Opinion of the Court by Justice VENTERS.
Appellant, Travis Smith, appeals as a matter of right, Ky. Const. § 110, from a judgment of the Hickman Circuit Court convicting him of first-degree burglary by complicity, first-degree robbery by complicity, and second-degree assault by complicity, and sentencing him to a total of twenty-two years' imprisonment.
For the reasons stated below, we conclude that Appellant's claims of instructional error are not properly preserved. Nevertheless, upon palpable error review, we conclude that the jury was adequately instructed upon the necessary elements of accomplice culpability, and therefore do not amount to palpable error. We also conclude that the trial court erred by imposing court costs against Appellant under KRS 23A.205(2) without determining if he was "poor person," as that term is defined in KRS 453.190(2). We therefore affirm the judgment of conviction but remand for further proceedings on the question of the imposition of court costs.
Evidence presented by the Commonwealth at trial demonstrated that Appellant was eighteen years old at the time of the crimes, and was a member of a gang called the "Gangster Disciples." He lived near the victim, 74 year-old Thomas Dublin. He had worked for the victim over a long period of time and had been to the victim's residence on many occasions over the course of several years. As such, Dublin was well acquainted with Appellant.
On the day of the crimes, Dublin went, as he frequently did, to the nearby Jewell Mart to eat lunch and socialize with others that congregated there. As he counted out his money to pay for his lunch, a $100-bill was briefly visible to by-standers which included Terrell Thomas. At home that evening, Dublin heard a knock on his door that he assumed was his son. When he opened the door, however, a man with a cloth over his face entered the residence. Dublin was not fooled by the ineffective disguise. He immediately recognized Appellant and asked him what he was doing there. Appellant looked around the residence and then promptly left without saying anything.
When Dublin tried to close the door behind Appellant, another man (apparently accomplice Billy Joe Crumble) used his foot to prevent the door from closing. The man then shoved the door back open, causing Dublin to lose his balance and fall over a table. As Dublin fell, his leg hit a chair
Another intruder, apparently Thomas, pointed a gun at Dublin's head and demanded to know where Dublin kept his money. Dublin surrendered his money to the intruders, who also took a few items of Dublin's personal property. It appears that after his initial confrontation with Dublin, Appellant remained outside while the events described above were occurring. Based upon Dublin's recognition, police began investigating Appellant's involvement in the crimes. Eventually, Appellant confessed to his involvement and he identified his accomplices.
Appellant was indicted and charged as an accomplice (KRS 502.020) to first-degree burglary (KRS 511.020), to first-degree robbery (KRS 515.020), and to second-degree assault (KRS 508.020).
The jury found Appellant guilty and recommended a sentence of imprisonment for ten years on the first-degree burglary conviction, for twelve years on the first-degree robbery conviction, and for five years on the second-degree assault conviction, with all sentences to be served concurrently for a total of twelve years. The trial court, citing Appellant's long association with the victim and his exploitation of this knowledge to facilitate the crimes, elected to run the twelve-year sentence and the ten-year sentence consecutively, but ordered both to run concurrently with the five-year sentence, for a total sentence of twenty-two years. The trial court also imposed court costs of $155.00 and restitution of $781.20.
The Commonwealth's case against Appellant was based entirely upon theories of accomplice liability. In his first assignment of error, Appellant argues that the instructions did not properly apprise the jury of the specific intent or knowledge required for culpability as an accomplice to each of the charged offenses and, therefore, the instructions permitted the jury to convict Appellant without the requisite finding of the appropriate mens rea. At the outset, the Commonwealth contends that Appellant did not adequately preserve his claim of instructional error for appellate review. Therefore, we begin our analysis by examining whether the issues raised by Appellant were properly preserved.
The Commonwealth challenges the preservation of Appellant's claim because Appellant never objected to the trial
Appellant's tendered instructions also included instructions for the lesser-included offenses of second-degree burglary by complicity, second-degree robbery by complicity, as well as other instructions favorable to the. defense. On the point of error he now raises, the difference between his tendered instructions and those given by the trial court amounts to a relatively subtle distinction buried within the thirty-five pages he tendered to the trial court on the day of trial. During the instruction conference, as the jury instructions were being finalized, Appellant's counsel never directed the trial judge's attention to the variance between his tendered instructions and the instructions being prepared by the trial court.
RCr 9.54(2) provides that "[n]o party may assign as error the giving or the failure to give an instruction unless the party's position has been fairly and adequately presented to the trial judge by an offered instruction or by motion, or unless the party makes objection before the court instructs the jury, stating specifically the matter to which the party objects and the ground or grounds of the objection." (emphasis added). Appellant could have easily avoided the error he now claims by giving fair and adequate notice of his concern to the trial court, if indeed trial counsel then shared the concerns now raised by appellate counsel. Silence as the trial court proceeded down what Appellant now claims to be an erroneous path would have been reasonably perceived as agreement with the trial court's instructions, and falls far short of the fair and adequate notice required by RCr 9.54. While a party generally may preserve instructional error by tendering to the trial court a correct formulation of the jury instruction, he may not at the same time sit idly by during the jury instruction conference and create the appearance of acquiescence to erroneous instructions. Moreover, we are reluctant to fault the trial court for failing to follow Appellant's tendered instructions when Appellant himself equivocated with the disclaimer reserving "the right to alter, amend or withdraw the proposed Instructions at any time prior to or during the trial of this matter."
The provisions of the tendered instructions which, according to Appellant, correctly set forth the requisite mens rea for accomplice culpability amounts to a relatively subtle distinction hidden within thirty-five pages of instructions, tendered the day of trial, and not mentioned to the trial court during the instruction conference. We are satisfied that under these circumstances Appellant did not fairly and adequately raise his objection to the instructions to the trial court. As such, we agree with the Commonwealth that this error is not properly preserved. Chumbler v. Commonwealth, 905 S.W.2d 488, 499 (Ky. 1995) (defendant did not adequately preserve for appellate review the issue of whether the complicity instruction presented to jury was improper where, although defendant tendered alternative instruction, she did not make specific objection to complicity instruction given by the trial court, and did not state specifically grounds on which she believed the court's instruction
We therefore agree with the Commonwealth that this allegation of error is not properly preserved. Thus, our review will proceed under the manifest injustice standard contained in RCr 10.26.
KRS 502.020 describes two separate and distinct theories under which a person can be found guilty by complicity, i.e., "complicit in the act" under subsection (1) of the statute, which applies when the principal actor's conduct constitutes the criminal offense, and "complicit in the result" under subsection (2) of the statute, which applies when the result of the principal's conduct constitutes the criminal offense. The statute provides:
The primary distinction between these two statutory theories of accomplice liability is that, under KRS 502.020(1), a person can be complicit in the criminal act of another only if he/she intends that the principal actor commits that act. However, under KRS 502.020(2), a person can be complicit in the criminal result of another person's act without the intention of causing that result, so long as his state of mind equates to one of other "kind(s) of culpability with respect to the result that is sufficient for the commission of the offense," whether intentional, reckless, wanton, or aggravated wantonness (wanton under circumstances manifesting extreme indifference to human life). Tharp v. Commonwealth,
Under the circumstances of this case, the complicity instructions for burglary and robbery clearly fall under KRS 502.020(1), requiring that Appellant, as an accomplice, intended the criminal acts to be committed; however, as further explained below, accomplice liability for the assault charge is better reviewed under KRS 502.020(2), requiring Appellant to have aided in the conduct that produced the result (e.g. serious physical injury.) Tharp, 40 S.W.3d at 360-361; citing KRS 502.020 (1974 Official Commentary) ("The most common examples of offenses having a prohibited result [and thus falling within KRS 502.020(2)] are homicide, with the death of another as the prohibited result, and assault, with the bodily injury of another as the prohibited result."). Because of this distinction in the assault charge versus the burglary and robbery charges, we discuss the assault charge separately.
Appellant argues that the robbery
In Skinner v. Commonwealth, 864 S.W.2d 290 (Ky.1993), the defendant made substantially the same argument in a first-degree burglary by complicity case. There, the defendant argued that the trial court erred in instructing on first-degree burglary by complicity because there was no evidence that he knew that any participant in the crime was armed with a deadly weapon so as to elevate the felony classification of the crime. In rejecting this argument we held that "an accomplice may be held liable for a confederate's aggravated offense, although having no knowledge of the aggravating circumstance." Id. at 299. See also Commonwealth v. Yeager, 599 S.W.2d 458 (Ky.1980) (since the defendant who agreed to drive the getaway car and his accomplice both intended to commit robbery, defendant was properly convicted of first-degree robbery, rather than second-degree, even if he did not know or
As later noted in Young v. Commonwealth, 50 S.W.3d 148, 162 (Ky.2001), Skinner, Yeager, and Ray "were cases in which an accomplice was found guilty by complicity of an offense that was enhanced to a higher degree because it was committed while the principal actor was armed with a deadly weapon or because the principal actor inflicted physical injury on the victim. Those cases simply hold that under KRS 502.020(1), the accomplice is guilty of the same offense as the principal."
Clearly, the same rule applies in the situation we address. As such, the premise of Smith's central argument with respect to the robbery and burglary complicity instructions is simply incorrect. In summary, the instructions did not need to reflect that Appellant had the specific intent, or knowledge, that any of his accomplices would be armed with a deadly weapon during the commission of the robbery, or would be armed with a deadly weapon in the commission of the burglary.
Turning now to the second-degree assault instruction, Appellant contends that the instruction was erroneous because it did not require a finding that he intended for Duncan to be assaulted, or knew that his accomplices would do so while armed with a deadly weapon or dangerous instrument.
Complicity to assault (of any degree) is a "complicit in the result" crime because causing a particular result is an element of the offense. See, e.g., KRS 502.020(2).
Upon review, we disagree with Appellant that the instructions were deficient in setting forth these elements. More specifically, the second-degree assault instruction, in combination with the instruction defining complicity, did in fact require that Appellant have aided in the conduct which resulted in the injuries incurred by Duncan.
The complicity to second-degree assault instruction stated as follows:
In addition, the trial court informed the jury of the definition of complicity consistent with KRS 502.020:
Clearly the better phrasing rather than "Travis Smith, or others used ..." would have been "Travis Smith, alone or in complicity with others used ..." See Crawley v. Commonwealth, 107 S.W.3d 197, 200 (Ky.2003); see also 1 Cooper, Kentucky Instructions to Juries (Criminal) § 10.09, § 10.12, § 10.13 (5th ed.2011). This phrasing would have both (1) tied this section of the instructions to the definition of "complicity," and (2) have avoided the use of an unmodified and universal "or others," which theoretically could include persons other than his confederates.
In viewing the second-degree assault instruction in its totality, when read in combination with the complicity definitional instruction, we believe the charge properly informed the jury of the elements necessary to convict Appellant of second-degree assault, including the relevant intent requirements. The instructions provided that Appellant could be convicted of the crime only if he either intended from the outset that there be an attack by one of his accomplices against Duncan with a knife which would cause physical injury, see KRS 508.020(1)(b), or absent this intent, that his mental state equated with wantonness in aiding in conduct which caused Duncan to incur serious physical injury. See KRS 508.020(1)(c). Accordingly, the instruction was in full accord with KRS 508.020 and the complicity statute, KRS 502.020.
The Commonwealth's theory was that Appellant's initial entry into Duncan's residence was to reconnoiter the scene, and so aided his accomplices in engaging in the conduct which caused the result, i.e., the injuries to the victim. The instructions reflect this, and further inquire concerning whether Appellant's criminal intent was intentional or wanton, and the degree of the injury. Insofar as the dangerous instrument requirement is concerned (the knife), and its use to aggravate the crime, as previously explained, "[U]se of a dangerous, instrument, and injury inflicted upon the victim are viewed as `aggravators,' in which the complicitor need have no involvement at all." 1 Cooper, Kentucky Instructions to Juries § 10.09 Comment. As such, no palpable error occurred.
For the reasons discussed above, each of the complicity instructions captured the necessary elements to properly instruct the jury. And while there may have been minor discrepancies in the instructions, these deviations are not cited by Appellant as error. As such, no palpable error occurred as a result of the instructions. See RCr 10.26.
Appellant also contends that the trial court erred by assessing $155.00 in court costs against him even though the trial court declared him to be indigent at the outset of the case by appointing counsel to represent him and did so again at the end of the case by granting his motion to appeal as a pauper. During the sentencing hearing the trial court asked Appellant if he had any money in his jail account and Smith responded "I think it's
Appellant concedes that this issue is not preserved, but requests palpable error review pursuant to RCr 10.26.
Appellant cites to Ladriere v. Commonwealth, 329 S.W.3d 278, 283 (Ky.2010), Travis v. Commonwealth, 327 S.W.3d 456, 459 (Ky.2010), and Edmonson v. Commonwealth,
For years this Court had taken the position that the language in KRS 31.110(1)(b), the statute providing for waiver of costs for indigent defendants, controlled over KRS 23A.205(2), which provides the trial court discretion in imposing court costs. See, e.g., Edmonson, supra. Accordingly, we have previously found the imposition of court costs upon an indigent defendant to be palpable error. See, e.g., Wiley v. Commonwealth, 348 S.W.3d 570, 574 (Ky. 2010). However, in Maynes v. Commonwealth, 361 S.W.3d 922 (Ky.2012) we abandoned this interpretation of the above mentioned statutes, and, accordingly, Edmonson and like cases are no longer controlling on this point.
The proper inquiry for assessing court costs is not whether a defendant is "indigent" as defined in KRS 31.110(1)(b), but whether, pursuant to KRS 23A.250(2), he is a "poor person" as defined in KRS 453.190(2).
The trial court assessed court costs upon his sua sponte determination that Appellant's jail account of $1.00 meant that he was "no longer an indigent person." While that ruling was obviously inconsistent with the contemporaneous finding that Appellant's "indigent" status entitled him to an appeal at state expense, it was also not equivalent to a determination of whether Appellant was "a poor person." Accordingly, we reverse the assessment of court costs and remand that matter to the trial court for further proceedings consistent with Maynes, to determine, not whether a defendant is indigent as defined in KRS 31.110(1)(b), but whether he is a "poor person" as defined in KRS 453.190(2).
For the foregoing reasons, the judgment of the Hickman Circuit Court is affirmed convicting Appellant for the crimes of first-degree burglary by complicity, first-degree robbery by complicity, and second-degree assault by complicity, are hereby affirmed. The portion of the judgment ordering Appellant to pay court costs is reversed and remanded to the trial court for further proceedings consistent with this opinion.
All sitting. All concur.