Gibson v. Commonwealth

291 S.W.3d 686, 2009 Ky. LEXIS 155, 2009 WL 1819476
CourtKentucky Supreme Court
DecidedJune 25, 2009
Docket2007-SC-000481-DG
StatusPublished
Cited by13 cases

This text of 291 S.W.3d 686 (Gibson v. Commonwealth) is published on Counsel Stack Legal Research, covering Kentucky Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Gibson v. Commonwealth, 291 S.W.3d 686, 2009 Ky. LEXIS 155, 2009 WL 1819476 (Ky. 2009).

Opinions

Opinion of the Court by

Justice VENTERS.

This is an appeal from a Court of Appeals decision affirming the dismissal without prejudice of a criminal indictment against Appellant, Shannon Gibson. The issue presented is whether a trial court has the authority, over objection of the Commonwealth, to designate the pretrial dismissal of a criminal case as “with prejudice.” We find that the trial court does not have such authority, and affirm the Court of Appeals.

I. RELEVANT FACTS

Appellant was charged in the Grayson Circuit Court with a violation of KRS 514.050, theft of services over $300.00, in September 2003. The essence of the offense was that she unlawfully received electricity for her business by diverting it through an illegally placed, hidden wire from a neighboring electric meter. After a lengthy discovery period, the case was set for trial in January 2006.

On the eve of trial, the circuit court granted the motion of Appellee, Commonwealth of Kentucky, to dismiss “without prejudice” the charge against Appellant. Although the motion had been noticed for hearing on January 26, 2006 (the day of trial), the order dismissing was signed on January 25, 2006, before Appellant had a fair opportunity to be heard on the issue of the dismissal. It appears that the reason for the Commonwealth’s motion was that its case against Appellant had substantially deteriorated. Appellant filed a timely motion to amend the order of dismissal, but [688]*688she asked only that the dismissal be deemed to be “with prejudice.” She did not ask for the alternative relief of vacating the order and going to trial. The Commonwealth vigorously argued against the amendment, and after a hearing, the court denied her motion. Appellant appealed the trial court’s ruling, arguing that the trial judge abused his discretion by refusing to convert the dismissal from “without prejudice” to “with prejudice.” Gibson claims that she is prejudiced by the dismissal because she is now unable to demand a trial that would “clear her name,” and she is unable to have the arrest expunged from her record.1

In a well-reasoned opinion by Judge VanMeter, the Court of Appeals held that the trial court had not abused its discretion because, under the doctrine of separation of powers, it lacked the authority in the present circumstances to designate the pretrial dismissal of Gibson’s case “with prejudice.” We agree, and accordingly affirm the decision of the Court of Appeals.

We have previously recognized that the Commonwealth and the defendant in a criminal case may agree, subject to the court’s approval, for the dismissal of a case with prejudice. See Shaffer v. Morgan, 815 S.W.2d 402, 404 (Ky.1991) (holding that the Commonwealth’s agreement to dismiss with prejudice, which prompted the defendant to drop his demand for a speedy trial, barred any reopening of the case.) To avoid a misconception about the meaning of the terms, we refer to Black’s Law Dictionary, which defines “dismissed with prejudice” as “removed from the court’s docket in such a way that the plaintiff is foreclosed from filing a suit again on the same claim or claims.” Black’s Law Dictionary 503 (8th ed.2004). It defines “dismissed without prejudice” as “removed from the court’s docket in such a way that the plaintiff may refile the same suit on the same claim or claims.” Id. at 503. What Appellant seeks to prevent and the Commonwealth seeks to preserve, is the possibility of a resurrection of the charge against Appellant.

II. ANALYSIS

A. The Application of Civil Rules 4-1.01 to Criminal Cases

Appellant argues that Civil Rule (CR) 41.01 authorizes the voluntary pretrial dismissal of a case, and grants the court the discretion to decide whether to render the dismissal “without prejudice” or “with prejudice.” She then asserts that, by virtue of Rule of Criminal Procedure (RCr) 13.042, CR 41.01 applies to criminal cases and authorizes the relief she seeks. CR 41.01 provides for the voluntary dismissal of “an action, or any claim therein” without order of the court by stipulation of the parties, or by the plaintiff alone anytime before the service of an answer by the adverse party. Such voluntary dismissals are without prejudice unless “otherwise stated” in the parties’ stipulation or in the plaintiffs notice of dismissal. CR 41.01(1). Other dismissals in civil actions require an order of the court and are deemed to be without prejudice unless “otherwise specified.” CR 41.01(2). Presumably, “otherwise” could be “with prejudice,” however, that term is not used in the Rule.

In Sublett v. Hall, 589 S.W.2d 888 (Ky.1979), we set forth a number of factors to [689]*689be considered by trial courts in deciding whether a dismissal under CR 41.01 should be with prejudice or without. Id. at 893. Appellant contends that, along with CR 41.01, those factors should be applied in a criminal case. She argues that had those factors been considered, it would have been clear to the trial court that dismissing her case “without prejudice,” instead of “with prejudice” was error.

For three reasons we conclude that CR 41.01 cannot be extended to criminal cases. First, we note that CR 41.01 contains several references to pleadings that exist only in civil actions, and have no analogous counterpart in the criminal context. When the references to those pleadings are omitted, it is exceedingly difficult to ascertain what meaning the Rule would have in a criminal context. Second, and more importantly, RCr 9.64 covers the matter of voluntary dismissals of criminal cases, and thereby supersedes the applicability of CR 41.01. See RCr 13.04. Any ambiguity found in RCr 9.64 because it lacks reference to dismissals being with or without prejudice would not be resolved by CR 41.01. Finally, unlike a civil action, a criminal case inherently involves substantial interaction between the executive, legislative, and judicial branches of government, and thereby implicates the doctrine of separation of powers embodied in Sections 27 and 28 of the Kentucky Constitution. Consideration of that doctrine is not embodied in CR 41.01, and therefore any usefulness it may have in a criminal context is greatly diminished.

We therefore reject Appellant’s argument that CR 41.01 provides a means by which the trial court could have designated the dismissal as “with prejudice.” We note that our opinion in Commonwealth v. Berry, 184 S.W.3d 63, 65 (Ky.2005), contains a fleeting reference to the lower court’s use of CR 41.01 in finding that the voluntary dismissal of an indictment was without prejudice. Our decision in Berry, however, was founded upon KRS 505.030 and double jeopardy considerations, and should not be construed as authority for the application of CR 41.01 to criminal cases.

B. The Trial Court Lacked Authority to Dismiss Appellant’s Indictment “With Prejudice”

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Gibson v. Commonwealth
291 S.W.3d 686 (Kentucky Supreme Court, 2009)

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Bluebook (online)
291 S.W.3d 686, 2009 Ky. LEXIS 155, 2009 WL 1819476, Counsel Stack Legal Research, https://law.counselstack.com/opinion/gibson-v-commonwealth-ky-2009.