Daniel Keith Newman appeals from his conviction of two counts of first-degree sodomy and one count of attempted first-degree sexual abuse. Concluding no reversible error occurred in the guilt phase of Appellant's trial, we affirm Appellant's convictions. However, because the jury was improperly instructed as to the sentencing range, we vacate Appellant's life sentence and remand for a new penalty phase.
On June 3, 2009, a Grant County grand jury indicted Appellant for two counts of first-degree sodomy for "engag[ing] in deviate sexual intercourse with [B.C.], a person who is incapable of consent because he is less than twelve years old." The same indictment charged Appellant with one count of first-degree sexual abuse, for having "sexual contact with [J.M.], a person less than twelve years old, and/or through the use of forcible compulsion." Prior to trial, the trial court granted the Commonwealth's motion to amend the indictment to include forcible compulsion as an alternate theory with regard to the first-degree sodomy charges.
At trial, B.C. testified that on May 14, 2009, he was eleven years old, and lived
B.C. was friends with other boys who lived in the apartment complex. That afternoon, after his friends returned from school, B.C. and his friends played on a hill behind the apartment building. At some point B.C. went to the area of the building where Appellant's sidewalk and apartment were, because he "heard other kids over there." B.C. saw two of his friends, J. and Z., hosing off Appellant's sidewalk. The hose was coming from one of Appellant's windows. The front door to Appellant's apartment was open and Appellant's living room was visible. B.C. testified that at this time there were five children outside in front of Appellant's door — he, Z., R., J., and J.M.
Through the door, Appellant asked R. if he was any good at video games. R. said he was okay at them. Appellant then invited the boys into his apartment saying he needed help with a game he was playing. Although the door was open, there was a dog gate blocking the entrance, so the boys stepped over it and into the apartment. B.C.'s testimony indicated that he, J., and R. went into Appellant's apartment.
B.C. testified that, once inside, they sat on the couch. R. noticed Appellant's blue and gray cell phone sitting on the coffee table. R. said it was a "cool" phone and asked Appellant if he could have it. Appellant said he did not give out free phones and that the boys would have to do something for it. The boys said they would do anything for the phone, to which Appellant replied, "Do anything, like what?"
When asked what was said next, B.C. testified that they just kept saying they would do anything to get the phone. At some point, B.C. and J. left the apartment, leaving R. inside. J. went back into the apartment while B.C. talked to a girl who was outside. After B.C. had finished talking to the girl, J. came out and said that Appellant was "a molester," and that he was talking to R. "about having sex and dirty stuff like that." J. rode off on his bike. B.C. did not believe J., and went back into the apartment. B.C. asked Appellant and R. about what J. had said and the two told him they were "just playing."
R. left, leaving B.C. alone in Appellant's apartment. When B.C. decided to leave, he had stepped one foot over the dog gate when Appellant grabbed him, put a hand over his mouth, and lifted him over the dog gate. Appellant shut the door and took B.C. to his bedroom. Appellant then pushed him forcefully down onto the bed. B.C. testified that he was wearing tennis shoes, blue jeans, a gray pair of underwear that were like shorts (referred to hereafter as "shorts"), and a t-shirt. Appellant told B.C. to drop his pants.
B.C. testified that he was afraid of Appellant, so he obeyed and pushed his pants and shorts below his knees. Appellant then sucked and played with B.C.'s penis. At some point Appellant stopped, and told B.C. that if he ever told anybody about what had happened, "he would have his people in the courtroom when we went to
B.C. testified that Appellant told him to get up. B.C.'s pants and shorts were still below his knees. Appellant then got a bottle of baby oil off the dresser, put some in B.C.'s hand, and told him to put it on his (B.C.'s) penis. B.C. did what Appellant said. Appellant told B.C. to put his penis in his "butt." Appellant took his clothes down and lay on the bed with his "butt" in the air. B.C. put his penis between Appellant's "butt cheeks." About that time, B.C.'s grandmother yelled for him, and B.C. and Appellant jumped up and pulled their clothing up. Appellant pulled B.C. into the kitchen, where he grabbed the phone charger, and then into the living room, where he grabbed the phone. He put the phone and charger in B.C.'s pocket, and told him not to tell anyone who gave him the phone. When B.C. went out the door, his grandmother was on her balcony and told him to get up there.
Shortly thereafter, B.C.'s mother came to pick him up, and they went home. When he got home, he took a shower because he felt dirty. He left his clothes on the bathroom floor. Thereafter, B.C. went in his bedroom and began playing with the phone. His stepfather walked in and asked B.C. where he got the phone. B.C. told him that his friend J. gave it to him. His stepfather told B.C. he did not believe him and took away the phone and charger.
The next day, Friday, May 15, 2009, B.C. was home all day with his mother. He was present when his mother got a phone call from the Grant County Sheriff.
B.C. then went to his room and got a marker and a piece of paper and wrote down everything that had happened. He testified that he wrote it down because he was too embarrassed to tell his mother. He handed it to his mother and stayed in the room while she read it. His mother called the sheriff back. B.C.'s mother told him to type on the computer what he had written down, which he did. The two then went to his grandmother's to meet with the sheriff. B.C.'s mother gave the sheriff the shorts B.C. had worn during the alleged incident, the phone and charger, and B.C.'s typed statement.
J.M. testified that he was ten years old on May 14, 2009. At the time, he lived in an apartment in the same subdivision as
J.M. testified that after school, but before dinner,
J.M. testified that Appellant grabbed a nearby SpongeBob toy and "walked" it up J.M.'s leg while he stuck his other hand down J.M.'s pants. J.M. testified that Appellant's hand did not touch his penis, although it came "pretty close." J.M. squirmed away and ran out the door, with J. right behind him. They "took off" and did not know what happened with B.C. J.M. testified that at school the next day, he talked to his friends and a teacher about what had happened.
Grant County Sheriff Chuck Dills testified that he was called to a school on May 15, 2009, in order to investigate a possible sexual assault teachers had overheard some children talking about. Pursuant to the investigation, he spoke with B.C.'s mother. After B.C.'s mother phoned back, he instructed her to collect the clothing B.C. was wearing on May 14, the cell phone and charger, and B.C.'s typed statement, and meet him at B.C.'s grandmother's apartment. As a result of his investigation, he arrested Appellant around 10:40 p.m. that evening. Appellant denied the allegations. Appellant said he had thrown the cell phone on a chair outside his front door because it would not hold a charge, and that there were some kids playing outside and he let a child who asked for the phone have it. Appellant consented to a search of his apartment.
Kentucky State Police forensic analysts testified that a t-shirt (which belonged to Appellant) taken from Appellant's apartment tested positive for the presence of semen which matched Appellant. The gray shorts B.C. was wearing on May 14 tested positive for saliva and baby oil on the inside and outside front. The saliva matched a mixture of B.C. and Appellant's DNA.
Appellant testified in his own defense and denied all of the allegations against him. Appellant testified that he was a trucker and had come home the morning of May 14, 2009, from a run to deliver airplane parts to airports in Boston and New York. He had been gone for two days. He spent the day of May 14, 2009, in his apartment — sitting around, doing chores, watching a movie, and, finally, sleeping. He was awakened at about 4:00 p.m. by his dog barking. He heard children's voices and realized the children were playing in the window well outside his bedroom. Appellant did not want the children to play there, so he went to the window and yelled at them to leave.
Appellant heard B.C. and another child, R., arguing over the hose. When he came out, R. was leaving. Appellant told B.C. that if they were going to fight over the hose and waste water, he would do it. Appellant saw that B.C. had done a good job spraying the mud off the sidewalk, so Appellant gave him a couple of dollars for doing it.
When B.C. finished, he sat in the chair on Appellant's porch and saw the cell phone in the chair. Appellant told him it did not work very well. B.C. asked if he could have it and Appellant said that he could. B.C. put the phone in his pocket. Appellant began hosing off his neighbor's welcome mat. B.C. held up Appellant's bottle of baby oil, which was on the porch, and asked what it was. Appellant testified that he used baby oil on his arms to keep his skin from drying out in the sun. When he noticed B.C. pouring the baby oil into his hand, Appellant told him not to waste it, so B.C. put the cap on the bottle and set it just inside Appellant's front door and left.
Sometime later, B.C. came back and asked for the charger because the phone was dead. Appellant noticed that the phone was covered with baby oil. B.C. said he had gotten it all over him and asked to wash his hands. Appellant went inside, turned the hose back on, and got the phone's charger, battery, and SIM card. He also grabbed a washcloth, which he had used to clean up that morning, out of the sink and gave it to B.C. to use to wipe his hands off. Appellant testified that he used the sink to spit his chewing tobacco into.
Appellant went back inside to get a towel for B.C. to dry his hands. When he came out, he noticed B.C. with his back to him, "doing something." When B.C. turned around, Appellant saw B.C. pull the washcloth out of his pants. In answer to Appellant's asking B.C. what he was doing, B.C. said he had gotten baby oil "all over [his] weenie" and wanted to wipe it off. Two other boys were outside with B.C. at this point as well. B.C. left because his grandmother called for him twice, but he did not want to go.
At some point, Appellant went inside and shut the door. Later, he heard someone beating on the balcony support. When he went to investigate, he found B.C. beating it with a big stick. He asked B.C. what he was doing, and B.C. said he was bored. Appellant had noticed earlier that his tobacco was missing. He asked B.C. about it, and B.C. said he had it and would not give it back. Appellant told B.C. that if he were going to steal, he wanted his phone back. B.C. told him he would not return the phone either. Appellant told B.C. he would call the police and tell them B.C. stole it, but testified that he would not really have done that. B.C. ran away. The two boys that had been outside
Later, he was getting ready to take a shower when he heard the pipe that held open his bedroom window make a noise. He went into the bedroom and discovered B.C. had taken the screen out of his window, had his hand on the windowsill, and was sticking his head in the window. Appellant said "what in the hell you doing," and told B.C. to get out of there. B.C. ran off. Then he heard the beating noise again. This time, B.C. was out on his grandmother's balcony, swinging the stick down, hitting the balcony support. Appellant told B.C. not to hit his hummingbird feeder, and B.C. replied that he was trying to hit the hummingbirds. Appellant yelled at him, and that was the last time Appellant saw B.C. Appellant left the house around 6 p.m. to run an errand and got back home around 9 p.m.
Appellant testified that he had worn the t-shirt on which the semen had been found the night before, when he "was with a woman." He stated he had never molested B.C. or J.M., that they had not been in his apartment, and that he did not even know who J.M. was.
The jury was instructed on two counts of sodomy in the first degree as to B.C., under theories of forcible compulsion and victim under twelve years of age as alternatives.
B.C. testified that he complied with Appellant's demands because he was afraid of him. After B.C. stated that Appellant told him that if he told anyone, "he would have his people in the courtroom when we went to court and they would pick out of my family which one that they would `f' up," the following exchange occurred.
On appeal, Appellant contends that B.C.'s testimony that Appellant told him that he "did it to a little girl in Newport" was inadmissible evidence of prior crimes. KRE 404(b). Appellant concedes the alleged error was unpreserved, as defense counsel made no objection at trial, and requests review per RCr 10.26. The Commonwealth agrees the statement was inadmissible under KRE 404(b), but argues
A party claiming palpable error must show a probability of a different result or error so fundamental as to threaten a defendant's entitlement to due process of law. Martin v. Commonwealth, 207 S.W.3d 1, 3 (Ky.2006). Under the circumstances of this case, the alleged prior bad act was not brought to light by a third-party witness, but was a statement by the alleged victim relating a threat by the defendant (Appellant) as a reason to comply with his demands. Even though the statement has aspects of KRE 404(b), it was used to show the defendant was trying to instill fear in the victim and overcome his resistance (whether it was true or not that he had done something to a child in Newport). Because the statement was used as proof of an element of the offense (i.e., to show forcible compulsion), it was not error.
The prosecutor began his cross-examination of Appellant by confirming with Appellant that the story he had just given in his testimony had not been told to the sheriff on the night he was arrested. Appellant agreed that he had not told the story to the sheriff, but that this was because he wanted to speak with an attorney first. Shortly thereafter, referring to B.C.'s testimony, the prosecutor asked, "You're telling this jury when [B.C.] says he was in your apartment on May the fourteenth of 2009, that he's lying to this jury, is that right?" Appellant responded affirmatively. Referring then to J.M.'s testimony, the prosecutor asked, "When [J.M.] tells this jury under oath that you stuck your hand down his pants toward his penis, he's lying?" Appellant responded affirmatively.
On appeal, Appellant contends, and the Commonwealth concedes, that the prosecutor's questions were improper. It is well settled that "[a] witness should not be required to characterize the testimony of another witness ... as lying. Such a characterization places the witness in such an unflattering light as to potentially undermine his entire testimony." Moss v. Commonwealth, 949 S.W.2d 579, 583 (Ky. 1997). Appellant argues that by requiring him to essentially call B.C. and J.M. "liars," the Commonwealth cast him in such an unflattering light that it completely undermined his entire testimony. Appellant concedes the error is unpreserved, as defense counsel offered no objection to the questions at issue, and requests review per RCr 10.26.
This case involved two completely opposing versions of events. The defense theory was that the boys were lying, not, for example, that they were mistaken, coerced, or that their memories were the product of suggestion. Therefore, the accusation was, in a sense, already before the jury. Accordingly, we conclude the mere verbalization of the defense theory by the prosecutor, although improper, did not rise to the level of palpable error under the facts of this case. Martin, 207 S.W.3d at 3.
Appellant argues that he was improperly sentenced under the Class A felony guidelines for his sodomy convictions, because the jury convicted him of only a Class B felony. During discussion of the penalty phase instructions, defense counsel objected to the instructions regarding the
KRS 510.070 provides as follows:
The guilt phase instructions as to the sodomy charges read as follows:
The verdict form corresponding to Instruction No. 1 read, in pertinent part:
The verdict form corresponding to Instruction No. 2 read, in pertinent part:
The jury found Appellant guilty under the forcible compulsion theory for both counts of sodomy. Pursuant to KRS 510.070(2), these convictions are Class B felonies.
Appellant contends that in order for him to have been sentenced for a Class A felony for the first-degree sodomy counts, the jury had to have found, as an element of the crime of first-degree sodomy, that Appellant committed the crimes on a child under twelve years of age. KRS 510.070(2). Although the instructions authorized such a verdict, the jury found Appellant committed the crimes by forcible compulsion.
The Commonwealth concedes that error occurred, in that the jury should have found B.C.'s age beyond a reasonable doubt. The Commonwealth argues, however, that because the evidence of B.C.'s age was "uncontroverted," had the jury been properly instructed, it would have undoubtedly found B.C. to be under twelve years old. Because this finding would have allowed the jury to fix Appellant's punishment under the Class A guidelines, as it did, the Commonwealth argues the error was harmless. We disagree.
The United States Supreme Court has recognized that
Apprendi v. New Jersey, 530 U.S. 466, 476, 120 S.Ct. 2348, 147 L.Ed.2d 435 (2000) (quoting Jones v. United States, 526 U.S. 227, 243 n. 6, 119 S.Ct. 1215, 143 L.Ed.2d 311 (1999)). Accord Dixon v. Commonwealth, 263 S.W.3d 583 (Ky.2008); Johnson v. Commonwealth, 105 S.W.3d 430 (Ky.2003).
Ring v. Arizona, 536 U.S. 584, 602, 122 S.Ct. 2428, 153 L.Ed.2d 556 (2002) (citations and internal quotation marks omitted).
The testimony in this case provided evidence of first-degree sodomy by both forcible compulsion and because of B.C.'s age. B.C. told the jury that his birthday was
While the instructions in this case erroneously included both age and forcible compulsion, the jury's only finding was that both counts were by forcible compulsion — Class B felonies under KRS 510.070.
Appellant additionally argues that error occurred in the penalty phase when a probation and parole officer, after testifying as to Appellant's prior convictions, told the jury that each of the crimes she had mentioned involved children. Because we are remanding for a new penalty phase, this error is moot; however, to avoid error on remand we shall address it herein.
KRS 532.055(2)(a), provides, in pertinent part, that in the penalty phase of felony cases, "[e]vidence may be offered by the Commonwealth relevant to sentencing including: 1. Minimum parole eligibility, prior convictions of the defendant, both felony and misdemeanor; 2. The nature of prior offenses for which he was convicted...." Appellant argues that the term "nature of prior offenses" permits only a general description of the crime, and hence it was error for the probation and parole officer to tell the jury the crimes involved child victims.
Since the trial of this case, we rendered Mullikan v. Commonwealth, 341 S.W.3d 99 (Ky.2011), which established a bright-line rule regarding what evidence is permissible in showing the "nature of prior offenses," pursuant to KRS 532.055(2)(a). Recognizing that "the nature of a prior conviction is closely akin, if not identical to, the definition of a prior conviction," we held that
Id. at 109. On remand, therefore, the rule articulated in Mullikan shall apply. Where age is an element of the crime, such would be properly conveyed to the jury through the reading of the relevant statute. Id.
For the aforementioned reasons we affirm Appellant's convictions but vacate the sentence and remand to the trial court for a new penalty phase consistent with this opinion.
All sitting. All concur.