Commonwealth v. Hay

987 S.W.2d 792, 1998 Ky. App. LEXIS 11, 1998 WL 80156
CourtCourt of Appeals of Kentucky
DecidedFebruary 27, 1998
DocketNo. 95-CA-0939-MR
StatusPublished
Cited by4 cases

This text of 987 S.W.2d 792 (Commonwealth v. Hay) is published on Counsel Stack Legal Research, covering Court of Appeals of Kentucky primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Commonwealth v. Hay, 987 S.W.2d 792, 1998 Ky. App. LEXIS 11, 1998 WL 80156 (Ky. Ct. App. 1998).

Opinion

OPINION

ABRAMSON, Judge.

The Commonwealth appeals from a pretrial order dismissing three counts of an indictment, based on the trial judge’s conclusion that the Commonwealth would be unable to prove an essential element of the offenses at trial. The three counts charged Appellees Lucian Hunter Hay and Adele Hay jointly with theft by failure to make required disposition of property over $300 during 1992, 1993 and 1994. Having reviewed the arguments of the parties and the applicable law, we reverse and remand.

The three counts at issue in this appeal originally were Counts XX, XXI and XXII of Indictment 94-CR-00186, returned by the Franklin County Grand Jury in November 1994. In January 1995, a special judge appointed to preside over the case severed the three counts and transferred them to Indictment 94-CR-00178, which had been returned against the Hays in October 1994.

In a bill of particulars, the Commonwealth stated that while Lucian Hunter Hay was the elected Franklin County Jailer and his wife, Adele Hay, was a Franklin County jail employee, he had four vending machines installed in the Franklin County Jail and used county employees to stock and tend the machines during working hours. Further, according to the bill of particulars, the Hays received all profits from the machines and they neither turned over any of the monies nor made any accounting of those monies to Franklin Fiscal Court.

Each party responded to discovery requests, with the Commonwealth providing 1,104 pages of documents and fourteen audio tapes to the Hays, and the Hays producing 2,107 pages of reciprocal discovery. One of the documents furnished to the Hays was an opinion letter from the Director of County Auditors, Office of the Auditor of Public Accounts, written in response to questions posed by the prosecutors about the ownership of profits or revenue derived from vending machines at the Franklin County Correctional Center.

The Hays filed a motion to dismiss the three counts, claiming that the theft charges were “conjured up” and that they did not have “fair warning” that their conduct in retaining the monies was criminal. They asserted that, because prosecution officials “had to obtain an opinion from the Office of the Auditor of Public Accounts in order to [794]*794determine whether profits from vending machines located at the county jail ... are the property of and should be reported to the fiscal court,” no one (including them) could know that their failure to report the profits was criminal in nature. The Hays further argued that because they could not be expected to know about the criminal nature of their failure to report the profits to the Franklin Fiscal Court, they lacked the “intentional” and “knowing” culpable mental states necessary for criminal liability under KRS 514.070. The Hays attached several documents to their motion, including copies of various Attorney General opinions.

In its response to the motion to dismiss, the Commonwealth argued that (1) the Hays were relying upon an ignorance of the law defense; (2) under KRS 514.0701 (Theft by failure to make required disposition of property), as government employees they were presumed to know about their legal obligation relevant to that offense and to have dealt with the profits from the vending machines as their own when they failed to account to Franklin Fiscal Court for the funds from the machines; and (3) Sections 173 and 246 of the Kentucky Constitution were applicable because the Hays had profited from their positions as county officers and had received more remuneration than the amount fixed by law.

At a hearing on March 10, 1995, a second special judge heard the parties’ arguments on the motion to dismiss. In addition to the arguments from its written response, the Commonwealth objected that a trial court cannot “grant a summary judgment” prior to tical. One week later, the judge dismissed the three counts “based upon the authorities cited by the defendants in reliance thereon.” The Commonwealth appeals from that ruling.

On appeal, the Commonwealth argues two points. First, it contends that the trial court lacked the authority to summarily dismiss the three counts prior to trial. Second, it declares that the trial court’s ruling was legally erroneous, because the Hays were presumed to know of their statutory obligations under KRS 514.070 and there has been no showing that an official statement of law was the basis for the Hays’ mistaken belief as to the nature of their conduct.

When an indictment is valid on its face in conformity with the requirements of RCr 6.10, at trial the Commonwealth has the burden of proving all the elements of the crime beyond a reasonable doubt. KRS 500.070(1). Cf Commonwealth v. Simmons, Ky.App., 753 S.W.2d 872 (1988) (indictment was facially defective because it did not include an essential element of the crime with which the defendant was charged; trial court properly dismissed the indictment). We note initially that the Hays’ motion to dismiss did not dispute the facial validity of the indictment. Rather, it challenged the three charges as violative of due process because the Hays lacked “fair warning” about the legal significance of their conduct.

In Commonwealth v. Hayden, Ky., 489 S.W.2d 513, 516 (1972), the Kentucky Court of Appeals, then the state’s highest court, stated the law in Kentucky concerning the dismissal of indictments: “[tjhere is no au[795]*795thority for the use of summary judgment procedure in a criminal prosecution, and it is our opinion that the evidence could not properly be considered on the motions to dismiss.” More recently, this Court stated in Commonwealth v. Hamilton, Ky.App., 905 S.W.2d 83, 84 (1995), that prior to trial a trial court cannot weigh the evidence to resolve whether the Commonwealth can or will meet its burden of proof.

When the trial court here dismissed the three theft counts, it based its decision “upon the authorities cited by the defendants in reliance thereon.” This statement can be read to encompass all of the grounds relied upon by the Hays. In their motion to dismiss and accompanying memorandum of authorities, the Hays referred to some of the discovery they had obtained from the Commonwealth, principally the opinion letter from the Director of County Auditors, Office of the Auditor of Public Accounts, which concluded that “vending machine monies would be under the control of [Franklin] Fiscal Court.” If the trial court considered the evidence in reaching its decision, the court was in effect applying a summary judgment standard. Because a trial court lacks the authority to use a summary judgment procedure in a criminal case, dismissal of the three counts of the indictment on that basis would be improper. Commonwealth v. Hayden, 489 S.W.2d at 516.

The Hays also raise a constitutional challenge to the three counts of the indictment.

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219 S.W.3d 720 (Kentucky Supreme Court, 2007)
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Bluebook (online)
987 S.W.2d 792, 1998 Ky. App. LEXIS 11, 1998 WL 80156, Counsel Stack Legal Research, https://law.counselstack.com/opinion/commonwealth-v-hay-kyctapp-1998.