COMMONWEALTH OF KENTUCKY v. JODIE CHARLES BOWLES
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RENDERED: May 30, 2003; 10:00 a.m.
TO BE PUBLISHED
Commonwealth Of Kentucky
Court of Appeals
NO. 2002-CA-001568-MR
COMMONWEALTH OF KENTUCKY
v.
APPELLANT
APPEAL FROM JEFFERSON CIRCUIT COURT
HONORABLE ANN O'MALLEY SHAKE, JUDGE
ACTION NO. 93-CR-000925
JODIE CHARLES BOWLES
APPELLEE
OPINION
AFFIRMING IN PART, VACATING IN PART AND REMANDING
** ** ** ** **
BEFORE:
COMBS, GUIDUGLI AND SCHRODER, JUDGES.
GUIDUGLI, JUDGE.
The Commonwealth of Kentucky has appealed from
the June 25, 2002, Opinion and Order of the Jefferson Circuit
Court granting Jodie Charles Bowles’s (hereinafter Bowles)
motion to reconsider and voiding his 1993 convictions for
illegal possession of a controlled substance (cocaine) and
illegal possession of a controlled substance (marijuana).1
We
affirm in part, vacate in part and remand.
In 1993, Bowles, along with co-defendant John Edward
Young, was indicted by the grand jury on charges of Illegal
Possession of a Controlled Substance, First Degree (cocaine),2
Illegal Possession of a Controlled Substance (marijuana),3
Illegal Use or Possession of Drug Paraphernalia,4 and Carrying a
Concealed Deadly Weapon.5
Based upon the Commonwealth’s offer,
Bowles moved to enter a guilty plea, which the trial court
accepted and entered on May 12, 1993.
Pursuant to the terms of
the agreement, the trial court adjudged Bowles guilty of illegal
possession of cocaine, marijuana and drug paraphernalia and
dismissed the carrying a concealed deadly weapon charge.
On
June 30, 1993, the trial court entered its final judgment of
conviction and sentence, and ordered him to serve one year for
illegal possession of cocaine and twelve months on each of the
two remaining charges, which were to be served concurrently for
a total of one year.
The trial court withheld rendition of the
judgment and placed Bowles on probation for five years, subject
1
The Commonwealth has limited its appeal to the issue concerning the voiding
of Bowles’s conviction for illegal possession of cocaine.
2
KRS 218A.1415.
3
KRS 218A.1422.
4
KRS 218A.500(2).
5
KRS 527.020.
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to his compliance with several conditions, including participation in a drug treatment program.
On November 8, 2001, Bowles moved the trial court to
set aside and void his convictions pursuant to KRS 218A.275(9)
and KRS 218A.276(8) as all terms of his probation and parole had
ended on June 25, 1998, and as he had satisfactorily completed
treatment, probation, payment of fees, and had complied with all
orders of the trial court.
The Commonwealth objected, and the
trial court denied the motion by an opinion and order entered
March 22, 2002, reasoning that Bowles had not provided
sufficient evidence that he had satisfied the drug treatment
requirement.
The trial court went on to state that even if
Bowles had provided this evidence, his felony conviction for
possession of cocaine would not fall under the parameters of KRS
218A.275(9) because the statute references only misdemeanor
convictions pursuant to KRS 218A.1416 and KRS 218A.1417.
Bowles filed a motion to reconsider pursuant to CR
52.02, arguing that KRS 218A.275(9) applies to felony offenses
as well as to misdemeanor offenses, and providing documentation
to support his claim that he completed his substance abuse
programs.
Although no response was filed, the Commonwealth
apparently responded orally at the May 28, 2002, hearing.6
6
On
The videotape of the May 28, 2002, hearing was not included in the certified
record on appeal.
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June 25, 2002, the trial court granted the motion to reconsider
and entered the following opinion and order:
The action comes before the Court on
Motion to Reconsider and to Amend the
Court’s Opinion and Order brought by
defendant, Jodie Charles Bowles (“Bowles”).
Plaintiff, Commonwealth of Kentucky
(“Commonwealth”), has not submitted a
Response. The Court heard arguments from
the parties on May 28, 2002.
After a careful review of the record
and Bowles’s memorandum, as well as the
applicable statutory law, and being
otherwise sufficiently advised, the Court
amends its March 22, 2002 Opinion and Order.
Consequently, Bowles’s motion is sustained.
KRS 218A.275(9) states
In the case of any person who has
been convicted for the first time
of possession of controlled
substances, the court may set
aside and void the conviction upon
satisfactory completion of
treatment, probation, or other
sentence, and issue to the person
a certificate to that effect. A
conviction voided under this
subsection shall not be deemed a
first offense for purposes of this
chapter or deemed a conviction for
purposes of disqualification or
disabilities imposed by law upon
conviction of a crime. Voiding of
a conviction under the subsection
and dismissal may occur only once
with respect to any person.
Bowles was convicted under KRS 218A.1415 for
first offense illegal possession of a
controlled substance (cocaine). He has
provided sufficient information to the Court
that he completed substance abuse treatment
and the requirements of probation. His
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probation ended on June 25, 1998. The Court
finds that he has met the standards
necessary to have that conviction voided.
Similarly, Bowles’s conviction for
illegal possession of controlled substance
(marijuana) will also be voided pursuant to
KRS 218A.276(8). The record indicates it
was his first offense and Bowles has
provided adequate evidence of his completion
of substance abuse treatment.
Bowles’s conviction pursuant to KRS
218A.500(2), however, is a different
proposition. Neither KRS 218A.275(9) nor
KRS 218A.276(8) provide for setting aside or
voiding a conviction for illegal possession
of drug paraphernalia. Consequently, the
Court cannot set aside that particular
conviction.
WHEREFORE IT IS HEREBY ORDERED AND
ADJUDGED that the Motion to Reconsider and
to Amend the Court’s Opinion and Order
brought by defendant, Jodie Charles Bowles,
be and is hereby SUSTAINED.
IT IS FURTHER ORDERED AND ADJUDGED that
Bowles’s June 30, 1999 convictions for
illegal possession of controlled substance
(cocaine) and illegal possession of
controlled substance (marijuana) be and are
hereby voided.
XXX
ANN O’MALLEY SHAKE, JUDGE
Underneath the judge’s signature is a stamp initialed by a
deputy clerk indicating that the order was entered in court on
June 25, 2002, along with the following language in handwriting:
District Court #
93F001458A-D
Counts 1 – 2 expunged
arrest Date 2-6-93
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All references to the convictions for illegal possession of
cocaine and marijuana were redacted from the record.
This
appeal by the Commonwealth followed.
On appeal, the Commonwealth first argues that the
circuit court lacked the authority to void the felony conviction
for illegal possession of a controlled substance (cocaine) under
KRS 218A.1415 through the use of KRS 218A.275 because the
legislature intended that section to apply only to first
convictions under either KRS 218A.1416 or KRS 218A.1417, but not
under KRS 218A.1415.
On the other hand, Bowles argues that KRS
218A.275 is unambiguous and that the Commonwealth is attempting
to insert an exception in KRS 218A.275(9) that does not exist.
We agree with Bowles that KRS 218A.275(9) does not except felony
convictions under KRS 218A.1415 from its application, as does
the remainder of the statute.
Pursuant to KRS 446.080(1), “[a]ll statutes of this
state shall be liberally construed with a view to promote their
objects and carry out the intent of the legislature.”
Furthermore, our Supreme Court recently addressed statutory
interpretation in Commonwealth v. Plowman, Ky., 86 S.W.3d 47, 49
(2002), stating that:
It is well settled that the
interpretation of a statute is a matter of
law. Accordingly, a reviewing court is not
required to adopt the decisions of the trial
court as to a matter of law, but must
interpret the statute according to the plain
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meaning of the act and in accordance with
the legislative intent. Commonwealth v.
Montague, Ky., 23 S.W.3d 629 (2000). The
seminal duty of a court in construing a
statute is to effectuate the intent of the
legislature. Commonwealth v. Harrelson,
Ky., 14 S.W.3d 541 (2000).
See also Davis v. Commonwealth Life Insurance, Ky., 284 S.W.2d
809 (1955).
We are also mindful that we must look at the
statute as a whole in our interpretation.
In Democratic Party
of Kentucky v. Graham, Ky., 976 S.W.2d 423, 429 (1998), the
Supreme Court stated:
Petitioners would have us read the first
sentence of this statute out of context and
interpret it to preclude law enforcement
from prosecuting a criminal violation of a
campaign finance law except upon referral
from the Registry. “However, it is wellsettled that ‘in expounding a statute, we
must not be guided by a single sentence or
member of a sentence, but look to the
provisions of the whole and to its object
and policy.’” Wathen v. General Electric
Co., 115 F.3d 400, 405 (6th Cir. 1997)
quoting Pilot Life Ins. Co. v. Dedeaux, 481
U.S. 41, 51, 107 S.Ct. 1549, 1555, 95
L.Ed.2d 39 [ ](1987); accord Department of
Motor Transp. v. City Bus Co., Inc., Ky.,
252 S.W.2d 46 (1952); Henry v. Commonwealth,
312 Ky. 491, 228 S.W.2d 32 (1950).
Additionally, the Supreme Court addressed the treatment to be
given to both ambiguous and unambiguous statutes in Plowman:
An unambiguous statute is to be applied
without resort to any outside aids. This
Court has repeatedly held that statutes must
be given a literal interpretation unless
they are ambiguous and if the words are not
ambiguous, no statutory construction is
required. (citations omitted.)
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Commonwealth v. Plowman, 86 S.W.3d at 49.
The statute at issue in this appeal is KRS 218A.275,
which provides for a treatment program for first-time offenders
of possession of a controlled substance and offers the trial
court the discretion to void a conviction.
Because the
interpretation of this statute is the primary issue on appeal,
we shall set it out in full:
§ 218A.275. Treatment and rehabilitation
program for first offenders of possession of
controlled substance -- Court's discretion
to void conviction
(1) Any person found guilty of possession
of a controlled substance pursuant to KRS
218A.1416 or 218A.1417 may for a first
offense, be ordered to a facility designated
by the secretary of the Cabinet for Health
Services where a program of treatment and
rehabilitation not to exceed one (1) year in
duration may be prescribed. The person
ordered to the designated facility shall
present himself for registration and
initiation of a treatment program within
five (5) days of the date of sentencing.
If, without good cause, the person fails to
appear at the designated facility within the
specified time, or if at any time during the
program of treatment prescribed, the
authorized clinical director of the facility
finds that the person is unwilling to
participate in his treatment and
rehabilitation, the director shall notify
the sentencing court. Upon receipt of
notification, the court shall cause the
person to be brought before it and may
continue the order of treatment and
rehabilitation, or may order confinement in
the county jail for not more than one (1)
year or a fine of not more than five hundred
dollars ($ 500), or both. Upon discharge of
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the person from the facility by the
secretary of the Cabinet for Health
Services, or his designee, prior to the
expiration of the one (1) year period or
upon satisfactory completion of one (1) year
of treatment, the person shall be deemed
finally discharged from sentence. The
secretary, or his designee, shall notify the
sentencing court of the date of such
discharge from the facility.
(2) The secretary of the Cabinet for
Health Services, or his designee, shall
inform each court of the identity and
location of the facility to which such
person is sentenced.
(3) Transportation to the facility shall
be provided by order of the court when the
court finds the person unable to convey
himself to the facility within five (5) days
of sentencing by reason of physical
infirmity or financial incapability.
(4) The sentencing court shall
immediately notify the designated facility
of the sentence and its effective date.
(5) The secretary for health services, or
his designee, may authorize transfer of the
person from the initially designated
facility to another facility for therapeutic
purposes. The sentencing court shall be
notified of termination of treatment by the
terminating facility.
(6) Responsibility for payment for
treatment services rendered to persons
pursuant to this section shall be as under
the statutes pertaining to payment of
patients and others for services rendered by
the Cabinet for Health Services, unless the
person and the facility shall arrange
otherwise.
(7) Prior to the imposition of sentence
upon conviction of a second or subsequent
offense, the court shall obtain a report of
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case progress and recommendations regarding
further treatment from any facility at which
the person was treated following his first
conviction. If such material is not
available, the court shall notify the
secretary of the Cabinet for Health
Services, and the secretary shall cause the
person to be examined by a psychiatrist
employed by the cabinet to evaluate his
mental condition and to make recommendations
regarding treatment and rehabilitation. The
psychiatrist making the examination shall
submit a written report of his findings and
recommendations regarding treatment and
rehabilitation to the court which shall make
the report available to the prosecuting
attorney and the attorney for the defendant.
The court shall take such reports into
consideration in determining sentence. The
secretary may decline to cause such
examination to be made if the number of
psychiatrists on duty in the cabinet is
insufficient to spare one from his regular
duties or if no such service may be
purchased at regular cabinet rates; in such
event the secretary shall notify the clerk
of the court to that effect within three (3)
days after receipt of notification by the
court.
(8) None of the provisions of this section
shall be deemed to preclude the court from
exercising its usual discretion with regard
to ordering probation or conditional
discharge.
(9) In the case of any person who has been
convicted for the first time of possession
of controlled substances, the court may set
aside and void the conviction upon
satisfactory completion of treatment,
probation, or other sentence, and issue to
the person a certificate to that effect. A
conviction voided under this subsection
shall not be deemed a first offense for
purposes of this chapter or deemed a
conviction for purposes of disqualifications
or disabilities imposed by law upon
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conviction of a crime. Voiding of a
conviction under the subsection and
dismissal may occur only once with respect
to any person.
The Commonwealth argues that because the first section
of the statute limits the treatment program only to first
offenders convicted of possession of a controlled substance
under KRS 218A.1516 and KRS 218A.1517, the entire statute, in
particular KRS 218A.275(9), is limited to convictions under
those two statutes.
Furthermore, subsections 2 through 7 deal
with the treatment program itself, detailing when the program
would be appropriate as well as its costs and the trial court’s
follow-up requirements.
Because Subsection 1 limits the
treatment program to those convicted under KRS 218A.1416 and KRS
218A.1417, all of the subsections dealing specifically with the
treatment program would likewise be limited in their application
to convictions under those two statutes.
Subsection 8 simply
allows the court to retain its discretion as to orders for
probation or conditional discharge.
While we agree with the Commonwealth that it would be
logical to conclude that Subsection 9 would also be limited to
convictions under the two statutes enumerated in Subsection 1,
we believe that the plain language of the statute mandates
another result.
The language limiting the treatment program to
only convictions under KRS 218A.1416 and KRS 218A.1417 is found
within Subsection 1, so that it would only modify that
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subsection and any other subsection dealing specifically with
that treatment program.
Had the limiting language appeared
outside of a subsection, such as in the opening paragraph of the
statute rather than inside of a subsection, the language clearly
would have modified each subsection of the statute.
However,
this is not the case in this instance.
In fact, Subsection 9 contains its own limiting
language, which is not limited to any particular statute, but
rather is limited in scope to those first time offenders
convicted of possession of a controlled substance.
This
limitation would logically include all convictions for
possession of a controlled substance, encompassing both felony
and misdemeanor convictions.
Likewise, the subsection allows
the trial court to void the conviction “upon satisfactory
completion of treatment, probation, or other sentence.”
The
treatment is not even limited to the treatment program set out
in the rest of the statute.
Having reviewed the statute in
question, we hold that KRS 218A.275 is unambiguous in that KRS
218A.275(9) does not limit a trial court from voiding a felony
conviction for possession of cocaine under KRS 218A.1415.
Therefore, we are not required to do anything further in
ascertaining the intent of the legislature in enacting this law.
The trial court did not commit any error in voiding Bowles’s
felony conviction for possession of cocaine.
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The Commonwealth next argues that the trial court
improperly expunged Bowles’s record, while Bowles argues that
this action was proper.
Both parties look to the definition of
“void” and present arguments as to whether a void conviction is
necessarily expunged.
In our view, however, these arguments are
unnecessary because the trial court never ordered either
conviction to be expunged under any statute.
The trial court
only voided Bowles’s convictions for illegal possession of
cocaine and marijuana under KRS 218A.275(9) and KRS 218A.276(8),
respectively.
There is nothing in the order to indicate that
she intended the convictions to be expunged from the record.
The handwritten language at the bottom portion of the second
page of the trial court’s order appeared after the judge’s
signature and was apparently written by the deputy clerk who
entered the order on June 25, 2002.7
The judge did not sign,
initial, or otherwise approve the handwritten language.
Additionally, the statutory requirements for expungement were
not completed.
For these reasons, we cannot hold that the trial
court ordered an expungement of the record.
Therefore, the
redaction of Bowles’s convictions from the record was in error.
7
This is based upon our observation of the original order in the certified
record, which shows that Judge Shake used a pen with medium blue ink, while
the deputy clerk used a pen with black ink. The handwritten language
regarding expungement appears to have been written with the same pen that was
used by the deputy clerk in entering the opinion and order. It is logical to
conclude that the deputy clerk who entered the order is also the individual
who wrote the handwritten language appearing at the bottom of page 2.
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For the foregoing reasons, the opinion and order of
the Jefferson Circuit Court is affirmed.
However, the
expungement of Bowles’s record is vacated and this matter is
remanded for further proceedings.
ALL CONCUR.
BRIEF FOR APPELLANT:
Teresa Young
Special Assistant
Attorney General
BRIEF AND ORAL ARGUMENT FOR
APPELLEE:
Stephen H. Miller
Louisville, KY
Albert B. Chandler, III
Attorney General
Frankfort, KY
ORAL ARGUMENT FOR APPELLANT:
Teresa Young
Special Assistant
Attorney General
Frankfort, KY
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