JOHN COMBS, SR. V. COMMONWEALTH OF KENTUCKY
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MODIFIED : JULY 5, 2006
RENDERED : APRIL 20, 2006
TO BE PUBLISHED
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2002-SC-0780-MR
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2004-SC-1005-MR
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JOHN COMBS, SR .
APP
APPEAL FROM PERRY CIRCUIT COURT
HONORABLE DOUGLAS C . COMBS, JR ., JUDGE
99-CR-115
COMMONWEALTH OF KENTUCKY
APPELLEE
OPINION OF THE COURT BY JUSTICE COOPER
AFFIRMING IN PART,
REVERSING IN PART,AND REMANDING
A Perry Circuit Court jury convicted Appellant, John Combs, Sr., of one count of
unlawful transaction with a minor in the first degree ("UTM 1 st"), a Class B felony
because the victim was less than sixteen years of age, KRS 530 .064(1), (2)(b), and one
count of sexual abuse in the first degree ("sexual abuse 1 st"), a Class D felony, KRS
510 .110(1)(b)2 & (2). The trial court entered judgment pursuant to the convictions and,
in accordance with the recommendation of the jury, sentenced Appellant to prison for
fifteen years for UTM 1 st and five years for sexual abuse 1 st, to run consecutively for a
total of twenty years .
Appellant appeals to this Court as
a matter of right, Ky. Const. § 110(2)(b),
asserting the following as reversible errors: (1) insufficiency of the evidence to support
his conviction of UTM 1 st; (2) error in instructing the jury on sexual abuse 1 st as a
lesser included offense of UTM.1 st; (3) a double jeopardy violation arising out of
convictions of both UTM 1 st and sexual abuse 1 st for the same conduct; (4) the
Commonwealth's failure to file a proper bill of particulars and to provide Appellant with
exculpatory evidence; (5) error in permitting a social worker and a physician to bolster
the victim's testimony with evidence of prior consistent statements ; (6) failure of the trial
court to grant a mistrial upon discovering that the jury foreman had exited the jury room
during deliberations; and (7) failure of the trial court to dismiss the indictment upon
learning that the Assistant Commonwealth's Attorney who presented the evidence to the
grand jury failed to inform the grand jury of an extortion letter sent to Appellant by one of
his alleged victims, M.W.'
The indictment charged Appellant with sixteen counts of sexual misconduct
perpetrated against three minor females, M.W., C.W., and H .A. M.W. and C .W . are
sisters and are not related by blood or marriage to Appellant . H.A . is Appellant's step
granddaughter . M.W. had sent Appellant an extortion letter threatening to falsely
accuse him of sexually molesting her if he did not respond to her demands for payment.
There was evidence at trial that C.W. had instigated the extortion scheme . M.W. did not
appear at trial, and the charges pertaining to any alleged sexual molestation of her were
dismissed. The jury acquitted Appellant of all charges pertaining to alleged sexual
molestation of C.W. Since Appellant was not convicted of any offenses against M.W.
' Appellant gave the Assistant Commonwealth's Attorney the letter during a consultation
in which Appellant attempted to retain the attorney to represent him in the event M.W.
brought charges against him . Appellant claims the attorney advised him that he could
not represent him because he was a prosecutor -- but kept the letter .
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and C.W., his seventh assignment of error with respect to the extortion letter is moot
and will not be addressed.
Counts 10 and 11 of the indictment charged Appellant with two unspecified acts
of sexual abuse 1 st against H.A. ; counts 15 and 16 charged him with two unspecified
acts of UTM 1 st with H.A. At trial, the Commonwealth conceded that the conduct
supporting the charges of sexual abuse 1 st duplicated the conduct supporting the
charges of UTM 1 st. The upshot was that the trial court instructed the jury on two
counts of UTM 1 st with sexual abuse 1 st as a lesser included offense of each count. As
stated, under these instructions, the jury found Appellant guilty of one count of UTM 1 st
and one count of sexual abuse 1 st. We now affirm Appellant's conviction of sexual
abuse 1 st and reverse Appellant's conviction of UTM 1 st and remand that count of the
indictment for a new trial on the lesser offense of sexual abuse 1 st.
I. SUFFICIENCY OF THE EVIDENCE.
H.A. lived with her parents in Breathitt County and visited with her grandmother
and Appellant in Perry County on weekends . The incidents giving rise to these charges
occurred during the summer of 1998 when H.A. was eight years old. H.A. testified that
Appellant took her into his bedroom and "touched me on my private parts . . . my breast
and my vagina." She testified to another occasion when Appellant digitally penetrated
her vagina with his finger, which she described as painful. She testified that there were
other occasions when he rubbed her breasts and vagina. She testified that she "did not
want him to do it [these acts]." She also described an incident when Appellant
masturbated in her presence while they were inside the cab of his pickup truck. She
stated that Appellant tried to induce her to touch his penis on that occasion but that she
refused. Dr. Elizabeth Spencer-Allen testified that she examined H.A. on March 8,
1999; when H.A. was nine years old, and found that H.A.'s anterior hymen was missing.
She opined that this injury could have been caused by digital penetration .
KRS 530.064(1) provides:
A person is guilty of unlawful transaction with a minor in'the first degree
when he knowingly induces, assists or causes a minor to engage in illegal
sexual activity. . . . except those offenses involving minors in KRS Chapter
531 [pomography and sexual exploitation of .minors] and KRS 529.030
[prostitution] .
We analyzed this statute at length in Youngv. Commonwealth , 968 S .W.2d 670
(Ky. 1998), overruled on other grounds by Matthews v. Commonwealth , 163 S.W.3d 11,
26-27 (Ky. 2005), concluding that "any sexual activity with a child less than twelve years
of age is illegal, regardless of the age of the perpetrator." Id . a t 672. However, we also
concluded that "to induce" "signifies a successful persuasion; that the act has been
effective and the desired result obtained," id. (quoting State v. Miller, 252 A.2d 321, 325
(Me. 1969)); and that "'to engage' denotes action and means 'to employ one's self; to
take part in.'" 1d. (quoting Black's Law Dictionary 528 (6th ed. 1990)). "Thus, to
complete the offense, the minor must consent to and actively participate in the activity."
Id! By H.A.'s own account that she "did not want him to do it," she did not consent to
and actively participate in Appellant's fondling of her breasts and vagina or his digital .
penetration of her vagina. She specifically testified with respect to the masturbation
incident that Appellant attempted to induce her to touch his penis but that she refused to
engage in that activity. Thus, she did not testify to any activity that could constitute a
violation of KRS 530.064(l).
KRS 510.110(1) provides in pertinent part:
2 "Consent," as used here, does not mean "legal consent." The law deems a person
under the age of sixteen to be incapable of consent. KRS 510.020(3)(a) . As used here,
it means "to willingly engage in" the activity.
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A person is guilty of sexual abuse in the first degree when :
(b)
He subjects another person to sexual contact who is incapable of
consent because he:
2. Is less than twelve (12) years old . . . .
"Sexual contact" is defined as "any touching of the sexual or other intimate parts
of a person done for the purpose of gratifying the sexual desire of either party." KRS
510.010(7). The 1974 Commentary to KRS 510.010(7) explains that "sexual contact"
includes "such acts as the manipulation of the genitals, digital penetration of the vagina,
and non-consensual fondling of a woman's breast." Professors Lawson and Fortune
assert matter-of-factly that "[djigital penetration of the vagina . . . is sexual abuse."
Robert G. Lawson & William H . Fortune, Kentucky Criminal Law § 11-6(a)(1), at 437
(1998).
Thus, all of the sexual conduct described by H.A., except the masturbation
incident, constituted sexual abuse 1 st, not UTM 1 st. While the evidence of the
masturbation incident would have supported an instruction on a lesser included offense
of criminal attempt to commit UTM 1 st, KRS 506.010(1 xb) & (2); Younq, 968 S .W.2d at
673-74, an instruction on that offense was neither requested nor given. We note in
passing that logic supports the legislature's determination to assign a more severe
penalty to a violation of KRS 530.064(1)(b) than to a violation of KRS 510.110(1)(b),
thus concluding that it is more egregious to induce a child to willingly engage in illegal
sexual activity than to subject an unwilling child to illegal sexual conduct .
The Commonwealth argues that the issue was improperly preserved because
Appellant did not specifically object to the separate instructions on UTM 1 st. "The
proper procedure for challenging the sufficiency of evidence on one specific count is an
objection to the giving of an instruction on that charge ." Seay v. Commonwealth , 609
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S.W.2d 128, 130 (Ky. 1980). However, that rule applies only when there are two or
more charges and the. evidence is sufficient to support one or more, but not all, of the
charges. In that event, the allegation of error can only be preserved by objecting to the
instruction on the charge that is claimed to be insufficiently supported by the evidence:
Miller v. Commonwealth , 77 S .W.3d 566,577 (Ky. 2002); Campbell v. Commonwealth ,
564 S.W.2d 528, 530-31 (Ky. 1978); Kimbrough v. Commonwealth , 550 S.W.2d 525,
529 (Ky. , 1977) . Here, on the other hand, neither charge of UTM 1 st was sufficiently
supported by the evidence. Thus, the error was preserved by Appellant's timely
motions for a directed verdict of acquittal on both charges.
The Commonwealth argues that Appellant's motion for a directed verdict at the
close of the Commonwealth's case was only a general motion to dismiss and did not
specify the grounds for the motion as required by Pate v. Commonwealth , 134 S.W.3d
593, 597-98 (Ky. 2004). The in-chambers hearing on the motions made at the
conclusion of the Commonwealth's evidence with respect to all sixteen counts of the
indictment consumes twenty-eight pages of the transcript of evidence . Defense counsel
argued for a directed verdict of acquittal with respect to all charges pertaining to all
three alleged victims, specifically citing as grounds that the evidence was insufficient for
a reasonable juror to find guilt. Furthermore, Appellant had previously filed an in liming
motion to dismiss the UTM 1 st counts on the basis of the holding in Young v.
Commonwealth . In the renewal of his motion at the conclusion of all the evidence,
defense counsel again moved to dismiss both counts .of UTM 1st, again directing the
trial court to Young as authority for his motion. We conclude that the specificity
requirement enunciated in Pate was more than satisfied by Appellant in this case.
The conviction of UTM 1 st must be vacated and that count reversed for a new
trial on the lesser included offense of sexual abuse 1 st. In doing so, we note that the
trial court's failure to instruct the jury on criminal attempt to commit UTM 1 st as a lesser
included offense precludes charging Appellant with that offense as the primary offense'
at retrial. KRS 505.040(1)(a) provides:
Although a prosecution is for a violation of a different statutory provision
from a former prosecution . . . , it is barred by the former prosecution
under the following circumstances:
(1)
The former prosecution resulted in an acquittal, a conviction which
has not subsequently been set aside, or a determination that there
was insufficient evidence to warrant a conviction, and the
subsequent prosecution is for:
(a)
An offense of which the defendant could have been
convicted at the first prosecution . . . .
(Emphasis added.) Specifically:
KRS 505 .040(1)(a) prohibits reprosecution for "lesser included
offenses." For example, a defendant acquitted of murder may not be
reprosecuted for assault if the latter charge involves the same conduct
that was involved in the murder prosecution; similarly, one who is
convicted of robbery may not be reprosecuted for theft for a taking of the
same property; and, after a directed verdict of acquittal upon a burglary
charge, a defendant could not be reprosecuted for criminal trespass for
the entry that was involved in the initial prosecution.
Lawson & Fortune, supra, § 6-3(e)(3), at 249 (footnotes omitted) . Therefore, the
proscription against double jeopardy precludes the Commonwealth from prosecuting
Appellant for criminal attempt to commit UTM 1 st for the conduct at issue.
II. INSTRUCTIONS ON SEXUAL ABUSE 1ST.
Appellant asserts that it was error to instruct the jury on sexual abuse 1 st as a
lesser included offense of UTM 1 st, contending that sexual abuse 1 st was simply a
separate uncharged offense for which no instruction was warranted . Kotila v.
Commonwealth , 114 S.W.3d 226, 242 n.3 (Ky. 2003), overruled on other grounds by
Matheney v. Commonwealth , 2002-SC-0920-MR,
S.W.3d
(Ky. Mar. 23, 2006);
Houston v. Commonwealth, 975 S.W.2d 925, 929 (Ky. 1.998). However, as noted in the
preceding analysis, the only element that distinguishes UTM 1 st from sexual abuse 1 st
is the victim's willing participation - in the illegal conduct . If there is evidence to support a
finding of willing participation, which the jury could believe or disbelieve, sexual abuse
1 st is a lesser included offense of UTM 1 st. In fact, with respect to one of the charges
of UTM 1 st, the jury obviously did not believe that H.A. was a willing participant and
convicted Appellant of the lesser offense of sexual abuse 1 st.
Ill. DOUBLE JEOPARDY.
Appellant asserts that he was convicted of two offenses for the same conduct,
thus violating the proscription against double jeopardy. However, H.A. testified to at
least five separate instances of sexual abuse, viz: (1) fondling her breasts in the
bedroom ; (2) fondling her genitalia in the bedroom; (3) rubbing her breasts on another
occasion; (4) rubbing her genitalia on another occasion; and (5) digitally penetrating her
vagina on another occasion. These separate instances do not constitute a "continuing
course of conduct ." KRS 505.020(1)(c); Williams v. Commonwealth, 178 S.W.3d 491,
494-95 (Ky. 2005) (defendant properly convicted of separate offenses pertaining to
each of multiple nude photographs of child) ; Welbom v. Commonwealth, 157 S.W.3d
608, 612 (Ky. 2005) (defendant properly convicted of three counts of assault for
shooting victim three times over brief period of time); Van Dyke v. Commonwealth , 581
S .W.2d 563, 564 (Ky. 1979) (defendant properly convicted of two rapes and one
sodomy perpetrated against the same victim over brief period of time); Hennemeyer v.
Commonwealth , 580 S.W.2d 211, 214-15 (Ky. 1979) (each shot fired at pursuing
vehicle constituted a separate offense of wanton endangerment) .
The error here was the failure of the jury instructions to factually differentiate
between the separate offenses . Miller v. Commonwealth, 77 S.W.3d 566, 576 (Ky.
2002). However, Appellant did not object to the instructions on that ground; thus, the
error is not preserved for appellate review. Id . at 576-77 .
IV. DISCOVERY VIOLATION .
.
The trial court entered a discovery order that essentially required the prosecutor
to provide "open file" discovery. He also granted Appellant's motion for a bill of
particulars . With respect to H.A., Appellant complains that the Commonwealth did not
disclose in its bill of particulars or otherwise that H.A. would testify about the
masturbation incident. However, a bill of particulars furnishes the accused with the
details supporting the charged offense . RCr 6.22; Brown v. Commonwealth , 378
S .W.2d 608, 610 (Ky. 1964) ("The function of the bill of particulars in a criminal case is
to provide information fairly necessary to enable the accused to understand and prepare
his defense against the charges without prejudicial surprise upon trial. It is
complementary to the shorter form of indictment."), overruled on other grounds by
Payne v. Commonwealth, 656. S.W.2d 719 (Ky. 1983). As noted above, the
masturbation incident did not constitute either of the charged offenses, i.e. , UTM 1 st or
sexual abuse 1 st; evidence of the masturbation incident was simply evidence of other,
uncharged sexual misconduct perpetrated by Appellant against H.A., i.e., indecent
exposure in the first degree, KRS 510.148, and/or criminal attempt to commit UTM 1 st.
Appellant does not claim that the evidence was improperly admitted under KRE 404(b).
See Noel v. Commonwealth, 76 S.W.3d 923, 931 (Ky. 2002); Price v. Commonwealth ,
31 S.W .3d 885, 888 n.4 (Ky. 2000) . Appellant's other discovery complaint pertains to
the Commonwealth's failure to provide alleged exculpatory evidence with respect to the
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charges pertaining to abuse of M.W. That issue was mooted when those charges were
dismissed .
V. PRIOR CONSISTENT STATEMENTS .
Appellant asserts that Dr. SpencerAllen and a social worker, Danette Berry,
were improperly permitted to bolster H.A.'s testimony. Dr. Spencer-Allen related the
history given to her by H .A., including that Appellant had fondled her, touching her
breasts and genitalia. There was no contemporaneous objection to this testimony.
Appellant had filed an in limine motion to suppress the doctor's report and to preclude
the Commonwealth from calling her as a witness on grounds of bias. However, there
was no specific motion to suppress the history related to Dr. Spencer-Allen by H.A. At
trial, Appellant objected to the doctor's opinions on grounds that she was only an
examining physician, not a treating physician . However, that distinction was abolished
by the adoption of KRE 803(4). Garrett v. Commonwealth, 48 S .W.3d 6, 10-11 (Ky.
2001). Since Appellant did not object at trial to Dr. Spencer-Allen's testimony that H.A.
identified him as the perpetrator, we need not address the propriety of that testimony.
However, see Edwards v. Commonwealth, 833 S.W.2d 842, 844-45 (Ky. 1992) (holding
statements of identity made to physician for purposes of diagnosis or treatment
admissible in cases where abused child is being treated for psychological injuries and
perpetrator is a family member) .
Danette Berry testified that she felt as though H.A. "was being sincere" during
their conversations . Appellant's objection on grounds of "bolstering" was sustained, and
the trial court admonished the jury to disregard the testimony. There was no motion for
a mistrial; thus, Appellant received all the relief he requested . Later, Berry testified that
she had identified Appellant as the perpetrator in H.A.'s case. Again, Appellant's
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objection was sustained. This time, he moved for a mistrial. The trial court overruled
the motion but offered to give the jury another curative admonition, which defense
counsel refused.
Whether to grant a mistrial is within the sound discretion of the trial court,
and such a ruling will not be disturbed absent an abuse of that discretion.
A mistrial is an extreme remedy and should be resorted to only when there
appears in the record a manifest necessity for such an action or an urgent
or real necessity. The error must be of such character and magnitude that
a litigant will be denied a fair and impartial trial and the prejudicial effect
can be removed in no other way . .. . .
Bray v. Commonwealth, 177 S.W .3d 741, 752 (Ky. 2005) (citations and quotations
omitted) . This is the type of error that is easily cured by an admonition . Graves v.
Commonwealth , 17 S.W.3d 858, 865 (Ky. 2000). A jury is presumed to follow an
admonition to disregard evidence; thus, the admonition cures any error. Mills v.
Commonwealth , 996 S.W.2d 473,485 (Ky. 1999).
There are only two circumstances in which the presumptive efficacy of an
admonition falters : (1) when there is an overwhelming probability that the
jury will be unable to follow the court's admonition and there is a strong
likelihood that the effect of the inadmissible evidence would be
devastating to the defendant; or (2) when the question was asked without
a factual basis and was "inflammatory" or "highly prejudicial."
Johnson v. Commonwealth, 105 S.W.3d 430, 441 (Ky. 2003) (citations omitted). The
error encountered here could have been removed by a curative admonition, which the
trial court offered but which Appellant refused. Thus, there was no manifest necessity
for a mistrial, and the trial court did not abuse its discretion in denying the motion.
VI. SEPARATION OF JURORS.
After the jury had been deliberating its guilt-phase verdicts for some time, but
before the jury returned to open court, the foreperson of the jury left the jury room and
walked down the hall to the judge's office, apparently intending to personally deliver the
jury's verdicts to the judge. The judge's secretary would not accept the verdicts and
directed the foreperson to return to the jury room, which he did. Shortly thereafter, all of
- the jurors returned to the courtroom and the foreperson delivered the verdicts to the
judge in open court. At a hearing held on the issue, the trial court was able to account
for the foreperson's whereabouts during his entire absence from the jury room, and it
does not appear that the foreperson spoke with anyone except the judge's secretary.
Appellant claims this incident warranted a mistrial . We disagree.
Criminal Rule 9.66 provides that jurors deliberating a felony charge
"shall be sequestered unless otherwise agreed by the parties with
approval of the court." That does not mean that each juror must remain
constantly in the presence of the others. If that were so, jurors would not
be permitted to take restroom breaks or to sleep in separate rooms during
an overnight sequestration. The general rule is that a mere temporary
separation of the jury is not grounds for reversal if it appears that no
definite prejudice resulted and there was no opportunity to tamper with the
jurors. 75B Am.Jur.2d Trial § 1505 (1992) . That has long been the rule in
Kentucky.
There is more or less separation in the case of every jury
required to be kept together under the law, it being a well known
fact that it is a matter of practical impossibility to keep all twelve
members of a jury in close contact with each other at all times . . . .
[T]he trend of rulings has been towards a liberal application and a
construction that a substantial compliance with the statute was
sufficient unless there was some fact or circumstance indicating
that a juror had been approached or an opportunity afforded to
influence him.
Lawson v. Commonwealth, 278 Ky. 1, 127 S.W.2d 876, 877 (1939)
(citations omitted) .
Gabow v. Commonwealth, 34 S.W.3d 63, 73 (Ky. 2000). See also Smith v.
Commonwealth, 366 S .W.2d 902, 906 (Ky. 1962); Anderson v. Commonwealth, 353
S.W.2d 381, 388 (Ky. 1962) (jurors properly permitted to separate by being allowed to
make telephone calls to relatives concerning their personal needs during overnight
sequestration), cert. denied, 369 U.S . 829, 82 S.Ct. 847, 7 L.Ed.2d 795 (1962);
Hendrickson v. Commonwealth, 259 S .W.2d 1, 5-6 (Ky. 1953) (jurors properly permitted
- 1 2-
to stay in separate hotel rooms during overnight recess); Marcum v. Commonwealth,
256 S .W.2d 22, 23 (Ky. 1953) (absent a showing or claim of misconduct, temporary
absence of two jurors following restroom break did not constitute improper separation).
Accordingly, we affirm Appellant's conviction of sexual abuse in the first degree
and the sentence imposed therefor, and reverse his conviction of unlawful transaction
with a minor in the first degree and the sentence imposed therefor, and remand the
latter count of the indictment to the Perry Circuit Court for a new trial on the' lesser
included offense of sexual abuse in the first degree.
Lambert, C.J .; Graves, Johnstone, Roach, and Scott, JJ., concur.
Wintersheimer, J ., concurs with so much of the opinion that affirms the conviction of
first-degree sexual abuse, but dissents from the reversal of the conviction of unlawful
transaction with a minor because the evidence supported conviction under both
charges ; the jury instructions were correct and there was no double jeopardy.
COUNSEL FOR APPELLANT:
Damon L. Preston
Appeals Branch Manager
Department of Public Advocacy
Suite 301
100 Fair Oaks Lane
Frankfort, KY 40601-1109
COUNSEL FOR APPELLEE:
Gregory D. Stumbo
Attorney General
State Capitol
Frankfort, KY 40601
James Havey
Criminal Appellate Division
Office of Attorney General
1024 Capital Center Drive
Frankfort, KY 40601
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