Opinion of the Court by Chief Justice MINTON.
Bernard Mason appeals as a matter of right
The grand jury indicted Mason on one count of first-degree criminal abuse, charging that Mason "caused serious injury to [M.M.], a child under 3 years of age, and also placed [M.M.] in a situation that might cause him serious physical injury." Approximately one year following the indictment, Mason was separately indicted for being a PFO 2.
At the beginning of the trial, the Commonwealth was permitted, without objection, to amend the indictment containing the abuse charge to include each of the three ways that one can be guilty of committing first-degree criminal abuse under Kentucky Revised Statutes (KRS) 508.100.
The Commonwealth's first witness was Dr. Jeremy Corbett, who was a resident at the University of Kentucky Medical Center when M.M. arrived there on transfer from another hospital. Dr. Corbett testified
The Commonwealth next called Dr. Vesna Criss, a professor at the University of Kentucky College of Medicine, who is board-certified in radiology and has a certificate of added qualification in pediatric radiology. Dr. Criss examined x-rays of M.M. and testified that the type of fracture she saw there was not common in two-year-olds. According to Dr. Criss, a direct blow from Mason falling on M.M. would not have caused M.M.'s particular fracture. Instead, she testified that the type of fracture M.M. suffered required the application of a torquing force; although, she did admit on cross-examination that the fracture M.M. suffered could have occurred in a fall if M.M.'s leg had been subjected to some sort of twisting during the fall.
Following Dr. Criss, the Commonwealth presented the testimony of Dr. Tracy Westerfield, who treated M.M. before he was transferred to UK. Dr. Westerfield testified that she noticed bruises on M.M.'s body, including her observation that "there appeared to be what may have been a hand print on the right lower leg." According to Dr. Westerfield's notes, Mason had stated that he fell on M.M. while trying to keep M.M. from falling from his crib. On cross-examination, Dr. Westerfield testified that M.M.'s mother, or another family member, actually may have related to her that version of events. Dr. Westerfield stated that the Cabinet for Families and Children was notified because of the questionable source of M.M.'s injuries.
A social worker later testified that based on an investigation, M.M. was placed in foster care. The social worker stated that he had been told by Mason that M.M. was injured when Mason fell on M.M. after M.M. had gotten out of his crib. The social worker also testified that he witnessed M.M. slap Mason and that M.M. yelled and screamed when Mason approached. The social worker also testified that Mason had stated more than once that the state "may as well" take M.M. if he (Mason) could not physically discipline M.M. Similarly, another social worker testified that Mason had stated that he imposed corporal punishment in attempting to toilet train M.M.
A nurse at the UK hospital testified that she noticed bruises in various stages of healing all over M.M.'s body. The nurse testified that in her experience, the bruises were not common for a child of M.M.'s age.
A third social worker testified that she saw M.M. at UK's emergency room and noticed that M.M. was dirty and bruised and that his ear was discolored, apparently from having been slapped. This social worker stated that Mason had told her that he was the primary caregiver for M.M. since he did not work, but M.M.'s mother did. Also, this social worker testified that Mason stated that M.M.'s bruises stemmed from M.M. repeatedly falling.
After presenting some other evidence not germane to the issues in this appeal,
Mason testified that he is visually impaired and had attended the Kentucky School for the Blind. Mason testified that on the night M.M. broke his leg, he had heard a thump or loud noise emanating from M.M.'s room. Responding, Mason rushed into M.M.'s room, tumbled over a box, and fell onto M.M. Mason disputed Dr. Westerfield's contention that he had told her that he had fallen onto M.M. while trying to keep M.M. in bed. Mason admitted being a convicted felon but denied abusing M.M.
M.M.'s mother, Merissa Clifton, testified on Mason's behalf. She testified that she worked as a nurse. She was home sick the day M.M. was injured. Clifton stated that she heard a sound from M.M.'s room and that Mason had gone to investigate. Clifton then heard what sounded like someone falling. This sound prompted her to go to M.M.'s room where she saw Mason on his knees and M.M. crying. She then tried to get M.M. to stand up, but he could not put any weight on his right leg.
Mason's brother also testified that he had been doing repairs at Mason's house and that he had moved some items from another room in Mason's home into M.M.'s room.
The trial court instructed the jury that it could find Mason guilty of first-degree criminal abuse only if it found beyond a reasonable doubt all of the following:
The jury found Mason guilty of first-degree criminal abuse. At the conclusion of the penalty phase, the jury found Mason guilty of being a PFO 2 and recommended twenty years' imprisonment as his punishment.
Mason raises three main arguments supporting reversal of the judgment. He contends that the trial court erred by (1)
We reject the directed verdict argument, but we agree with Mason that the criminal abuse instruction created an error. But we conclude that error does not rise to the level of being a palpable error. Similarly, we conclude that the errors occurring in the penalty phase also do not necessitate the granting of palpable error relief.
Mason contends he was entitled to a directed verdict on the criminal abuse charge because the Commonwealth "did not establish the elements of the offense under any of its three alternatives." We disagree.
The familiar standard for ruling on a motion for directed verdict is as follows:
Under KRS 508.100, in order to prove that Mason committed the offense of first-degree criminal abuse, the Commonwealth needed to prove the following:
There is no real question that the Commonwealth proved that M.M. was less than twelve years old. And, examining the evidence in the light most favorable to the Commonwealth, a reasonable juror could have concluded that Mason abused M.M.
To support a finding of abuse, a reasonable juror could have concluded by inference that Mason broke M.M.'s leg. M.M. was apparently uninjured when Mason entered M.M.'s room alone. Dr. Corbett testified that Mason's story did not match the type of fracture M.M. suffered, and Dr. Criss testified that the type of fracture M.M. suffered was not common in a two-year old. Dr. Corbett testified that the bruising on M.M. was consistent with abuse. Dr. Westerfield testified, somewhat tentatively, that her notes reflected
We recognize that Mason presented his own theory of how M.M.'s fracture and bruising occurred. But the jury was free to reject Mason's version of events.
Additionally, a reasonable juror could have concluded that the severe nature of the fracture suffered by M.M. satisfied the serious physical injury prong of KRS 508.100. A "serious physical injury" is defined at KRS 500.080(15) as "physical injury which creates a substantial risk of death, or which causes serious and prolonged disfigurement, prolonged impairment of health, or prolonged loss or impairment of the function of any bodily organ...."
Although factually distinguishable, we have held that less severe injuries were enough to constitute a serious physical injury because of the presence of substantial and prolonged pain.
We conclude that the trial court did not err in denying Mason's motion for a directed verdict on the criminal abuse in the first-degree charge because there was sufficient evidence to submit the criminal abuse charge to the jury on the serious physical injury option.
It is not improper to include multiple alternative methods of committing an offense in a single jury instruction.
Mason contends that error exists in this case because there was insufficient evidence to support all of the three alternate methods of committing criminal abuse in the first degree contained in the jury instruction on that charge. We agree.
We reject Mason's argument that the trial court erred by permitting the Commonwealth to amend the indictment. No new offense was charged in the amended indictment; and Mason made no contemporaneous objection to the amendment, nor did he make a contemporaneous request for a continuance. So we conclude that there was no error, palpable or otherwise, in the trial court's permitting the Commonwealth to amend the indictment on the day of trial.
Before we may address the merits of Mason's unanimity argument, however,
We have already held that there was sufficient evidence to submit to the jury the issue of whether Mason intentionally caused a serious physical injury to M.M. So there is no inherent error in that portion of the jury instruction. The questions of whether there was sufficient evidence to submit to the jury the issue of whether Mason placed M.M. in a situation that may have caused M.M. to suffer a serious physical injury and whether there was sufficient evidence to submit to the jury the question of whether Mason caused M.M. to suffer torture, cruel confinement, or cruel punishment are more problematic. As Professors Lawson and Fortune observe in their treatise on Kentucky criminal law, those alternate methods of committing criminal abuse "are less precisely defined and [are] fraught with difficulty...."
According to KRS 508.100(l)(b), a person may commit criminal abuse in the first degree if he "intentionally abuses another person ... and thereby ... [p]laces him in a situation that may cause him serious physical injury...." The General Assembly did not see fit to define more precisely what situations may place an abused person in a situation that may cause that abused person to suffer a serious physical injury.
No witness directly testified that Mason intentionally abused M.M. The Commonwealth relies upon the fact that Mason was the primary caregiver for M.M., along with the fact that testimony indicated that M.M. had numerous bruises or similar bodily injuries, which were atypical for a child of his age. Even if we were to accept that a reasonable inference could be drawn that Mason abused M.M., the Commonwealth has cited to no evidence showing that M.M.'s bruises were of such a severe nature, either singly or in combination, to rise to the level of having the ability to cause M.M. to suffer a serious physical injury.
Intentionally causing bruises to appear on a child, although certainly improper, is not typically conduct so egregious as to have the ability to cause a serious physical injury, meaning an injury "which creates a substantial risk of death, or which causes serious and prolonged disfigurement, prolonged impairment of health, or prolonged loss or impairment of the function of any bodily organ...."
Were the bruises the only injuries suffered by M.M., we may well have concluded that there was insufficient evidence from which a reasonable juror could have concluded that Mason placed M.M. in a situation which "may" have caused M.M. to have suffered a serious physical injury. But, as previously discussed, M.M. also suffered a serious fracture in his leg; and we have already concluded that there was sufficient evidence from which a reasonable juror could have concluded that Mason caused the fracture and that the fracture constituted a serious physical injury. Logically, in order to have broken M.M.'s leg, Mason would have had to have placed M.M. in a place or situation in which the leg could have been broken. Following that logic, a reasonable juror could have reached the conclusion that Mason placed M.M. in a situation that may have caused M.M. to have suffered a serious physical injury. After all, in order to suffer a serious physical injury, one must have
In other words, it would be illogical for us to conclude that a reasonable juror could have found that Mason actually caused M.M. to suffer a serious physical injury while simultaneously concluding that a juror could not have found that Mason merely placed M.M. in a situation that may have caused M.M. to suffer a serious physical injury. Accordingly, we hold that there was sufficient evidence reasonably to support a conclusion or inference that Mason's abuse caused M.M. to be placed in a situation that had the ability to cause M.M. to have suffered a serious physical injury.
We next must determine if error exists with the instruction that permitted the jury to convict Mason if it believed he intentionally abused M.M. and thereby tortured, cruelly confined, or cruelly punished M.M. We conclude the instruction was erroneous but did not constitute palpable error.
Simply put, the Commonwealth has shown us no facts that tend to prove that Mason caused M.M. to suffer cruel confinement. Indeed, the Commonwealth does not specifically cite to any conduct by Mason that even arguably could be construed as Mason's having confined M.M., cruelly or otherwise. At most, the evidence would support an inference that Mason somehow restrained M.M. by unknown means resulting in M.M.'s broken leg. But we do not believe that restraining M.M. for an unknown period, likely extremely brief in duration, by unknown means constitutes cruel confinement. In short, the Commonwealth has pointed to no evidence at all to show that M.M. was confined by Mason. The inclusion of cruel confinement language in the jury instruction was, therefore, erroneous.
Although it does not really address or defend the cruel confinement aspect of the instruction, the Commonwealth does argue that there was sufficient evidence of cruel punishment. To support its argument, the Commonwealth again relies upon the bruises on M.M., which were characterized as being consistent with abuse and atypical of children of M.M.'s age.
Although government is prohibited by the Eighth Amendment to the United States Constitution and Section Seventeen of the Kentucky Constitution from imposing cruel punishment, "[w]hat constitutes cruel ... punishment has not been exactly decided."
Under those working definitions, we conclude that a juror could have reasonably inferred that Mason inflicted cruel punishment upon M.M. It is possible that the infliction of bruises consistent with abuse was sufficient to constitute cruel punishment since our precedent holds that even spanking a child may, at least in extreme situations, constitute cruel punishment under KRS 508.100.
We, likewise, believe that there was sufficient evidence for a juror to conclude reasonably that Mason tortured M.M.
We have not had many occasions to determine what conduct constitutes torture under KRS 508.100. In Stoker, we had "no difficulty" in determining that "tying up ... children, putting tape over their mouths, and forcing them to watch pornographic movies, can reasonably and appropriately be deemed by a jury to constitute `torture, cruel confinement or cruel punishment'...."
In the case at hand, M.M. did not testify—and we have been pointed to no other testimony clearly indicating—that M.M.'s bruises were a direct result of Mason's having struck M.M. with a coat hanger or any other similar instrument. Nor is there any evidence showing that M.M. was restrained and forced to watch pornographic movies. So whether the conduct at issue constitutes torture is not readily answered by reference to our existing precedent.
We, therefore, turn to the dictionary to determine what kind of behavior constitutes torture, at least for purposes of criminal abuse charges. "Torture" is defined as "the infliction of intense pain (as from burning, crushing, wounding) to punish or coerce someone...."
Although it is a difficult question, which will necessarily have to be resolved on a case-by-case basis, we are unwilling to say as a matter of law under the facts of this case that abusing a child in such a manner as to cause a severe fracture in the child's leg, as well as inflicting multiple bruises and similar marks all over the child's body, is insufficient to constitute torture. Although one cannot know for sure what M.M. actually felt since he was too young to testify, we have no doubt that the diverse injuries M.M. suffered must logically have caused him to suffer "extreme, intense or severe pain...."
After examining the instructions in detail, we agree with Mason that an error exists by virtue of the inclusion of the cruel confinement language. Since this error is unpreserved, we must now determine whether it rises to the level of being a palpable error.
We begin our analysis by acknowledging that erroneous jury instructions are presumed to be prejudicial.
We recently clarified the law as to this precise scenario: unpreserved errors involving superfluous language in jury instructions
Similarly, in the case at hand, we conclude that there is no "real possibility" that a juror voted to convict Mason under the cruel confinement theory when there was no evidence to support that theory, but there was ample evidence to support the other theories of guilt. So there was no probability that the result of the action was altered by the addition of the superfluous theories of guilt in the criminal abuse instruction. We conclude, therefore, that the erroneous criminal abuse instruction fails to constitute palpable error.
Although he admits that the issues are unpreserved, Mason raises several penalty phase arguments. We are concerned about some irregularities that occurred during the penalty phase, but we conclude that none of the unpreserved issues necessitates granting palpable error relief.
The Commonwealth sought to introduce many exhibits in the penalty phase, including Exhibit 19—a collection of documents that includes Mason's purported previous federal felony conviction. No objection was raised. But the trial court, perhaps inadvertently, did not orally include Exhibit 19 as among those exhibits admitted into evidence. So that exhibit was never formally admitted into evidence. The Commonwealth did not attempt to rectify the trial court's omission of Exhibit 19 from those exhibits admitted into evidence.
A PFO conviction, like any other criminal conviction, must be based upon properly admitted evidence.
Under the unique facts of this case, however, we do not believe Mason is entitled to palpable error relief. Mason does not contend that he was not convicted in federal court, as the purported felony judgment contained in Exhibit 19 shows. Indeed, Mason does not even argue that the judgment contained in Exhibit 19 was inadmissible. It is clear that the Commonwealth sought to introduce Exhibit 19, Mason had no objection whatsoever to the introduction of that exhibit, and the trial court seemingly intended to introduce Exhibit 19 into evidence but inadvertently failed to do so. (Exhibit 19 was included in the record on appeal and was sent back with the jury.) After all, given the lack of any objection whatsoever by Mason, there would have been no obvious reason for the trial court to have intentionally failed to grant the Commonwealth's motion introduce it into evidence. Obviously, the Commonwealth should have pressed the trial court for an unmistakable ruling that Exhibit 19 had been formally introduced into evidence. But given: (1) the undisputed accuracy of the judgment contained in Exhibit 19; (2) the lack of objection to its introduction into evidence;
In order to adduce sufficient evidence to convict Mason of being a PFO 2, the Commonwealth was required to show that Mason:
The trial court instructed the jury on all five paths to reach PFO 2 described in KRS 532.080(2)(c). The Commonwealth seems to concede that the proof did not support all five methodologies. Instead, the Commonwealth only states that Exhibit 19 conclusively showed that Mason was released from supervision within five years of committing the abuse charge in question, thereby satisfying KRS 532.080(2)(c)(3). So as with the guilt phase instructions, the PFO instruction created an error resulting from the trial court's inclusion of methods of committing the PFO offense that were not supported by the evidence.
But, as with the guilt phase instruction, we conclude that the PFO instruction's inclusion of superfluous methods of committing a PFO offense is not a palpable error because there was "no real possibility that jurors followed one of the theories presented by the surplus language and, as a result, no real possibility that a unanimous verdict was denied."
Part of Exhibit 19 was a supervision summary that showed that Mason was released
Mason raises a perfunctory argument that some information contained in Exhibit 19 runs afoul of the hearsay doctrine set forth in Crawford v. Washington.
Next, we reject Mason's contention— unsupported by any citation to authority— that his federal sentence of twelve months and one day of imprisonment is insufficient to qualify as a prior felony conviction under KRS 532.080(2)(a), which requires a previous felony conviction to have involved the imposition of "a sentence to a term of imprisonment of one (1) year or more...." Obviously, a year is twelve months in duration. So a reasonable juror could have concluded that Mason's federal sentence of twelve months and one day of incarceration was a sentence of one year or more, as required by KRS 532.080(2)(a).
In short, we conclude that there was sufficient proof whereby a reasonable juror could have found Mason guilty of being a PFO 2. Consequently, we decline to hold that palpable error occurred when the trial court failed to grant a directed verdict on its own motion while Mason remained mute.
We also decline to find that the Commonwealth's closing argument constitutes palpable error. Again, Mason failed to object contemporaneously, rending this issue unpreserved. We have considered all
Finally, we decline Mason's request for this Court to order the Department of Corrections to classify him as a non-violent offender. It is uncontested that at trial the Commonwealth urged the jury to recommend that Mason serve the maximum permissible sentence (twenty years' imprisonment by virtue of the PFO conviction) and that Mason would be eligible for parole after serving four years of that sentence (twenty percent of the sentence). The jury recommended the requested twenty-year sentence, and the trial court entered a final judgment in accordance with that recommendation. Relying upon his inmate resident record card,
KRS 439.3401 governs which offenders shall be deemed violent offenders. Subsection (l)(i) of that statute provides that persons who commit criminal abuse in the first degree are violent offenders. So Mason is a violent offender.
Violent offenders are generally subjected to more onerous parole eligibility requirements. As it pertains to this case, KRS 439.3401(3) provides that a violent offender "who has been convicted of a capital offense or Class A felony with a sentence of a term of years or Class B felony who is a violent offender shall not be released on probation or parole until he has served at least eighty-five percent (85%) of the sentence imposed." First-degree criminal abuse is statutorily designated as a Class C felony.
We do not know the reasoning underlying the General Assembly's peculiar decision to require some, but not all, violent offenders to be subjected to the more stringent parole eligibility requirements contained in KRS 439.3401. But the question before us in this case is not the wisdom of the General Assembly's classification and treatment of violent offenders for parole eligibility purposes; instead, the question is whether the Department of Corrections' ostensibly improper imposition of the eighty-five percent rule upon Mason entitles Mason to relief in this direct appeal.
It is important to focus upon the fact that there appears to have been no error committed by the Commonwealth or the trial court during Mason's trial on this issue. After all, both parties to this appeal agreed below and agree on appeal that Mason should not be subjected to the
Although Mason contends that he should not be compelled to file a separate action in order to receive relief from this potential mistake, it is beyond dispute that a court generally should not issue an opinion or judgment against an entity that is not a party to the action or is not otherwise properly before the court. We decline, therefore, to order the Department of Corrections—which has not been made a party to this appeal and is not properly before us to either defend its action or to confess error—to take any affirmative action with regard to Mason's offender classification or parole eligibility. Mason is free to file a separate action against the Department of Corrections, such as a declaratory judgment action, seeking to have his parole eligibility recalculated.
For the foregoing reasons, Bernard Mason's criminal abuse and PFO 2 convictions are affirmed.
All sitting. All concur.
to a person twelve (12) years of age or less, or who is physically helpless or mentally helpless.
The amendment allowed did not result in appellants being charged with a different offense. To the contrary, the amendment merely altered the designation of the subsection of the statute under which appellants were charged. The offense was the same. No additional evidence was required to prove the amended offense and appellants have not shown that they were prejudiced by the amendment. There was no error.").