factually-suspect an plea Appellant, offer to it terpretation Appellant’s would be trial counsel’s Sowders, utility authority 24. Carter v. 5 F.3d at 981-82. I mond’s for a "waiver as couple hypothesis. wish to make a counsel” additional observa regard prior tions with to this Court's “waiv First, Marshall, 525, jurisprudence. er” the Sixth Circuit’s F.3d 25. United 248 States apparent approval "personal (6th Cir.2001). of the waiver” 535 approach by plurality taken of this Court nicely express today Dean 8, 1249, fits with the view I Brookhart, 26. U.S. at 86 S.Ct. 384 expressed past. Fugate, 319; Marshall, and have in the See 248 F.3d at 535 16 L.Ed.2d at J., (Keller, ("I dissenting) ("Waiver 62 S.W.3d at 26 implied the defen- may also reasoning just persua conduct.”). find the in Dean not dant’s sive, compelling, today’s but and I note that majority attempt Commonwealth, makes no serious to refute Ky., 144 S.W.3d 27. Parson v. Second, [it].”). pro Carter v. Sowders also at 783 my support vides criticism that Richmond misapplied by has been this Court. The 458, Zerbst, 464, 304 U.S. Johnson v. authority this Court cited in Carter v. (1938) Com S.Ct. 82 L.Ed. support monwealth of its conclusion that Kennedy, 301 (quoting Aetna Insurance Co. v. 809, 811, 812, confrontation "was Carter's waived” U.S. 57 S.Ct. Easton, (1937) was Richmond. Carter v. Hodges v. L.Ed. 1177 holding S.W.2d at 602. The Sixth Circuit’s 27 L.Ed. 169 U.S. 1 S.Ct. (1882)). upon Carter Sowders thus casts doubt Rich record, course, My unnecessary statements. review Of to devote which can be verified from the above ver- great energy interpreting deal *23 it, Appel- batim recitation of reveals that scope Appellant’s agree- trial counsel’s trial agreed lant’s counsel first to take the crystal-clear from ment because it is (or depositions video of “the doctors” “the trial Appellant’s video record that counsel doctors”) medical understanding with the in engage did not consultation with those witnesses “wouldn’t have Appellant on 2001 before November Later, come back for trial.” after the agreed to take deposition. counsel Nichol’s physical Commonwealth indicated that a point At no does trial lean counsel ever (Nichol) therapist expressed witness had Appellant over to to inform him of what an in “doing deposition” interest the video agreement such an would entail or to soli- occasion, on a future the Commonwealth input cit his on the decision. It is also asked the trial court whether “it [would] worthy of that although note the trial court just possible be ... it work out with the previously had verified with counsel that Court, when we come back and use the a request continuance was the courtroom, to take the deposition?” and product Appellant of consultation with responded counsel “we have no problem (presumably verify that the waiver of with that.” Unlike the earlier discussion Appellant’s right speedy trial was doctors,”29 concerning however, “the there own), ie., Appellant’s you’ve “1 assume no warning to Appellant, on the record it, your your talked to client about client otherwise, taking Nichol’s video you asking knows are the Court to do deposition would him testify- excuse from this[,]” trial court made no such effort trial, ing at Appellant’s trial counsel Appellant to determine whether gave his specifically noted that the “wait and see” agreement consent for his counsel’s to take approach made the most sense because it depositions. the video prevailing Under was not clear whether the witnesses were jurisprudence, any agree- Sixth Circuit “going, Thus, to even be unavailable.” by ment made Appellant’s trial counsel we are faithful to the presumption against could prevent Appellant asserting waiver that Supreme United States Court right his constitutional to confront Ni- jurisprudence requires apply, us to we chol.30 should Appellant’s construe trial counsel agreement statements as an only to take Of course it is that undeniable deposition Nichol’s in the event present actually that Ni- was the parties when took chol was unable to testify person deposition, in at argument Nichol’s video and an not, majority as the interprets those can made that in acquiescence his trial — statements, an agreement as that Nichol’s actions counsel’s indicated his waiver deposition video However, could be right admitted at trial. of his to confront Nichol. fact, however, 29. The regarding discussions in the trial court note is not a doctor. taking depositions the video of "doctors” and agreement performed this first was never be- clearly "medical doctors” is traceable to As- question cause the medical doctors in testified Attorney sistant Commonwealth McLeod's person Appellant’s in at trial. reference to the Commonwealth’s "three medical doctor[]” witnesses who would be Marshall, 30. at F.3d Jackson v. Cf. And, inconvenienced the continuance. Ky., 113 S.W.3d any agreement reached to take the video de- (2003) (“[Appellant’s] attorneys' statements positions possibly of "the doctors” could not did not and cannot constitute a constitutional- represent Appellant’s right waiver of to con- ly jury.”). valid waiver of his to trial Nichol, who, previously, front supra as stated presume “we ‘do not in the to confront Nichol at trial. acquiescence tutional ”31 And, Accordingly, the trial court erred when rights.’ loss of fundamental Commonwealth to introduce allowed case, the context of this the mere fact that trial. video deposition Nichol’s Appellant participated taking Ni- attempt majority opinion nо to ar- makes deposition video come close chol’s does not of Niehol’s testi- gue substance to demonstrating that Appellant had know- harmless, mony and it is clear that ingly voluntarily waived his confronta- testimony, sup- Nichol’s which tended rights nothing tion at trial. There is finding port one of hallmarks of *24 that suggest Appellant record to had ever injury, e.g., “prolonged physical serious taking been informed that video Nichol’s health,”33 of could have impairment been deposition con- right would forfeit his to jury’s significant factor in the verdict fact, front Nichol at trial. Appellant’s finding Appellant Second-Degree of guilty trial subpoena upon counsel’s service of a Instead, majority Assault. asserts following deposition Nichol video that .the error harmless because Ni- was his in- subsequent prohibit motion to by Appel- chol had been cross-examined of deposition troduction the video reflect deposition.34 lant at the video After con- that himself counsel believed that the ad- research, report I can siderable missibility deposition would be sub- complete authority of there is dearth ject finding to a unavail- Nichol was be akin proposition, for this which would trial, testify person able to at and we for improperly- to Bleach®” “Tide.with certainly suspect have no reason to that he testimonial state- admitted out-of-court Appellant counseled otherwise. Without any and all as it would render ments cognizant evidence that of testimony ad- depositiоn cross-examined the nature of his Confrontation Clause The opportu- at a criminal trial. missible rights consequences agreeing of at nity for confrontation some face-to-face i.e., testimony, trial take Nichol’s that the either at or to trial point prior permit court would the Commonwealth this year, interest at Earlier stake. introduce the video in lieu of deposition Court made it Supreme the United States testimony, Nichol’s live could no there evidence is clear that testimonial “[w]here constitutionally valid waiver.32 ... Amendment de- at issue the Sixth stated, Simply required: record before law mands what the common finding Court is insufficient support unavailability prior opportunity majority’s Appellant himself consti- waived his cross-examination.”35 Zerbst, 464, 1023, attorney his 31. at 304 U.S. 58 S.Ct. at ter had received a letter deposition, the Telephone advising (quoting 82 L.Ed. at 1466 Ohio Bell him the scheduled Commission, exercise” “urge his Utilities U.S. letter did not him Co. v. Public 301 724, 1093, provide 292, 307, present Carter "did not to be S.Ct. L.Ed. 57 81 consequences if he notice (1937)). with 1103 appear”). failed to 719, 725, Page, 88 Barber v. 390 U.S. Cf. 500.080(15). 33. KRS (1968) 20 S.Ct. L.Ed.2d (holding that Barber’s failure to cross-exam- Commonwealth, Ky., 144 S.W.3d 34. Parson v. preliminary hearing at a ine a witness did not at 784-85 constitute a waiver of to confronta- his anticipat- tion because Barber could not have 36, -, Washington, witness U.S. ed that would be unavailable 35. Crawford trial); Sowders, testify L.Ed.2d Carter 5 F.3d S.Ct. that, added). (6th Cir.1993) (2004) (emphasis (holding Car- even if analysis ignores harmless error the “and”

by allowing the opportunity for cross ex-

amination to swallow the constitutional re-

quirement unavailability. I find it an

inescapable conclusion that Nichol’s testi- admitted,

mony erroneously and it

prejudiced Appellant in connection with ‍‌​​‌‌‌​​‌​​‌​‌​‌‌​​‌‌‌​‌‌​‌​‌‌‌​​​​​‌‌‌​​​‌​​​‌‌‍Second-Degree Assault conviction. I

Because see none of “footprints”

“invited error”36 that would warrant addi- court, fact-finding by

tional I Appellant’s

would reverse Second-Degree

Assault conviction and remand that count

of the indictment to the trial court for a

new trial.

STUMBO, J., joins opinion, this

concurring part and dissenting part. BLAIR, Appellant,

Michael C. KENTUCKY,

COMMONWEALTH OF

Appellee.

No. 2002-SC-0548-MR.

Supreme Court of Kentucky.

Sept. 2004. See, e.g., Jackson v. 113 S.W.3d 134-36

Case Details

Case Name: Parson v. Commonwealth
Court Name: Kentucky Supreme Court
Date Published: Oct 21, 2004
Citation: 144 S.W.3d 775
Docket Number: 2002-SC-0103-MR
Court Abbreviation: Ky.
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