IN THE SUPREME COURT OF THE STATE OF KANSAS
No. 95,365
STATE OF KANSAS,
Appellee,
v.
MATHEW D. MURDOCK,
Appellant.
SYLLABUS BY THE COURT
1. The court, on motion of a defendant or on its own motion, shall order the entry of judgment of acquittal of one or more crimes charged in the complaint, indictment, or information after the evidence on either side is closed, if the evidence is insufficient to sustain a conviction of such crime or crimes.
2. The proper standard for considering a district court's ruling on a motion for judgment of acquittal is whether, after reviewing all of the evidence in the light most favorable to the State, the appellate court is convinced that a rational factfinder could have found the defendant guilty beyond a reasonable doubt.
3. A guilty verdict in a criminal case will not be disturbed on appeal if there is sufficient evidence even though the evidence is entirely circumstantial. The probative values of direct and circumstantial evidence are intrinsically similar, and there is no logically sound reason for drawing a distinction as to the weight to be assigned to each.
4. The grant or denial of a motion to reopen a party's case is within the discretion of the district court. In exercising its discretion, the court must consider the timeliness of the motion, the character of the testimony, and the effect of granting the motion. The party moving to reopen should provide a reasonable explanation for failure to present the evidence in its case in chief. The evidence proffered should be relevant, admissible, technically adequate, and helpful to the jury in ascertaining the guilt or innocence of the accused. The belated receipt of such testimony should not imbue the evidence with distorted importance, prejudice the opposing party's case, or preclude an adversary from having an adequate opportunity to meet the additional evidence offered.
5. The most important factor for a district court to consider in dealing with a motion to reopen evidence in a criminal case after one party has rested is whether the opposing party will be prejudiced. One of the critical factors in evaluating prejudice is the timing of the motion to reopen. If it comes at a stage in the proceedings where the opposing party will have an opportunity to respond and attempt to rebut the evidence introduced after reopening, it is not nearly as prejudicial as when reopening is granted after all parties have rested, or even after the case has been submitted to the jury.
6. An appellate court reviews a district court's refusal to declare a mistrial for an abuse of discretion. The latitude allowed a court in exercising judicial discretion varies depending on the character of the question presented for determination. Generally speaking, an appellate court will not find that a district court abused its discretion if reasonable persons could differ as to the outcome of the district court's decision, as long as it was made within and took into account the applicable legal standards.
7. To demonstrate that his or her defense counsel failed to provide effective representation as contemplated by the Sixth Amendment to the United States Constitution, a defendant must establish (1) that counsel's performance was constitutionally deficient and (2) that counsel's deficient performance was so serious as to deprive the defendant of a fair trail.
8. After jurors have retired for deliberation, if they desire to be informed as to any part of the law or evidence arising in the case, they may request the officer to conduct them to the court, where the information on the point of law shall be given, or the evidence shall be read or exhibited to them in the presence of the defendant--unless the defendant is voluntarily absent--and defense counsel, and after providing notice to the prosecuting attorney.
9. Due to the grave risk of misleading the jury and the real risk of reversal, a judge responding to a jury question should avoid extemporaneous discussions with the jury on questions submitted. The better practice is to confer on the record with counsel and the accused before responding to the jury's question. Counsel should be given the opportunity to provide input as to the final answer, preferably by way of written recommendations to the judge. Under such circumstances, the risk of misleading the jury or of committing reversible error in the answer given is greatly reduced, and the potential that the answer will help the jury in its deliberations is greatly increased.
10. Appellate courts view jury instructions under a clearly erroneous standard where no objection was raised at the time the instruction was given. Instructions are clearly erroneous only if the reviewing court is firmly convinced that there is a real possibility the jury would have rendered a different verdict if the trial error had not occurred.
Review of the judgment of the Court of Appeals in an unpublished opinion filed August 17, 2007. Appeal from Cloud district court; THOMAS M. TUGGLE, judge. Judgment of the Court of Appeals affirming the district court is affirmed. Judgment of the district court is affirmed. Opinion filed July 18, 2008.
Rick A. Kittel, of Kansas Appellate Defender Office, argued the cause and was on the brief for appellant.
Robert A. Walsh, county attorney, argued the cause, and Phill Kline, attorney general, was with him on the brief for appellee.
The opinion of the court was delivered by
DAVIS, J.: We granted Mathew D. Murdock's petition for review from a Court of Appeals decision affirming his conviction of aggravated battery with a deadly weapon. The defendant claims that the trial court erred by allowing the State to reopen its case to present additional evidence on an element of the offenses charged. He also claims that he was not adequately represented by counsel and that the trial court erred when responding to a jury question during its deliberations. We affirm.
Facts
In November 2004, Lucas Diehl confronted Murdock at a party in Concordia, Kansas, asserting that the defendant had slashed the tires on Diehl's truck. The two men continued to exchange words, and the defendant challenged Diehl to a fight. Diehl declined and walked a short distance away.
Allan Jackson attempted to calm the defendant, who showed Jackson a set of brass knuckles that he wore on his right fist. Jackson left Murdock to warn Diehl about the brass knuckles. While he and Diehl were talking, the defendant approached and struck Diehl on the top of the head. Diehl fell to the ground. When he was able to stand, Jackson attempted to help Diehl get away from the confrontation, but the defendant again struck Diehl on the back of the head. Diehl's head bled profusely, but he did not seek medical treatment. He did, however, complain of headaches and dizziness for several days after the incident.
After the State rested its case, Murdock moved for a judgment of acquittal, claiming that the State had failed to produce evidence that he struck Diehl with an object that could constitute a deadly weapon. The district court overruled the motion, stating that the jury could conclude based on circumstantial evidence that the defendant had struck Diehl while wearing brass knuckles.
During a short recess, the prosecutor reviewed the record and discovered that Jackson had never actually testified that the defendant wore the brass knuckles when he struck Diehl. Over the defendant's objection, the district court allowed the State to reopen its case in chief in order to recall Jackson. Jackson subsequently testified that he saw the defendant wearing the brass knuckles immediately after striking Diehl. The State then rested its case again.
After the district court denied a second motion for judgment of acquittal, Murdock moved for a mistrial based upon ineffective assistance of counsel, claiming that defense counsel's behavior in raising the issue of insufficiency of the evidence at the close of the State's case in chief--and thus bringing the question to the State's attention--was constitutionally deficient. The district court denied this motion.
At the close of all evidence, the case was submitted to the jury. During deliberations, the jury requested clarification on the difference between aggravated battery with a deadly weapon and aggravated battery in a manner whereby great bodily harm, disfigurement, or death can be inflicted. The court called the jury into the courtroom in order to clarify what was being asked and immediately provided a lengthy response to that question from the bench. Defense counsel did not object to the court's explanation.
The jury resumed deliberations and found Murdock guilty of aggravated battery by use of a deadly weapon--K.S.A. 21-3414(a)(1)(B). The defendant appealed, and the Court of Appeals affirmed his conviction in an unpublished opinion. State v. Murdock, No. 95,365, unpublished opinion filed August 17, 2007.
Petition for Review
Murdock raises three issues in his petition for review of the Court of Appeals opinion: (1) whether the district court erred when it denied the defendant's motion for judgment of acquittal at the close of the State's case in chief and instead permitted the State to reopen its case in order to present additional evidence; (2) whether the court erred when it denied his motion for a mistrial based on ineffective assistance of counsel; and (3) whether the court's response to the jury's question during deliberations was reversible error.
We note at the outset that the first issue actually presents two separate but related questions. The first question involves the district court's denial of the defendant's motion for acquittal. The second deals with the district court's decision to permit the State to reopen its case in order to present additional testimony on elements of the charged offense. Our standard of review for each question is different, so we examine each of these questions individually.
After reviewing all of the issues raised, we conclude that no reversible error occurred and affirm.
(1) Motion for Judgment of Acquittal
The defendant argues that the district court erred when it denied his original motion for judgment of acquittal, claiming that the State failed to present any evidence that he had struck Diehl with a deadly weapon or in a manner in which great bodily harm could be inflicted.
Standard of Review
K.S.A. 22-3419(1), which governs Kansas courts' consideration of motions for judgment of acquittal, provides in relevant part:
"The court on motion of a defendant or on its own motion shall order the entry of judgment of acquittal of one or more crimes charged in the complaint, indictment or information after the evidence on either side is closed if the evidence is insufficient to sustain a conviction of such crime or crimes."
Just as a district court must base its ruling regarding a defendant's motion for judgment of acquittal on the sufficiency of the evidence, an appellate court reviewing a district court's grant or denial of such a motion examines the sufficiency of the evidence to support the conviction. State v. Cavaness, 278 Kan. 469, 479, 101 P.3d 717 (2004). The proper standard for considering a district court's ruling on a motion for judgment of acquittal is whether, after reviewing all of the evidence in the light most favorable to the State, the appellate court is convinced that a rational factfinder could have found the defendant guilty beyond a reasonable doubt. 278 Kan. at 479.
Discussion and Analysis
After the State presented its evidence and rested, the district court granted a recess and held a conference on the record in chambers in the presence of the judge, counsel, and the defendant. At this time, defense counsel moved for a judgment of acquittal on the basis that there was no evidence that the defendant struck the victim in a manner whereby great bodily harm was inflicted or with any kind of an object that could constitute a deadly weapon. The following exchange occurred in chambers:
"[Defense Counsel]: Judge, I would like to make a motion for judgment of acquittal. The state [has] charged Mr. Murdock with intentionally causing bodily harm with a deadly weapon or in a manner whereby great bodily harm, disfigurement, or death could be inflicted. The evidence has not indicated that Mr. Murdock struck Mr. Diehl with any kind of an object that would constitute a deadly weapon.
"The testimony at best is that Mr. Jackson saw an arm come around, and Mr. Diehl got struck, and then he was struck a second time. But Mr. Jackson did not testify that he saw Mr. Diehl get struck with brass knuckles. He only testified to that he saw brass knuckles in the possession of Mr. Murdock.
"Further, before the incident even occurred there's been no testimony that the manner in which Mr. Diehl had been struck was capable or could cause great bodily harm, disfigurement or death. So I would submit to the Court that the evidence is insufficient to sustain a conviction on either theory, either deadly weapon or manner whereby.
"THE COURT: Mr. Walsh?
"[Prosecutor]: My recollection of the testimony was that he did early on in the testimony indicate that when he was struck he saw the fist with the brass knuckles come around and strike Mr. Diehl. Now, if there's confusion about that, I would ask the Court the leave to allow us to call him up and ask him that directly. I have rested. We have had no evidence from the defense at this time.
"If there is some of that, I would certainly like to allow just very brief testimony to cover that issue, whether the brass knuckles were on his hand or not when those blows were struck. My recollection was that he did indicate that. I'm not questioning Ms. McKenna's recollection. I have that in my notes, but that could have been just my outline. But I would certain[ly] like to ask him that. I would ask leave to just allow us [to] call him back to state that.
"THE COURT: Well, that motion would be denied, and the motion for directed verdict is likewise denied. There's certainly evidence, if not direct, substantial [evidence, then] circumstantial evidence from which the jury could conclude guilt beyond a reasonable doubt on either theory."
Before the defendant's motion for acquittal and during the State's case in chief, Jackson testified that during his talk with Murdock, the defendant showed him a set of brass knuckles that he was wearing on his right hand. According to Jackson, the defendant said that "he was tired of it [meaning the dispute between the defendant and Diehl] going on, and he was going to take care of it." Jackson testified that he was concerned about these statements and the defendant's possession of the brass knuckles, so he went directly from his conversation with the defendant to warn Diehl of the danger. Jackson explained that when he went to warn Diehl, he "didn't even get all the words out of [his] mouth" when the defendant struck Diehl from behind. Jackson demonstrated during his testimony that the defendant struck Diehl with his right hand.
Jackson further testified that when the defendant hit Diehl, Diehl's head "flew forward," and Jackson heard a "knock" like one hears "on TV where they crack coconuts open, that initial knock before it splits open." Although he did not check Diehl's head after the first blow, Jackson stated that he put his hand behind Diehl's head after the second blow "to protect it in case it got hit again," and his hand became covered with blood.
Diehl testified that when Murdock struck him, he "felt something hard" and "solid" hit him in the back of the head. He explained that after the blows, he felt blood "running" down his neck. The State offered as evidence pictures of the cuts on the back of Diehl's head to corroborate this testimony. Diehl also testified that he experienced "dizzy spells and . . . headaches" for 3 days after the incident.
Murdock argues that the district court erred in denying his motion for acquittal because, although Jackson testified that defendant had been wearing the brass knuckles shortly before striking Diehl, none of the State's witnesses testified that the defendant was wearing brass knuckles when he hit Diehl. Thus, according to the defendant the State did not present sufficient evidence that he struck Diehl with a deadly weapon, or struck him in such a manner whereby great bodily harm could be inflicted.
Murdock also argues the district court erred when it denied his motion for judgment of acquittal because it was under the impression that Jackson had testified that he observed Murdock wearing the brass knuckles as he struck Diehl. Murdock asserts that because the district court had a fundamental misunderstanding as to the evidence in the record, it was an abuse of discretion to deny the motion and yet allow the State to reopen its case.
It is true the district court stated that before it conferred with the court reporter, "[i]t was [the court's] recollection that there had been some testimony" about the brass knuckles on the defendant immediately prior to the blow to Diehl. Thus, Murdock is correct that the district court was under the impression that such evidence was in the record when it denied his motion for judgment of acquittal.
Murdock's argument seems to mingle and confuse the standards for reviewing a district court's denial of a motion for judgment of acquittal with a district court's decision to permit the State to reopen its case to present additional evidence. As we discuss later in this opinion, a court has broad discretion as to the latter determination. However, K.S.A. 22-3419(1) states that a court "shall order the entry of judgment of acquittal" if the evidence offered is insufficient to support the conviction. (Emphasis added.) The decision to grant a motion for judgment of acquittal is not discretionary. Instead, the determinative question for both a district court and an appellate court on review is whether there was sufficient evidence in the record at the time of the motion on which a rational factfinder could find the defendant guilty beyond a reasonable doubt. See Cavaness, 278 Kan. at 479.
For Murdock to be convicted of aggravated battery as charged, the State was required to prove that he "intentionally caus[ed] bodily harm to another person with a deadly weapon, or in any manner whereby great bodily harm, disfigurement or death can be inflicted." K.S.A. 21-3414(a)(1)(B). Viewing the evidence in the light most favorable to the prosecution, there was sufficient evidence in the record at the (initial) close of the State's evidence--when Murdock raised his motion for judgment of acquittal--from which the jury could have found Murdock guilty of either aggravated battery with a deadly weapon or aggravated battery in a manner whereby great bodily harm could be inflicted. Jackson testified that Murdock had been wearing the brass knuckles on his right hand only shortly before that same hand struck Diehl twice in the back of the head, and just after Murdock had told Jackson that he "was going to take care of it." Diehl explained that he felt something "hard" and "solid" hit his head when Murdock struck. Although Murdock only hit Diehl twice, Diehl's head bled profusely from the blows. The district court did not err when it denied Murdock's motion.
Murdock's motion for judgment of acquittal seems to have been based on a belief that because the State had not offered any direct evidence that the defendant had been wearing brass knuckles when he hit Diehl--namely, testimony that he was observed wearing the knuckles when he attacked--the evidence could not be sufficient to convict him of the crimes charged. Contrary to this position, Kansas courts have long recognized that evidence may be sufficient to support a conviction even where that evidence is wholly circumstantial in nature. For example, in State v. Scott, 271 Kan. 103, 107-08, 21 P.3d 516, cert. denied 534 U.S. 1047 (2001), this court explained:
"A guilty verdict in a criminal case will not be disturbed on appeal if there is substantial evidence even though the evidence is entirely circumstantial. [Citation omitted.] The probative values of direct and circumstantial evidence are intrinsically similar, and there is no logically sound reason for drawing a distinction as to the weight to be assigned to each. [Citation omitted.]"
Although there was no direct evidence to show that Murdock attacked Diehl while wearing the brass knuckles, there was circumstantial evidence from which a rational jury could base a finding of guilt. Our review of the evidence presented by the State before the defendant moved for judgment of acquittal, when viewed in the light most favorable to the State, convinces us that a rational factfinder could have found the defendant guilty of aggravated battery under either theory advanced. The district court applied the same standard and concluded that there was "substantial circumstantial evidence from which the jury could conclude guilt beyond a reasonable doubt on either theory." The district court did not err in denying the defendant's motion for judgment of acquittal.
(2) Motion to Reopen the State's Case
Murdock asserts that the alleged error that resulted from the district court's denial of his motion for judgment of acquittal was compounded by the fact that the court permitted the State to reopen its case to offer additional evidence.
After conferring with the court reporter and counsel, the court noted that Jackson never explicitly stated that Murdock was wearing the brass knuckles at the time that he struck Diehl. Upon this recognition, the court permitted the State to reopen its case for the specific purpose of recalling Jackson. When he was recalled, Jackson testified that he saw Murdock wearing the brass knuckles immediately after each time he struck Diehl.
The Court of Appeals found that by permitting the State to reopen its case, the district court had "reconsidered its ruling" on Murdock's motion for judgment of acquittal and "essentially set aside its prior ruling." Murdock, slip op. at 4. The Court of Appeals then concluded that it could consider "all of the evidence presented in the State's case in chief, including the additional testimony supplied by Jackson," to determine whether the evidence was sufficient to allow a rational factfinder to find the defendant guilty beyond a reasonable doubt. Slip op. at 4. In support of this conclusion, the panel cited this court's decision in State v. Copes, 244 Kan. 604, 607, 772 P.2d 742 (1989).
In Copes, this court examined the waiver rule relating to motions for judgment of acquittal, noting that a defendant whose motion for judgment of acquittal is denied at the close of the prosecution's case, who later presents evidence on his or her own behalf, may not ordinarily challenge the denial of that motion. 244 Kan. at 607-08. Copes modified this rule to hold that when, after unsuccessfully moving for acquittal at the close of the State's case, a defendant presents only rebuttal evidence, he or she has not waived argument regarding the erroneous denial of his or her motion. 244 Kan. at 610-11. Notably, Copes did not involve facts where the State was permitted to reopen its case to submit additional evidence after a motion for judgment of acquittal was denied.
Contrary to the statement by the Court of Appeals, the district court in this case never stated that by allowing the State to reopen its case, it was reconsidering its ruling on Murdock's motion for judgment of acquittal. The court did explain in its later ruling on Murdock's motion for a mistrial, discussed later in this opinion, that "the Court has broad discretion making that decision [to allow the State to reopen its case] and felt the [S]tate inadvertently overlooked [the intended testimony] and was entitled to reopen it to complete its record." The district court did not state that it had permitted the State to reopen its case so that there would be sufficient evidence to convict the defendant.
We emphasize at the outset of our discussion of this issue that the district court's decision permitting the State to reopen its case does not alter our conclusion that there was sufficient evidence in the record to find Murdock guilty beyond a reasonable doubt at the time that Murdock originally moved for judgment of acquittal. As we have previously indicated, there was sufficient evidence for a jury to find that Murdock was guilty beyond a reasonable doubt of the crime charged when the State originally closed its case in chief, and we need not consider Jackson's additional testimony on recall in our assessment of the sufficiency of the evidence in this case.
Thus, this case does not involve circumstances where the prosecution has failed to present evidence on a critical element of a criminal charge but nevertheless rested its case and then sought to reopen. The issue framed by Murdock in his petition for review--whether a district court may allow a State to reopen its case in order to prove an element of the crime charged in lieu of granting a defendant's motion for judgment of acquittal--does not arise in this case. Because there was sufficient evidence in the record at the time that Murdock moved for judgment of acquittal for a jury to conclude that he was guilty beyond a reasonable doubt of the crime charged, the district court correctly denied his motion, and that denial does not factor into our consideration of the district court's subsequent decision allowing the State to reopen its case.
With these clarifications in mind, we turn to our standard for reviewing the district court's decision in this case.
Standard of Review
We review a district court's decision to permit the State to reopen its case after once resting for an abuse of discretion. "It has long been the law of Kansas that the granting of permission to the state to reopen its case rests in the sound discretion of the trial court. [Citations omitted.]" State v. Braun, 209 Kan. 181, 188, 495 P.2d 1000, cert. denied 409 U.S. 991 (1972). Again in State v. Carmichael, 240 Kan. 149, 157, 727 P.2d 918 (1986), this court determined that it is "a matter of discretion whether the trial court permits either or both of the parties to reopen a case for introduction of additional evidence after having rested. [Citation omitted.]"
Judicial discretion varies, depending on the character of the question presented for determination. A district court's decision is protected if reasonable persons could differ about the propriety of the decision, as long as it was made within and took into account the applicable legal standards. State v. Miller, 284 Kan. 682, 689, 163 P.3d 267 (2007).
Yet while examination of our previously decided cases confirms that we review a court's decision on a motion to reopen for an abuse of discretion, our past decisions have not sufficiently identified those factors which should guide the district court in its determination of whether to permit either party to reopen its case. Federal cases have considered this question and have developed a list of factors to guide the district courts' discretion in such matters. As the Sixth Circuit Court of Appeals explained in United States v. Blankenship, 775 F.2d 735, 741 (6th Cir. 1985):
"A motion to reopen is clearly within the discretion of the trial court. In exercising its discretion, the court must consider the timeliness of the motion, the character of the testimony, and the effect of the granting of the motion. The party moving to reopen should provide a reasonable explanation for failure to present the evidence in its case-in-chief. The evidence proffered should be relevant, admissible, technically adequate, and helpful to the jury in ascertaining the guilt or innocence of the accused. The belated receipt of such testimony should not 'imbue the evidence with distorted importance, prejudice the opposing party's case, or preclude an adversary from having an adequate opportunity to meet the additional evidence offered.' United States v. Larson, 596 F.2d 759, 778 (8th Cir. 1979)."
See also United States v. Webb, 533 F.2d 391, 395 (8th Cir. 1976) (stating the district courts should consider "whether the evidence caused surprise to the defendant, whether he was given adequate opportunity to meet the proof, and whether the evidence was more detrimental to him because of the order in which it was introduced").
Blankenship further notes that the "most important consideration" in determining whether a party should be permitted to reopen its case is "whether the opposing party is prejudiced by reopening." 775 F.2d at 741. The court continued:
"One of the critical factors in evaluating prejudice is the timing of the motion to reopen. If it comes at a stage in the proceedings where the opposing party will have an opportunity to respond and attempt to rebut the evidence introduced after reopening, it is not nearly as likely to be prejudicial as when reopening is granted after all parties have rested, or even after the case has been submitted to the jury. Where, as in this case, reopening is permitted after the government has rested its case in chief, but before the defendant has presented any evidence, it is unlikely that prejudice sufficient to establish an abuse of discretion can be established." 775 F.2d at 741.
We believe that the factors identified by the Sixth Circuit in Blankenship provide appropriate guidelines for a district court in responding to a party's motion to reopen its case after resting. While there may be other factors not mentioned that may govern the unique circumstances of another case, the Blankenship factors provide guidance for a district court's discretion--and for this court when reviewing the exercise of such discretion.
Discussion and Analysis
After denying the defendant's motion for acquittal but before returning to the trial before the jury, the court in chambers again considered the State's request to reopen its case, with the following exchange taking place at that time:
"[Prosecutor]: And Your honor, I would still request that I--without looking at the transcript, be allowed just to call Mr. Jackson back just briefly again, ask him the questions during the blows, if or if he did not see the knuckles on--the brass knuckles on Mr. Murdock's hand. That would be the only question I would ask him.
"[Defense Counsel]: Of course, I would object to that, Judge.
"THE COURT: The evidence is in. And I would say thi