Appellant Brian Allen McGuire appeals from a judgment of the Fayette Circuit Court convicting him of first-degree manslaughter (KRS 507.030) and unlawful possession of a weapon on school property (KRS 527.070), and sentencing him to a total of twenty-years imprisonment. He was tried on the charge of murder, but was convicted on the lesser included charge of first-degree manslaughter based upon his successful defense that he committed the killing while acting under extreme emotional distress (EED).
Appellant raises the following claims of error: (1) that he was denied his constitutional right to present a defense because Fayette County Public School authorities and the school system's general counsel interfered with his efforts to interview witnesses employed by the school system; (2) that the trial court erred by permitting the Commonwealth to present evidence concerning Appellant's stressful personal life during its case-in-chief; (3) that the trial court erred by permitting a friend of the victim to present victim impact evidence during the penalty phase of the trial, in violation of KRS 421.500; (4) that the trial court erred in the penalty phase of the trial by disallowing mitigation testimony from Appellant's father; and (5) that the trial court violated RCr 9.74 by permitting the jury to rehear a witness's testimony outside of Appellant's presence. For the reasons explained below, we affirm.
Appellant and Daniel Donato were coworkers on the custodial staff at Leestown Middle School in Fayette County when Appellant shot and killed Donato in the doorway of the faculty lounge. Donato suffered at least twelve gunshot wounds, including superficial grazes and possible shrapnel injuries.
Appellant did not deny shooting Donato. At trial, Appellant defended against the murder charge by claiming that at the critical moment, he was acting under the influence of an extreme emotional disturbance (EED). The underpinning of that defense, which proved to be successful, was his claim that he had been repeatedly harassed, threatened, and bullied by Donato. Testimony of several employees at the school who had observed the interaction between Donato and Appellant tended to support Appellant's claim. The day before the shooting, Appellant had requested assistance from the school system's human resource office. That office undertook an aggressive effort to address his concerns, including plans to draft a letter suspending Donato and, ironically, to have school system's security personnel present at the Leestown School the next day to escort him off the property.
As further discussed in Section III, the Commonwealth's theory of the case was that, rather than a response to bullying, the actual motive for the shooting was that Appellant was jealous and envious of Donato. Appellant struggled in his personal life with financial and other hardships, while Donato seemed to have an easier life, with a higher standard of living as a result of financial assistance from his in-laws.
The day that Donato was to be suspended, Appellant stood in the hallway talking to another custodian. When Donato approached, Appellant drew a gun, pointed it at Donato, and began shooting. Appellant immediately fled the scene, and drove westward. The next day, he surrendered to authorities in Missouri.
Soon afterward, Appellant was indicted for murder and unlawful possession of a weapon on school property. At the conclusion
Appellant first argues that he was denied his right to present a defense by actions of the school board and its general counsel, Brenda Allen, that interfered with his attorney's efforts to interview witnesses employed by the school system. Following Appellant's arrest, his attorney, Andrew Bowker, and investigator, John Baldridge, went to see Brenda Allen to request her cooperation with their need to meet and interview witnesses who were school employees. It appears that Allen denied their request to meet immediately with school employees, but she did offer to contact each of the employee-witnesses to ascertain whether they would "grant" the defense team an interview and to provide the employees with defense counsel's telephone numbers.
In response to Baldridge's visit to the school, acting superintendent Mary H. Wright sent a stern letter to Bowker and Baldridge informing them they were banned from all school system property. The letter stated, among other things:
School attorney Allen sent an equally firm letter to Bowker and Baldridge stating, in part, as follows:
Defense counsel's subsequent difficulty in getting interviews with school witnesses — even during their personal time away from work — eventually led to the filing of a "Motion to Prevent Witness Tampering." The motion sought a hearing on whether the school system "or any other government agent with or without support of the Commonwealth has tampered with witnesses in this criminal case." Appellant requested that the court "issue appropriate orders to stop any witness tampering that is occurring." The motion was accompanied by an affidavit from Bowker explaining his difficulties in accessing witnesses. He specifically referenced his attempt to speak with one employee who told him he would not speak to anyone on the defense team "due to not being comfortable speaking to us about the case and that he would feel more comfortable if we spoke with [school system attorney] Brenda Allen."
At the hearing on the motion, defense counsel expressed concern that the school system had pressured employees not to speak to the defense team.
The school's human resources director Melodee Parker testified that Allen had informed the school employee witnesses that anyone who attempts to speak with them about the shooting incident should be referred to Allen. She did not, however, indicate that Allen's directive distinguished between interviews attempted during the employees' work time, as opposed to those made during their personal time. At the hearing, the trial court accepted assurances from Parker that she and the school system would assist the defense in meeting with the witnesses. Defense counsel said he would be satisfied with that, and requested no further relief at that time.
However, at a pretrial hearing a few weeks later, defense counsel again complained that the school system was not assisting his effort to meet with witnesses. The Commonwealth claimed there had been no problem setting up meetings under the established proceedings. The trial
Significantly, Appellant's argument for reversal makes no allegation of error by the trial court. Indeed, it appears that the trial court granted all relief requested. Neither does Appellant allege prosecutorial misconduct by the Commonwealth in frustrating his efforts to interview school witnesses. Rather, all allegations of wrongdoing are directed at the school personnel and attorney Allen. Appellant's argument raises several interesting issues.
Thus, any possible prejudice could only have occurred at the penalty phase of the trial. First-degree manslaughter is a Class B felony, which carries a sentence
Because of the importance of the issue, we use this occasion to briefly set forth the fundamental principles that would control in a situation like this, which would also include a general workplace setting,
Witnesses in a criminal trial belong neither to the state nor to the defense. In criminal proceedings, the prosecution and the defense have an equal right to interview witnesses before trial. United States v. Ash, 413 U.S. 300, 318, 93 S.Ct. 2568, 37 L.Ed.2d 619 (1973) ("[T]he interviewing of witnesses before trial is a procedure that predates the Sixth Amendment. In England in the 16th and 17th centuries counsel regularly interviewed witnesses before trial. The traditional counterbalance in the American adversary system for these interviews arises from the equal ability of defense counsel to seek and interview witnesses' himself." (Citing W.S. Holdsworth, History of English Law, 226-228 (1926))); see also Commonwealth v. Peters, 353 S.W.3d 592, 597-598 (Ky. 2011); Radford v. Lovelace, 212 S.W.3d 72, 82 (Ky.2006)
Because of this, insofar as the employees' personal time was concerned, defense counsel had at least as much right to communicate on this matter to the witnesses employed by the school system as did the school system or its general counsel, and it was not the function of either,
Further, the employees of the school system were not, based merely upon their employment status, the clients of the school's general counsel as indicated by Allen in her July 1, 2010, letter. Innes v. Howell Corp., 76 F.3d 702, 712 (6th Cir.1996) ("The law is generally settled that an attorney for a corporation does not automatically represent the corporation's [employees] in their individual capacities, even on the same matters. There must be clear consent.").
The converse of the rights of the defense and the prosecution to interview witnesses unimpeded by third parties, is the opposing right of witnesses to refuse to be interviewed by either the defense or the prosecution. Commonwealth v. Peters, 353 S.W.3d 592, 598 (Ky.2011) (RCr 7.24 and RCr 8.03 do not authorize the trial court to compel a witness's attendance for
Because a witness has this right, it obviously is not improper for someone to inform the witness of his right not to speak to either side. See Radford, 212 S.W.3d at 81-82. This applies even if it is the prosecutor telling a witness that he does not have to speak to defense counsel. Id. at 82. As such, in the immediate wake of a traumatic crime, the defense cannot complain if employees were advised that they may decline to speak to either the prosecutors or defense counsel.
Appellant next contends that the trial court erred by permitting the Commonwealth to introduce evidence concerning Appellant's stressful personal and family life during its case-in-chief. He contends that while the evidence may have been admissible as rebuttal evidence to refute his assertion of an EED defense, it was not relevant for introduction in the Commonwealth's case-in-chief. Appellant made timely objections, and thus preserved the issue for appellate review.
The challenged evidence was introduced through Britain Ingram, a teacher at the school. Ingram testified that he occasionally conversed with Appellant about a wide range of topics, including Appellant's personal and family problems. Ingram testified that he formed the impression that Appellant was "overwhelmed" with the pressures of child-rearing, working two jobs, going to school full-time, and meeting other personal commitments.
The Commonwealth argues that this evidence supported its theory that "this defendant was somewhat jealous or envious" of Donate, and that jealousy and envy were the motivating factors in the shooting. The trial court allowed the Commonwealth to elicit testimony from Ingram relevant to the time frame of the shooting. Appellant replies that this evidence was relevant only to rebut the bullying theory that supported his EED defense, and was therefore only admissible upon rebuttal.
To be admitted at trial, the evidence must be relevant. KRE 402. Relevant evidence is "evidence having any tendency to make the existence of any fact that is of consequence to the determination of the action more probable or less probable than it would be without the evidence." KRE 401. However, even relevant evidence "may be excluded if its probative value is substantially outweighed by the danger of undue prejudice, confusion of the issues, or misleading the jury, or by considerations of undue delay, or needless presentation of cumulative evidence." KRE 403; Moorman v. Commonwealth, 325 S.W.3d 325, 332-33 (Ky.2010).
"Motive" is the inducement, reason, cause, or incentive for the doing of an act. Bates v. Commonwealth, 189 Ky. 727, 225 S.W. 1085, 1092 (1920). Although motive is not an element of a criminal prosecution, nevertheless, evidence of motive is
Further, the evidence presented through Ingram was only the first part of the Commonwealth's evidence demonstrating the reason why Appellant would be jealous and envious of Donato; the second part of the reason was brought in later through the testimony of coworker Rick McCoy, who testified that Appellant had complained that Donato had financial advantages that were not "fair," and that the rest of the custodian crew "all worked [their] butts off and all [Donato's] check went to the bank and his mother-and father-in law paid for everything."
We agree that a reasonable inference may be drawn from this evidence that Appellant was aggravated because he struggled financially and, being overwhelmed by the stresses of his personal life, may have resented Donato for his apparently much easier lifestyle. The purpose of the testimony was not simply to rebut Appellant's EED defense, rather it had the independent purpose to, by reasonable inference, suggest the actual motive for the killing — that is, that Appellant's jealousy and envy turned to resentment and animosity that spawned the shooting.
The trial court did not err by permitting Ingram to testify during the Commonwealth's case-in-chief about Appellant's expressions of stress and resentment during the time leading up to the shooting.
Before the penalty phase of the trial began, the prosecutor informed the trial court that all of Donato's family had chosen to remain in the court room during the trial, and thereby, he believed, had forfeited their right to present victim impact evidence as authorized by KRS 532.055(2)(a)(7) during the penalty phase based upon the separation-of-witnesses rule, KRE 615.
KRS 532.055(2)(a)(7) authorizes the Commonwealth to present during the penalty phase of the trial "[t]he impact of the crime upon the victim or victims, as defined in KRS 421.500, including a description of the nature and extent of any physical, psychological, or financial harm suffered by the victim or victims[.]" As applicable in this case, KRS 421.500(1)(b) permits victim impact testimony from the victim's spouse, adult child, parent, sibling, and grandparent. We find no way to construe KRS 532.055(2)(a)(7) and KRS 421.500(1)(b) that would permit victim impact evidence from a friend. Within the context of the applicable statutes, Baker
While permitting Baker to testify was undeniably error, we are not persuaded that the error resulted in a manifest injustice so as to require reversal for a new sentencing proceeding under the palpable error standard contained in RCr 10.26. Under the palpable error standard prescribed in Ladriere v. Commonwealth, "reversal is warranted `if a manifest injustice has resulted from the error,' which requires a showing of the `probability of a different result or error so fundamental as to threaten a defendant's entitlement to due process of law.'" 329 S.W.3d 278, 281 (Ky.2010) (quoting Martin v. Commonwealth, 207 S.W.3d 1, 3 (Ky.2006)). Manifest injustice is found if the error seriously affected the "fairness, integrity, or public reputation of the proceeding." Martin, 207 S.W.3d at 4.
During his penalty phase, Baker testified that Donato was a good friend and confidant, and a pleasure to be around; that he cared about people and wanted to make people happy; that his funeral was well-attended, and that Donato's mother was grieving and distraught over his death; and similar positive testimony praising Donato. Baker's testimony was not so moving or emotional that it was likely to have, inspired the jury toward a more severe sentence. While Appellant did receive the maximum sentences for his crimes, the jury recommended that he serve his five-year weapons charge sentence concurrently with his twenty-year manslaughter sentence.
We are satisfied that it was highly unlikely that Baker's penalty phase testimony dissuaded the jury from imposing a lesser sentence. Accordingly, we find no manifest injustice occurred as a result of the improperly admitted victim impact evidence.
Appellant's father remained in the courtroom as an observer during the guilt phase of the trial. During the penalty phase, Appellant attempted to call his father as a witness to provide evidence "in mitigation or in support of leniency" as allowed by KRS 532.055(2)(b). The Commonwealth objected, citing KRE 615, the rule on separation-of-witnesses that was invoked at the outset of the trial. The trial court agreed and refused to allow testimony from Appellant's father because he had been present in the courtroom during the guilt phase of the trial. Appellant admits that the issue is unpreserved, but requests palpable error review pursuant to RCr 10.26.
KRE 615 provides as follows:
If the rule is invoked, exclusion of witnesses from the courtroom is mandatory at trial in the absence of one of the enumerated exceptions in exclusion of witnesses rule. Mills v. Commonwealth, 95 S.W.3d 838, 841 (Ky.2003). The rationale
Notwithstanding the foregoing discussion, we emphasize that Rule 615 has its roots in our pre-bifurcated trial system
Because Appellant failed to make a proper offer of proof pursuant to KRE 103, we have no way of accurately knowing what the evidence would have been, and consequently, no way of assessing with confidence the prejudicial impact of its exclusion. We can surmise that Appellant's father would have given favorable testimony in support of his son, but without knowing what he would have said, we cannot determine what impact it may have had on the outcome of the trial. We also cannot assess the possibility that cross-examination by the Commonwealth might have brought unfavorable information about Appellant to the attention of the jury.
In summary, the trial court's exclusion of the Appellant's father's testimony was consistent with KRE 615. While we believe the trial court might have exercised its broad discretion in a way that would permit Appellant's father to appear as a witness in the penalty phase, we are unable to conclude that it abused its discretion by failing to opt for a different means satisfying the KRE 615 concern. We are not persuaded that exclusion of Appellant's father's testimony resulted in manifest injustice under RCr 10.26.
Finally, Appellant argues that the trial court violated RCr 9.74 when it permitted the jury to hear a replaying of a portion of Ed Addison's testimony at a time when Appellant was not present. Appellant contends that the issue is not preserved, but requests palpable error review pursuant to RCr 10.26.
RCr 9.74 provides, "No information requested by the jury or any juror after the jury has retired for deliberation shall be given except in open court in the presence of the defendant ... and the entire jury,
Shortly after the jury began its deliberations it sent a note to the trial court asking for "a copy of Ed Addison's testimony." After convening the parties, the court stated that while the jury was entitled to watch the testimony, the parties did "not need to be present." When trial counsel advised that he would like to consult with Appellant to ascertain if he desired to be present during the replaying of the testimony the trial court responded:
The court advised that it was "open to suggestion;" however, Appellant did not suggest an alternative procedure, did not request to be present, and ultimately acquiesced in the trial court's suggested procedure.
There is no question that the trial court's procedure for replaying the trial testimony was erroneous. However, Appellant failed to object to the trial court's proposed procedure and, indeed, proactively acquiesced to it. Accordingly, our review is pursuant to the palpable error standard of RCr 10.26, as stated previously in this opinion.
Upon review, we conclude that there is no probability that a different result would have been obtained if Appellant had been present when the jury reheard Addison's testimony. This error is not so fundamental that it threatened Appellant's right to due process. There was no manifest injustice. Ladriere, 329 S.W.3d at 281. While the replaying of the testimony outside of the presence of the Appellant was error, this procedural irregularity simply does not rise to the level of palpable error.
For the foregoing reasons, the judgment of the Fayette Circuit Court is affirmed.
All sitting. All concur. CUNNINGHAM, J., also concurs by separate opinion in which ABRAMSON, J., joins.
I concur with Justice Venters' well-written opinion, except for one small but important distinction. The opinion correctly points out that KRE 615 — the separation-of-witnesses rule — has its roots in the pre-bifurcated days of criminal trial practice. That was when guilt and sentencing were heard by the jury in one continuous proceeding. As Justice Venters also correctly points out, the application of KRE 615 to the sentencing stage today may well be "outmoded." To provide trial courts clear direction on this issue, I simply say that KRE 615 does not apply to the sentencing stage of criminal trials, except in extreme cases where the trial court, in its discretion, believes fairness demands it. The opinion, as written, still gives the trial judges the authority to bar family members from testifying at the sentencing stage if they remained in the courtroom and observed the guilt phase in the trial of their loved one. It would also still allow judges to bar victims or their families from testifying on victim impact or otherwise at the sentencing stage if they were in the courtroom during the guilt stage. I would eliminate this possibility with one clean sweep of the judicial pen of this Court.
ABRAMSON, J., joins this concurring opinion.