Rodgers v. Commonwealth
Full Opinion (html_with_citations)
Opinion of the
Frank Rodgers appeals as a matter of right from a November 22, 2006 Judgment of the Jefferson Circuit Court convicting him of first-degree manslaughter and sentencing him as a second-degree persistent felon to twenty years in prison. The Commonwealth alleged that shortly after midnight on August 22, 2004, Rodgers and his co-defendant, Deshawn Eddings, shot and killed Dewhon McAfee in the course of an altercation that erupted in the backyard of McAfeeâs home on South 28th Street in Louisville. Two eyewitnesses identified Rodgers and Eddings as McAfeeâs assailants, and Rodgers himself, in his post-arrest statement to Louisville Metro Police Detective Leigh Whelan, admitted having shot at McAfee, but claimed that he did so in self-defense and without intending to kill. On appeal, Rodgers contends (1) that he was entitled to be tried separately from Eddings; (2) that the trial court misapplied the law of self-defense; (3) that one of the Commonwealthâs peremptory juror strikes violated Batson v. Kentucky, 476 U.S. 79, 106 S.Ct. 1712, 90 L.Ed.2d 69 (1986); (4) that the petit jury was not chosen from a fair cross section of the community; and (5) that the jury instructions understated the Commonwealthâs burden of proof and commented on Rodgersâs silence. Finding no reversible error, we affirm.
RELEVANT FACTS
The Commonwealthâs case rested largely on the testimonies of two of McAfeeâs friends, Myrna Palmore and Tamara Eu-banks. They testified that on the evening of August 21, 2004, they joined McAfee for a barbeque in his backyard and that later in the evening Eubanks, who was familiar with Rodgers and Eddings, invited them to join the get-together. Rodgers and Ed-
Not long after midnight, however, according to Palmore, Eubanks went into the house briefly and while she was gone McAfee suddenly stood up and angrily asked Rodgers, âWhat did you say to me?â A heated argument ensued between the two men. Palmore testified that McAfee threatened to âwhupâ Rodgers, at which point she got between them and urged McAfee to calm down. Eubanks testified that she returned to the backyard to find McAfee and Rodgers arguing and that she joined Palmore, who was standing between the men, urging Rodgers to leave. During the argument Rodgers apparently backed out of the backyard and along the side of the house toward the front. When he had nearly reached the front yard, both men shoved the women aside and, according to Palmore and Eubanks, Rodgers produced a gun and fired several shots at McAfee. Palmore remembered four to eight shots; Eubanks remembered five. A neighbor who overheard the arguing testified that she heard three shots in rapid succession. Eubanks testified that McAfee fell to the ground and that Eddings, who had remained toward the back of the house during the argument, then came forward, pulled out a gun, and fired two additional shots at the prone McAfee. Palmore testified, however, that McAfee remained standing until Eddings produced a gun and shot at him from behind. According to the women, Rodgers and Eddings then both drove away in Rodgersâs car. McAf-ee died at the hospital later that morning.
The medical examiner testified that McAfee had been shot three times, twice superficially â in the lip and in the shoulder â and once fatally. The fatal shot entered McAfeeâs lower left side, punctured his stomach and diaphragm, and exited his right side. The examiner recovered one of the bullets, which, according to ballistics experts, matched either of the two 9 mm shell casings found at the scene.
The Commonwealth also introduced portions of the statements Eddings and Rodgers gave to Detective Whelan upon their arrest. Prior to trial the statements were redacted in an attempt to comply with the dictates of Bruton v. United States, 391 U.S. 123, 88 S.Ct. 1620, 20 L.Ed.2d 476 (1968). With respect to both defendants, Detective Whelan quoted or paraphrased from the redacted versions. During Ed-dingsâs police interview, he admitted being present at the time of the shooting, admitted that Rodgers and McAfee argued, and admitted that he heard gunfire and saw flashes from the barrel of a gun. He denied, however, firing any shots himself, claimed not to know whether Rodgers had used a gun, denied that either he or Rodgers had had a gun, and denied leaving with Rodgers after the shooting, claiming that he ran from the scene on foot. Based on Eddingsâs redacted statement, Detective Whelan testified simply that Eddings told her he had been present, had heard an argument, and had heard and seen gunfire. On cross-examination by Eddings, she admitted that Eddings had denied firing any shots.
During Rodgersâs interview, he admitted being present, admitted arguing with McAfee, and admitted shooting at McAfee, but he claimed that McAfee was the aggressor and that he did not know what had sparked McAfeeâs anger. He further claimed that at the height of the argument McAfee had produced a gun that they had
Neither Rodgers nor Eddings testified, but in closing argument Rodgers argued that he shot at McAfee in self-defense and under extreme emotional disturbance. Eddings argued that he had not shot at all. The jury instructions reflected those defenses. As noted, the jury found Rodgers guilty of first-degree manslaughter. It could not reach a verdict as to Eddings. In exchange for Rodgersâs agreement to testify at Eddingsâs retrial, the thirty-year enhanced sentence recommended by the jury was reduced to twenty years.
ANALYSIS
I. The Trial Court Did Not Abuse Its Discretion by Joining Rodgersâs and Eddingsâs Trials.
Rodgersâs first contention on appeal is that he was entitled to be tried separately from Eddings and that them joint trial was rendered unfair by the use of their redacted statements. The use of Eddingsâs statement, he maintains, deprived him of his right to cross-examine adverse testimony, and the use of his own statement deprived him of his right to present a defense. The use of neither statement entitles Rodgers to relief.
Rule of Criminal Procedure (RCr) 6.20 permits the joinder for trial of two or more defendants if âthey are alleged to have participated in the same act or transaction or in the same series of acts or transactions constituting an offense or offenses.â Joint trials are a mainstay of our system, as they give the jury the best perspective on all the evidence and thus increase the likelihood of proper verdicts and avoid the possibility of inconsistent ones. Conflicting versions of what happened, we have thus noted, âis a reason for rather than against a joint trial.â Shepherd, v. Commonwealth, 251 S.W.3d 309, 313 (Ky.2008) (quoting from Caudill v. Commonwealth, 120 S.W.3d 635 (Ky.2003)). RCr 9.16, on the other hand, requires that trials be severed âif it appears that a defendant or the Commonwealth is or will be prejudicedâ by the joinder. We review a trial courtâs denial of a motion to sever under the abuse of discretion standard, Shepherd, supra.
A. The Introduction of Eddingsâs Redacted Admissions Did Not Require Severance or Deprive Rodgers of a Fair Trial.
As noted, Rodgers sought severance on two grounds. He argued first that the Commonwealthâs use of Eddingsâs statement to Detective Whelan would violate his (Rodgersâs) Confrontation Clause right to cross-examine adverse testimony. He correctly observed that in Crawford v. Washington, 541 U.S. 36, 124 S.Ct. 1354, 158 L.Ed.2d 177 (2004), the United States Supreme Court held that an unavailable declarantâs out-of-court testimonial statement offered against a defendant is admissible only if the defendant has had a prior opportunity to cross-examine the declar-ant. In the context of a joint trial, therefore, âthe pretrial confession of one [defendant] cannot be admitted against the other unless the confessing defendant takes the
If, however, the confession is redacted so as to remove all reference to the co-defendant(s), including obvious inferential references, then the confession may be admitted against the confessor. Richardson, supra; Gray v. Maryland, 523 U.S. 185, 118 S.Ct. 1151, 140 L.Ed.2d 294 (1998). Thus Richardson concluded that âthe Confrontation Clause is not violated by the admission of a nontestifying code-fendantâs confession with a proper limiting instruction when, as here, the confession is redacted to eliminate not only the defendantâs name, but any reference to his or her existence.â 481 U.S. at 211, 107 S.Ct. 1702. Under these latter cases, the Commonwealth proposed to redact Eddingsâs statement so as to remove all reference to Rodgers and to introduce the statement against Eddings alone.
First, we agree with the trial court that Crawford did not implicitly overrule Richardson and Gmy. If the Supreme Court had intended such a major departure from its recent precedent it would have said so expressly and not left it to implication.
Alternatively, Rodgers maintains that the redacted statement here did not meet the Richardson/Gray standard. In Gray, the Supreme Court held that in a joint trial, for a pre-trial statement to be admissible against a defendant/declarant under Richardson, the statement must be redacted so as to remove not just express reference to any other defendant, but also indirect references, such as omissions from the statement, which âobviously refer directly to someone, often obviously the defendant, and which involve inferences that a jury ordinarily could make immediately, even were the confession the very first item introduced at trial.â 523 U.S. at 196, 118 S.Ct. 1151. Rodgers contends that although Eddingsâs statement was redacted to remove any express reference to Rodgers, the portions of Eddingsâs statement introduced at trial wherein he admitted that he traveled by car to McAfeeâs house and that he witnessed an argument and heai'd and saw gunfire, obviously imply the existence of a driver and a shooter and point immediately, in this two defendant case, to Rodgers as the unnamed individual who occupied those roles.
We need not decide, however, whether the admission of these portions of Eddingsâs statement amounted to a Bru-ton error, for even if it did, Bruton errors are subject to harmless error analysis, Shepherd, supra, and any error here was clearly harmless beyond a reasonable doubt. Sparkman v. CommontueaUh, 250 S.W.3d 667 (Ky.2008) (applying the âharmless beyond a reasonable doubtâ standard to a Confrontation Clause violation). Not only did Palmore and Eubanks testify that Rodgers drove to McAfeeâs house, argued with McAfee, and shot at him, but Rodgersâs own statement included the same admissions. Eddingsâs statement, therefore, even if its redaction was insufficient to remove all facial implication of Rodgers, as required by Gray, was harmlessly cumulative and so does not entitle Rodgers to relief.
B. The Limited Introduction of Rodgersâs Redacted Statement Did Not Infringe Upon His Right to Present a Defense.
Rodgers also sought severance on the ground that the Commonwealthâs proposed use of his own statement threatened to violate his right to present a defense. To the extent that Rodgersâs contention is based on the redaction from his statement of any reference to Eddings and thus on his inability to use the statement to point the finger at Eddings, we rejected such a contention in Shepherd,, supra. That is not the real thrust of Rodgersâs contention, however.
The Commonwealth proposed to present to the jury Rodgersâs admission that he shot at McAfee, but not to present those portions of his statement wherein he described the shooting as the culmination of an assault initiated by McAfee and a struggle over McAfeeâs gun. Rodgers argued
Obviously, this is not truly a severance issue, as the same question would have arisen even had Rodgers been tried alone. Nevertheless, although not preserved by Rodgersâs severance motion, the issue was preserved during trial when Detective Whelan did indeed testify that Rodgers admitted shooting at McAfee, and over Rodgersâs objection the trial court limited Rodgersâs cross-examination to the following portion of his statement, the portion that contained the admission:
Rodgers: So I was standing here. He just ran up and grabbed me, and like wrestling. Then all of a sudden, he came out, seemed like he had a gun here. Then we was like wrestling over the gun. I remember that. I was like, âMan, get off of me, man; just get off of me, man. I donât want no problems. Iâm trying to leave, man, get off me.â Then the gun just went off.
Whelan: Okay.
Rodgers: Boom! I heard one shot, and I didnât know where it came to. I was protecting myself. I didnât know if I was hit.
Whelan: Um-hmm.
Rodgers: We was wrestling, and [he] had me. Somehow I managed to grab the gun out of his hand, and, I just remember, I yanked it back, like that.
Whelan: Okay.
Rodgers: And I shot at his leg.
Whelan: Okay.
Rodgers contends that he should have been permitted to ask the detective about other self-defense portions of his statement, portions, for example, in which he claimed that McAfee threatened to kill him and in which he described himself as terrified by McAfeeâs assault. We disagree.
As the Commonwealth noted during trial, the statements Rodgers made during his interrogation were inadmissible hearsay â admissible when offered by the Commonwealth as admissions of a party opponent under KRE 801 (A) (b), but not admissible when offered by Rodgers himself. Rodgers argued, however, that KRE 106, the so-called rule of completeness, trumped the hearsay rule in this instance and permitted him to introduce those portions of his statement which would place the portion introduced by the Commonwealth into context and so prevent an unfair use of his âI shot at himâ admission. We addressed this situation in Schrimsher v. Commonwealth, 190 S.W.3d 318 (Ky. 2006), where we explained that
a party purporting to invoke KRE 106 for the admission of otherwise inadmissible hearsay statements may only do so to the extent that an opposing partyâs introduction of an incomplete out-of-court statement would render the statement misleading or alter its perceived meaning.... The completeness doctrine is based upon the notion of fairnessâ namely, whether the meaning of the included portion is altered by the excluded portion. The objective of that doctrine is to prevent a misleading impression as a result of an incomplete reproduction of a statement. This does not mean that by introducing a portion' of a defendantâs confession in which the defendant admits the commission of the criminal offense, the Commonwealth opens the door for the defendant to use the remainder of that out-of-court statement for the purpose of asserting a defense without subjecting it to cross-examination.
190 S.W.3d at 330-31 (emphasis in original). The trial court did not abuse its
On appeal, Rodgers further contends that the Due Process Clause of the United States Constitution also trumps the hearsay rule and that fundamental fairness required that he be allowed to introduce the exculpatory portions of his statement to Detective Whelan. He relies on Chambers v. Mississippi, 410 U.S. 284, 93 S.Ct. 1038, 35 L.Ed.2d 297 (1973), in which the Supreme Court held that in certain âcircumstances, where constitutional rights directly affecting the ascertainment of guilt are implicated, the hearsay rule may not be applied mechanistically to defeat the ends of justice.â Id. at 302, 93 S.Ct. 1038.
At issue in Chambers was the exclusion of certain statements by a non-defendant who had repeatedly admitted to friends and colleagues that he had committed the murder for which the defendant was on trial. The trial court excluded those statements as hearsay. The Supreme Court reversed, explaining that because the hearsay statements were âcritical evidenceâ for the defense and the circumstances under which the statements were made âprovided considerable assurance of their reliability,â their exclusion violated due process. Id. at 300-02, 93 S.Ct. 1038.
Because Rodgers did not raise the Chambers issue at trial, our review is limited to determining whether the exclusion of his additional exculpatory statements amounted to palpable error. RCr 10.26. It did not. Rodgersâs hearsay statements were not critical to his defense, since he was free to testify on his own behalf if he so desired, and unlike the third-party confession in Chambers, which in that case was clearly against the penal interest of the confessor, Rodgersâs self-excusing statement to police was not made under circumstances giving âconsiderable assurance of [its] reliability.â On the contrary, Rodgers evaded arrest for some three months after the shooting, by which time he had had ample opportunity to fabricate a defense, a circumstance underscoring the need for cross-examination of his self-defense claims, not establishing the propriety of dispensing with it. We have considered Rodgersâs other unpreserved arguments and find them similarly inapt. The trial court did not err, in other words, by excluding any additional exculpatory portions of Rodgersâs statement to Detective Whe-lan, nor, as discussed above, did it abuse its discretion by denying Rodgersâs motion for a separate trial.
II. The Trial Court Correctly Limited Application of the 2006 Self-Defense Amendments.
Effective July 12, 2006, after Rodgersâs alleged 2004 crime but before his September 2006 trial, the Kentucky General Assembly joined a trend urged by the National Rifle Association and, through Senate Bill 38, extensively amended the self-defense
Pursuant to this latter provision, Rodgers claimed immunity from prosecution, moved to have the charges against him dismissed, and sought an evidentiary pretrial hearing to address the immunity question. Denying Rodgersâs motion to dismiss, the trial court ruled that the new immunity statute did not apply retroactively to Rodgersâs case but that even if it did a review of the discovery record was sufficient to determine that Rodgersâs assertion of self-defense was significantly controvei'ted, precluding his immunity. Rodgers contends that these rulings were incorrect: that the new self-defense legislation does apply retroactively and that he was entitled to an evidentiary hearing to address his assertion of immunity. Although we agree with Rodgers that the immunity statute (KRS 503.085) applied to his trial, the trial court appropriately addressed the immunity question and otherwise correctly determined that the new self-defense laws do not apply retroactively.
A. The Substantive Provisions of the 2006 Self-Defense Law Apply Prospectively Only.
As the parties correctly note, our savings statute, KRS 446.110, one of the oldest statutes carried forward into the current Kentucky Revised Statutes,
[n]o new law shall be construed to repeal a former law as to any offense committed against a former law, ... or in any way whatever to affect any such offense or act so committed or done, ... before the new law takes effect, except that the proceedings thereafter had shall conform, so far as practicable, to the laws in force at the time of such proceedings. If any penalty, forfeiture or punishment is mitigated by any provision of the new law, such provision may, by the consent of the party affected, be applied to any judgment pronounced after the new law takes effect.
This statute marks a departure from the common law, under which the repeal of a statute describing a criminal offense precluded prosecution for outstanding violations of the statute which had occurred prior to repeal. Commomvealth v. Louis
With one exception, the new self-defense legislation effects substantive changes to our self-defense law, not changes to penalty provisions or to procedures. As noted above, the new amendments alter the circumstances constituting self-defense and create certain presumptions which will alter the burden of proof in self-defense cases. Those are amendments to the substantive law. University of Louisville v. OâBannon, 770 S.W.2d 215, 217 (Ky.1989) (âWhether a particular circumstance constitutes a cause of action [or conversely a defense] ... is a matter of substantive law.â); Commonwealth of Kentucky Department of Agriculture, 30 S.W.3d at 169 (âThe change in the burden of proof was ... a change in substantive law.â) Under the savings statute therefore, absent the General Assemblyâs contrary direction, the changes to substantive law apply prospectively only.
Rodgers asserts, nevertheless, that the 2006 amendments to Kentuckyâs self-defense provisions should apply retroactively in their entirety. He relies on the last sentence of the savings statute, the provision permitting retroactive application of amendments that mitigate punishments, and argues that by liberalizing the law of self-defense the new amendments tend to âmitigateâ the effects of the former law. Clearly, however, this construction of the savings statute would swallow entirely the rule against retroactivity. Under Rodgersâs construction, any changes to the criminal laws that either narrowed or repealed an offense or created or enlarged a defense â plainly substantive changes altering the rights and duties of citizensâ
Rodgersâs construction, moreover, has already been rejected by our cases applying the savings statute to legislation that repeals an offense altogether, the ultimate âmitigationâ in Rodgersâs sense. Commonwealth v. Louisville & N.R. Co., supra, (prosecution could proceed for violation of repealed statute that had prohibited shipping or transporting liquor into âdryâ territories except in certain limited circumstances). If one remains subject to prosecution for the pre-repeal violation of a repealed criminal statute, then one must also remain subject to the pre-amendment version of a statute amended to strengthen a defense. In short, the new substantive self-defense provisions adopted in 2006 are not mitigating penalty provisions under KRS 446.110 and do not apply retroactively to Rodgersâs case.
Finally, with respect to the new substantive portions of the self-defense statutes, the rule of lenity does not apply. This rule, often invoked by criminal defendants seeking a more favorable construction of a statute, was recently described by the United States Supreme Court as requiring âambiguous criminal laws to be interpreted in favor of the defendants subjected to them.â United States v. Santos, - U.S. -, 128 S.Ct. 2020, 2025, 170 L.Ed.2d 912 (2008). Most recently, in White v. Commonwealth, 178 S.W.3d 470 (Ky.2005), this Court unanimously invoked the rule to construe the âintentional killing of a public officialâ statutory aggravator which renders a defendant eligible for the death penalty. See also Haymon v. Commonwealth, 657 S.W.2d 239 (Ky.1983) (applying rule in construing statute governing eligibility for probation for certain offenses involving use of a weapon); Commonwealth v. Stinnett, 144 S.W.3d 829 (Ky.2004) (applying rule in construing statute regarding jury determination of concurrent/consecutive service of felony sentences). As a rule of construction, the rule of lenity applies only if the statute at issue is genuinely ambiguous and even then only if the ambiguity cannot be resolved by resort to the other traditional rules of construction. United States v. Banks, 514 F.3d 959 (9th Cir.2008); United States v. Gosselin World Wide Moving, N.V., 411 F.3d 502 (4th Cir.2005). The rule of lenity is inapplicable here because there is nothing to construe, i.e., there is no ambiguous language regarding the retroactivity of the new self-defense statutes which requires construction.
B. The Immunity Provision is Procedural and Applies Retroactively to Rodgersâs Prosecution.
The one exception to the bar against retroactive application of the new law is KRS 503.085, the new provision granting immunity to those who justifiably use self-defense:
*753 (1) A person who uses force as permitted in KRS 503.050, 503.055, 503.070, and 503.080 is justified in using such force and is immune from criminal prosecution and civil action for the use of such force, unless the person against whom the force was used is a peace officer, as defined in KRS 446.010, who was acting in the performance of his or her official duties and the officer identified himself or herself in accordance with any applicable law, or the person using force knew or reasonably should have known that the person was a peace officer. As used in this subsection, the term âcriminal prosecutionâ includes arresting, detaining in custody, and charging or prosecuting the defendant.
(2) A law enforcement agency may use standard procedures for investigating the use of force as described in subsection (1) of this section, but the agency may not arrest the person for using force unless it determines that there is probable cause that the force that was used was unlawful. * â * â * â
At least in cases such as this one, that do not involve a peace officer, the immunity provision does not constitute substantive law; it has nothing to do with who is entitled to use self-defense or under what circumstances self-defense is justified. It is, rather, purely procedural, and by prohibiting prosecution of one who has justifiably defended himself, his property or others, it in effect creates a new exception to the general rule that trial courts may not dismiss indictments prior to trial.
Before turning to implementation of the immunity afforded by KRS 503.085, it bears noting that the statute grants immunity to a person who âuses force as permitted in KRS 503.050, 503.055, 503.070, and 503.080â. But KRS 503.055 is a wholly new substantive statute pertaining to âUse of defensive force regarding dwelling, residence, or occupied vehicle â Exceptions.â and, as previously discussed, is not to be applied retroactively. Similarly, the 2006 amendments to KRS 503.050 (self-protection); 503.070 (protection of others); and 503.080 (protection of property) were substantive law changes and are not retroactive. Thus persons whose conduct occurred prior to the July 12, 2006 effective date of these amendments but whose trials were not concluded are entitled to immunity only for actions in conformity with the version of the applicable statute, (i.e. self-protection, protection of others, protection of property) in effect at the time they acted. Application of the pre-2006 self-defense statute presents no real issue here, however, because as the trial court
Specifically, the trial court ruled that even if KRS 503.085 applied to Rodgersâs case, Rodgers was not entitled to dismissal because the discovery record included conflicting evidence as to whether his use of deadly force was justified. Noting that the immunity statute does not specify who bears the burden of proof or what standard of proof applies, the trial court in effect imposed on the Commonwealth a directed verdict standard, which was met, the court held, because the discovery record, in particular Eubanksâs and Palmoreâs statements accusing Rodgers of pulling a gun and firing several times at McAfee, was sufficient to raise a jury question concerning self-defense. Rodgers contends that the trial courtâs use of the discovery record and directed verdict standard failed to comport with KRS 503.085. Relying on People v. Guenther, 740 P.2d 971 (Colo.1987), in which the Supreme Court of Colorado was called upon to fill in the procedural gaps of that stateâs self-defense immunity provision, Rodgers contends that he was entitled to a pre-trial evidentiary hearing at which he would bear the burden of proving by a preponderance of the evidence that his use of deadly force was justified. We disagree.
The trial judgeâs uncertainty regarding how to implement the immunity provision is understandable because the statute offers little guidance. Indeed, the only express indication of legislative intent is in KRS 503.085(2) which provides that immunity must be granted pre-arrest by the law enforcement agency investigating the crime unless there is âprobable cause that the force used was unlawful.â Because the statute defines the âcriminal prosecutionâ from which a defendant justifiably acting in self-defense is immune to be âarresting, detaining in custody and charging or prosecuting,â we can infer that the immunity determination is not confined to law enforcement personnel. Instead, the statute contemplates that the prosecutor and the courts may also be called upon to determine whether a particular defendant is entitled to KRS 503.085 immunity. Regardless of who is addressing the immunity claim, we infer from the statute that the controlling standard of proof remains âprobable cause.â Thus, in order for the prosecutor to bring charges or seek an indictment, there must be probable cause to conclude that the force used by the defendant was not fully justified under the controlling provision or provisions of KRS Chapter 503. Similarly, once the matter is before a judge, if the defendant claims immunity the court must dismiss the case unless there is probable cause to conclude that the force used was not legally justified.
Probable cause is a standard with which prosecutors, defense counsel and judges in the Commonwealth are very familiar although it often eludes definition. Recently, in Commonwealth v. Jones, 217 S.W.3d 190 (Ky.2006), this Court noted the United States Supreme Courtâs definition in Illinois v. Gates, 462 U.S. 213, 232, 103 S.Ct. 2317, 76 L.Ed.2d 527 (1983): â[Probable cause is a fluid concept-turning on the assessment of probabilities in particular factual contexts-not readily, or even usefully, reduced to a neat set of legal rules.â Just as judges consider the totality of the circumstances in determining whether probable cause exists to issue a search warrant, they must consider all of the circumstances then known to determine whether probable cause exists to conclude that a defendantâs use of force was unlawful. If such cause does not exist, immunity
Because immunity is designed to relieve a defendant from the burdens of litigation, it is obvious that a defendant should be able to invoke KRS 503.085(1) at the earliest stage of the proceeding. While the trial courts need not address the issue sua sponte, once the defendant raises the immunity bar by motion, the court must proceed expeditiously. Thus a defendant may invoke KRS 503.085 immunity and seek a determination at the preliminary hearing in district court or, alternatively, he may elect to await the outcome of the grand jury proceedings and, if indicted, present his motion to the circuit judge. A defendant may not, however, seek dismissal on immunity grounds in both courts. Once the district court finds probable cause to believe that the defendantâs use of force was unlawful, the circuit court should not revisit the issue. In the case of a direct submission or where a defendant has elected to wait and invoke immunity in the circuit court, the issue should be raised promptly so that it can be addressed as a threshold motion.
The sole remaining issue is how the trial courts should proceed in determining probable cause. The burden is on the Commonwealth to establish probable cause and it may do so by directing the courtâs attention to the evidence of record including witness statements, investigative letters prepared by law enforcement officers, photographs and other documents of record. Although Rodgers advocates an evidentiary hearing at which the defendant may counter probable cause with proof âby a preponderance of the evidenceâ that the force was justified, this concept finds no support in the statute. The legislature did not delineate an evidentiary hearing and the only standard of proof against which a defendantâs conduct must be measured is the aforementioned probable cause. We decline to create a hearing right that the statute does not recognize and note that there are several compelling reasons for our conclusion.
First, the pretrial evidentiary hearings that are currently conducted, such as suppression hearings, do not involve proof that is the essence of the crime charged but focus instead on issues such as protection of the defendantâs right to be free from unreasonable searches and seizures, right to be represented by counsel and right to Miranda warnings prior to giving a statement. Similarly, a competency hearing addresses the state of the defendantâs mental health and his ability to pai1-ticipate meaningfully in the trial. Neither of these hearings requires proof of the facts surrounding the alleged crime. An evidentiary hearing on immunity, by contrast, would involve the same witnesses and same proof to be adduced at the eventual trial, in essence a mini-trial and thus a process fraught with potential for abuse. Moreover, it would result in one of the elements of the alleged crime (no privilege to act in self-protection) being determined in a bench trial. In RCr 9.26 this Court has evinced its strong preference for jury trials on all elements of a criminal case by providing specifically that even if a defendant waives a jury trial in writing, the court and the Commonwealth must consent to a bench trial. Thus, where probable cause exists in criminal matters the longstanding practice and policy has been to submit those matters to a jury and we find no rational basis for abandoning that stance.
As for the Colorado Supreme Courtâs adoption of an evidentiary hearing approach, there are several fundamental differences in the Colorado statute and KRS 503.085. The Colorado statute in essence, if not in express words, provides âthere shall be immunity in home invasion cases.â
Finally, we note that the precise mechanism for judicial implementation of KRS 503.085 is purely academic as to Rodgers because he has been tried and convicted by a properly instructed jury in a trial with no reversible error. In short, his self-defense claim has been thoroughly examined by both the trial judge under the directed verdict standard and the jury under the courtâs instructions and his entitlement to self-defense has been rejected. While the trial courtâs approach to the immunity issue was not the one outlined by this Court, it was certainly sufficient and Rodgers suffered no discernible prejudice. Indeed if the trial court had divined the procedure outlined here, applying the probable cause standard would have produced the same conclusion, no entitlement to immunity and denial of Rodgersâs motion to dismiss. Accordingly, there was no reversible error in the handling of the immunity determination.
C. Rodgers Was Not Entitled To Additional Self-Defense Jury Instructions.
Rodgers also sought jury instructions based upon the substantive 2006 self-defense amendments, but because those substantive amendments do not apply retroactively to his case the trial court correctly declined to base the instructions on them. Rodgers maintains, however, that even under the prior law he was entitled to an instruction specifying that he had no duty to retreat from McAfeeâs alleged assault, but was authorized âto stand his ground and meet force with force.â He acknowledges that in Hilbert v. Commonwealth, 162 S.W.3d 921 (Ky.2005), we rejected this very claim. There we explained that the Penal Code had incorporated prior Kentucky law concerning retreat and under that law a specific retreat instruction was not required: âAn instruction on self-defense should be in the usual form, leaving the question to be determined by the jury in the light of all the facts and circumstances of the case, rather than in the light of certain particular facts.â 162 S.W.3d at 926 (citing and quoting from Bush v. Commonwealth, 335 S.W.2d 324 (Ky.1960)). Hilbert expressly acknowledged the oft-cited Gibson v. Commonwealth, 237 Ky. 33, 34 S.W.2d 936 (1931) wherein the High Court stated: â[I]t is the tradition that a Kentuckian never runs. He does not have to.â Despite what the Hilbert Court called âthe defiant attitude toward retreat exhibited by the Gibson opinion,â the Court found no sound basis in Kentucky law for giving a âno duty to retreatâ instruction.
Rodgers contends, nevertheless, that the 2006 amendments are meant to codify pri- or law and to correct Hilbertâs mistaken reading of it. He cites no prior-law cases which the Hilbert Court overlooked and fails to address any of the several cases the Hilbert Court considered. We decline to revisit Hilbert, therefore, a decision not even four years old, and continue to hold that as enacted in 1975 the Penal Code
Finally, Rogers contends that the âno duty to retreatâ instruction was required to preserve his constitutional right to present a defense. That right may be violated, as he notes, where there is evidence of self-defense but the trial court refuses any instruction on that defense at all. Taylor v. Withrow, 288 F.3d 846 (6th Cir.2002). Here, however, the trial court instructed on self-defense, and Rogers was given an opportunity to argue that theory to the jury, including the âno duty to retreatâ principle. The instructions did not infringe upon his constitutional right to present a defense.
III. The Trial Court Did Not Err In Seating Rodgersâs Jury.
A. The Court Did Not Abuse Its Discretion When It Overruled Rodgersâs Batson Challenge.
Rodgers next contends that he was denied equal protection when the Commonwealth used a peremptory challenge to strike one of the two African-Americans who remained in the jury pool after a third African-American was struck for cause. He maintains that Juror 117985 was impermissibly struck on the basis of her race. As he correctly notes, in Bat-son, supra, the United States Supreme Court prohibited deliberate racial discrimination during jury selection. Under Bat-son, we recently explained,
[a] three-prong inquiry aids in determining whether a prosecutorâs use of peremptory strikes violated the equal protection clause. Initially, discrimination may be inferred from the totality of the relevant facts associated with a prosecutorâs conduct during a defendantâs trial. The second prong requires a prosecutor to offer a neutral explanation for challenging those jurors in the protected class. Finally, the trial court must assess the plausibility of the prosecutorâs explanations in light of all relevant evidence and determine whether the proffered reasons are legitimate or simply pretextual for discrimination against the targeted class.
McPherson v. Commonwealth, 171 S.W.3d 1, 3 (Ky.2005) (citations and footnotes omitted). The trial courtâs ultimate decision on a Batson challenge âis akin to a finding of fact, which must be afforded great deference by an appellate court.â Chatman v. Commonwealth, 241 S.W.3d 799, 804 (Ky.2007) (citation omitted). âDeference,â of course, does not mean that the appellate court is powerless to provide independent review, Miller-El v. Dretke, 545 U.S. 231, 125 S.Ct. 2317, 162 L.Ed.2d 196 (2005) (holding that the trial courtâs finding of non-discrimination was erroneous in light of clear and convincing evidence to the contrary), Snyder v. Louisiana, - U.S. -, 128 S.Ct. 1203, 170
In this case, when Rodgers raised his Batean challenge to the Commonwealthâs allegedly suspect peremptory strike, the prosecutor recalled that during voir dire Eddingsâs counsel had asked the panel if anyone had ever heard of an unfair trial. Juror 117985 was the first to respond, and she stated that she knew several people who had been convicted and âdone timeâ although they had not committed their alleged crimes. The prosecutor explained that Juror 117985âs personal knowledge of such cases was apt to bias her against the Commonwealth. The trial court indicated that it would accept that explanation, at which point Rodgersâs counsel objected. Counsel asserted that the Commonwealthâs proffered reason for the strike was a mere pretext, as was apparent, counsel claimed, from the fact that certain non-African-American jurors had made similar responses to Eddingsâs voir dire question, but the Commonwealth had not struck them. The prosecutor responded that he did not recall any one else claiming personal knowledge of a wrongful conviction. The trial court could not remember any other such disclosures either, and its ruling stood.
On appeal, Rodgers reiterates his assertion that non-African-American members of the panel responded to the âunfair trialâ question in much the same way as did Juror 117985 and yet were not struck. In fact, however, the record upholds the trial court. Several non-African-American panel members, including some who had seen recent news media coverage of racial disparities in the criminal justice system, did express concern that racially biased juries pose a risk to fair trials and that African-American defendants are more exposed to that risk than are non-African-American defendants. None of those panel members, however, claimed personal knowledge of a wrongful conviction, and none indicated by his or her response that concern for racial fairness gave rise to a potential bias against the Commonwealth.
Rodgers also points to a panel member who responded to another of Eddingsâs voir dire questions. Counsel explained that Eddingsâs defense was to be a denial of any wrongdoing, and he wondered if anyone believed that the fact of Eddingsâs indictment and trial made that defense incredible. âDoes anyone believe,â he asked, âthat Eddings had to have done something or he wouldnât be here?â A panel member responded that some of the people arrested and tried must be, and must have been found to be, not guilty, or the jails âwould overflow.â Rodgers contends that this panel memberâs theoretical awareness that innocent persons might be put on trial suggested the same potential for bias as Juror 117985âs personal knowledge of persons who were wrongfully convicted. We disagree. A reasonable distinction is to be made between personal knowledge and mere theoretical knowledge, and it seems to us clear that the former is a much likelier source of bias than the latter. Given this distinction and in light of the deference with which we review the tidal courtâs Batson rulings, the trial court did not abuse its discretion when it found that the Commonwealthâs proffered race-neutral reason for striking Juror 117985 was not a pretext for discrimination.
B. The Trial Court Properly Rejected Rodgersâs âFair Cross Sectionâ Challenge.
Rodgers next contends that his jury was not selected from a fair cross section of the community. The fifty-per
(1) that the group alleged to be excluded is a âdistinctiveâ group in the community; (2) that the representation of this group in venires from which juries are selected is not fair and reasonable in relation to the number of such persons in the community; and (3) that this un-derrepresentation is due to systematic exclusion of the group in the jury-selection process.
Id. at 364, 99 S.Ct. 664. It is not enough to allege merely that a particular jury or a particular venire failed to mirror the community, for, as the Supreme Court has explained, â[defendants are not entitled to a jury of any particular composition, ... but the jury wheels, pools of names, panels, or venires from which juries are drawn must not systematically exclude distinctive groups in the community and thereby fail to be reasonably representative thereof.â Taylor, 419 U.S. at 538, 95 S.Ct. 692 (citations omitted).
Rodgersâs motion did not meet this standard. Although African-Americans do indeed constitute a distinctive group for jury selection purposes, Rodgers made no attempt to show that they are regularly underrepresented on Jefferson County ve-nires or that the jury selection process systematically excludes them. Absent these showings, the trial court did not err when it rejected Rodgersâs objection to the venire.
IV. The Trial Court Did Not Misin-struct The Jury.
A. The Instructions Did Not Misstate the Commonwealthâs Burden Of Proof.
Rodgers next asserts that the jury instructions unfairly tended to dilute the presumption of innocence and to shift the burden of proof from the Commonwealth to the defense. The instructionsâ introductory paragraph informed the jury that it was to find the defendant ânot guilty under these instructions unless you believe from the evidence beyond reasonable doubt that he is guilty of one of the following offenses .... â It then listed the various degrees of homicide. A separate instruction, Instruction No. 7, also informed the jury that Rodgers was presumed to be innocent and that the jury âsh[ould] find the defendant not guilty unless you are satisfied from the evidence alone and beyond a reasonable doubt that he is guilty.â The separate instructions on each degree of homicide, however, provided that âyou will find the defendant guilty of [the particular offense] under this instruction if, and only if, you believe from the evidence beyond a reasonable doubt all of the following ...â followed by the elements of the particular offense. Rodgers contends that the formulation ânot guilty ... unlessâ better reflects the presumption of innocence and the burden of proof than the formulation âguilty ... if and only if,â and that the use of the latter in the separate offense instructions was inconsistent with RCr 9.56, which employs the ânot guilty ... unlessâ
The two formulations are logically equivalent, and whatever may be their rhetorical difference, if any, the âguilty ... if and only ifâ version adequately conveys to the jury the conditions the Commonwealthâs proof must satisfy to authorize a guilty verdict. This is especially so, as the Commonwealth points out, in light of the introductory and âpresumption of innocenceâ instructions which employed the ânot guilty ... unlessâ formulation and thus underscored the two formulationsâ equivalence. âInstructions are proper,â we have held, âif, when read together and considered as a whole, they submit the law in a form capable of being understood by the jury.â Halvorsen v. Commonwealth) 730 S.W.2d 921, 925 (Ky.1986) (citation omitted). The âguilty ... if and only ifâ instructions here satisfy this standard.
B. The Instructions Did Not Comment On Rodgersâs Silence.
Finally, Rodgers contends that the instructions implicitly commented on his election not to testify and thus rendered his trial unfair. As he notes, RCr 9.54(3) provides that
[t]he instructions shall not make any reference to a defendantâs failure to testify unless so requested by the defendant, in which event the court shall give an instruction to the effect that a defendant is not compelled to testify and that the jury shall not draw any inference of guilt from the defendantâs election not to testify and shall not allow it to prejudice the defendant in any way.
In compliance with this rule, when Rodgers requested a âright to remain silentâ instruction, the trial court instructed the jury that â[t]he defendant is not compelled to testify and the fact that he did not testify in this case cannot be used as an inference of guilt and should not prejudice him in any way.â Notwithstanding the fact that the courtâs instruction was taken almost verbatim from the rule, Rodgers contends that the instruction should have excluded the opening clause and that by including âis not compelled to testify,â the instruction improperly implied that the prosecutor wanted Rodgers to testify, but could not force him to do so.
We reject Rodgersâs claim that as given the instruction amounted to a comment on his silence. On the contrary, the instruction merely explained to the jury that the law does not compel a defendant to testify â it implied nothing about the prosecutor â and correctly directed the jury not to use Rodgersâs silence against him. The jury, of course, is presumed to follow that direction, Dixon v. Commonwealth, 263 S.W.3d 583 (Ky.2008), and the opening clause in no way tended to undermine that presumption.
CONCLUSION
In sum, the Commonwealthâs use of Rodgersâs and Eddingsâs post-arrest statements did not entitle Rodgers to a separate trial and did not infringe upon his right to present a defense. Rodgersâs self-defense claim was correctly presented to the jury according to the law as it existed at the time of Rodgersâs offense, and his claim of immunity under newly enacted KRS 503.085 was properly denied. Rodgersâs jury, finally, was fairly selected and was correctly instructed with respect to Rodgersâs right not to testify, his presumed innocence, and the Commonwealthâs burden of proof. Accordingly, we affirm the November 22, 2006 Judgment of the Jefferson Circuit Court.
. The trial judge did not issue the limiting instruction referred to in Richardson informing the jury to consider the statement only against Eddings and not against Rodgers. We have held, however, that such an instruction is required only upon request. Caudill v. Commonwealth, 120 S.W.3d 635 (Ky.2003). Because Rodgers does not claim to have made such a request, no error occurred.
. Notably, Justice Scalia authored both Crawford and Richardson.
. In addition to self-defense, the 2006 amendments relate to defense of others, defense of property and other justified uses of force. For ease of reference, these various types of justified force will be referred to as âself-defense.â
. The savings statute appears to have been first enacted in about 1851, borrowed from the Virginia Revision, and included at chapter 21, section 23 in our Revised Statutes of 1852.
. Other exceptions exist to the prohibition against pretrial dismissals, of course, such as where the statute allegedly violated is unconstitutional, Commonwealth v. Bishop, 245 S.W.3d 733 (Ky.2008), or where prosecution is barred by the Double Jeopardy Clause. Commonwealth v. Stephenson, 82 S.W.3d 876 (Ky.2002).
. Hilbert, of course, is not applicable to conduct occurring after the July 12, 2006 effective date of Senate Bill 38 but remains applicable to Rodgers and other defendants prosecuted for conduct occurring before that date.