RENDERED: FEBRUARY 15, 2024
TO BE PUBLISHED
Supreme Court of Kentucky
2023-SC-0178-DG
COMMONWEALTH OF KENTUCKY APPELLANT
ON REVIEW FROM COURT OF APPEALS
V. NO. 2022-CA-0296
FAYETTE CIRCUIT COURT NO. 13-CR-01190
AHMAD RASHAD DAVIS APPELLEE
OPINION OF THE COURT BY JUSTICE KELLER
REVERSING
The Commonwealth of Kentucky appeals the Fayette Circuit Court’s
decision to grant Ahmad Rashad Davis’s petition to expunge a charge of theft
by deception. The Court of Appeals affirmed the circuit court. This Court
granted discretionary review, and we now reverse.
FACTS AND BACKGROUND
In November 2013, Davis was indicted in Fayette Circuit Court for
Medicaid fraud (Count 1) and theft by deception ($10,000 or more) (Count 2)
for defrauding Medicaid of $14,505.36 by falsifying timesheets over the course
of two years. In May 2014, the Commonwealth and Davis entered into a plea
agreement in which Davis agreed to plead guilty to Medicaid fraud in exchange
for the Commonwealth’s recommendation to the trial court that, among other
things, Davis’s theft by deception charge be dismissed. The trial court later
accepted Davis’s plea of guilty.
The trial court’s final judgment states as follows: “The defendant having
entered a plea of guilty on the 30th day of May 2014, and the court having
adjudged the defendant guilty of the crime; Count 1, Present Fraudulent
Claims to Defraud KMAP > $300., and the Dismissal of Count 2.” The trial
court sentenced Davis to one year of imprisonment, probated for three years or
until restitution was paid in full.
In December 2021, Davis filed a petition with the Fayette Circuit Court 1
to expunge the theft by deception charge the trial court had dismissed.
Pursuant to Kentucky Revised Statute (KRS) 431.076(1)(b), dismissed charges
that were not dismissed “in exchange for a guilty plea to another charge” are
eligible to be expunged upon request. In filing his form petition for
expungement, Davis checked a box attesting that his theft by deception charge
was not dismissed in exchange for a guilty plea. The Commonwealth objected
to Davis’s petition and argued to the circuit court that Davis’s theft by
deception charge was statutorily ineligible for expungement under KRS
431.076(1)(b), because it was, in fact, dismissed in exchange for his guilty plea
to his Medicaid fraud charge. The circuit court, without holding a hearing on
the matter, granted Davis’s petition. In issuing its form expungement order, the
circuit court failed to check the proper box denoting that it had made a finding
1 A different trial judge entertained Davis’s petition for expungement than the
one who sentenced him in 2014.
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of fact that Davis’s charge had not been dismissed in exchange for a guilty plea
to another offense.
The Commonwealth filed a Kentucky Rules of Civil Procedure (CR) 59.05
motion to alter, amend, or vacate the circuit court’s judgment. Davis did not
file a response to the Commonwealth’s motion, did not attend the circuit
court’s subsequent videoconference hearing on the matter, and has not
participated in any of the proceedings before the Court of Appeals or this
Court. 2 At the videoconference hearing on the Commonwealth’s motion to alter,
amend, or vacate, the circuit court explained to the Commonwealth that it had
reviewed the 2014 judgment dismissing Davis’s theft by deception charge and
found no language indicating that dismissal was conditioned on a guilty plea to
another offense. The circuit court stated that the “judgment is the law of the
case.” In its subsequent order, the circuit court reiterated that it “looks to the
Judgment entered in this case, which does not reflect the idea that this charge
was dismissed in exchange for a guilty plea. The Judgment is the record in the
case, and the Court will not look to extraneous matters to interpret a document
that is clear on its face.” This Court interprets the circuit court’s order as
2 Davis did not file an appellee brief with this Court, and it is unclear whether
Davis appears before this Court pro se or represented by counsel. The Commonwealth
refers to Davis as pro se, but we observe that the circuit court served its Order
denying the Commonwealth’s Motion to Amend, Alter, or Vacate on the attorney that
previously represented Davis in his underlying criminal proceedings. Nonetheless, “[i]f
the appellee’s brief has not been filed within the time allowed, the court may: (a)
accept the appellant’s statement of the facts and issues as correct; (b) reverse the
judgment if appellant’s brief reasonably appears to sustain such action; or (c) regard
the appellee’s failure as a confession of error and reverse the judgment without
considering the merits of the case.” Kentucky Rules of Appellate Procedure (RAP)
31(H)(3). Employing our discretion, this Court declines to penalize Davis.
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reaching a legal conclusion that it was precluded from considering anything
other than the sentencing court’s 2014 judgment in determining whether
Davis’s charge was dismissed in exchange for a guilty plea.
The Commonwealth appealed the circuit court’s grant of Davis’s
expungement petition, and the Court of Appeals affirmed the circuit court’s
decision to rely only on the 2014 judgment to determine Davis’s expungement
eligibility. The Majority of that panel reasoned that “[i]t is the judgment that is
the final word as to what has taken place in Davis’s case”—not the parties’ plea
agreement.
This Court granted the Commonwealth’s motion for discretionary review,
and we now reverse the Court of Appeals because we conclude that, as a
matter of law, the circuit court was permitted to look beyond the 2014
judgment to determine Davis’s expungement eligibility.
ANALYSIS
We review the lower courts’ legal conclusions de novo. Wieland v.
Freeman, 671 S.W.3d 253, 256 (Ky. 2023).
At its simplest of definitions, a “judgment” can be understood to be any
order which conveys “[a] court’s final determination of the rights and
obligations of the parties in a case.” Judgment, Black’s Law Dictionary (11th ed.
2019). In the criminal context, “[f]inal judgment . . . means sentence. The
sentence is the judgment.” Commonwealth v. Carneal, 274 S.W.3d 420, 427
(Ky. 2008) (quoting Burton v. Stewart, 549 U.S. 147, 156 (2007)). This Court,
having promulgated our Kentucky Rules of Criminal Procedure (RCr), has
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specified the necessary components of a trial court’s final judgment of
conviction:
A judgment of conviction shall set forth the plea, the verdict or
findings, the adjudication and sentence, a statement as to whether
the defendant is entitled to bail, the amount of bail and the day of
the execution of a death sentence, which shall be at least thirty
(30) days after the entry of the judgment. If two (2) or more
sentences are imposed, the judgment shall state whether they are
to be served concurrently or consecutively.
RCr 11.04(1).
Notably, our rule does not require the trial court’s judgment to set forth
the circumstances that gave rise to dismissal of a charge in the indictment or,
more specifically, whether that dismissal was conditioned on a plea to another
charge. Simply, a trial court’s judgment is intended to set forth “what,” whereas
the language of KRS 431.076(1)(b) (“not in exchange for a guilty plea to another
charge”) asks the reviewing court to answer “why?”
Having no statutory obligation to detail the conditions of dismissal in its
judgment, it is perhaps no surprise that the trial court that sentenced Davis
declined to include such particulars. Practically then, we observe that a
subsequent trial court charged with determining whether a dismissal was
conditioned on a guilty plea—and thus ineligible for expungement under KRS
431.076(1)(b)—must often look beyond the final judgment. Instead, that court
is forced to look to other evidence in the record, like the parties’ plea
agreement—a practice not all so unfamiliar when determining a defendant’s
expungement eligibility. See, e.g., Rhodes v. Commonwealth, 417 S.W.3d 762
(Ky. App. 2013) (plea agreement was evidence that defendant’s felony charges
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were dismissed without prejudice); Rashad v. Commonwealth, No. 2017-CA-
000628-MR, No. 2017-CA-000777-MR, 2018 WL 4381551 (Ky. App. Sept. 14,
2018) (plea agreement was evidence that defendant’s felony charge was
dismissed in exchange for guilty plea to another offense); Moore v.
Commonwealth, No. 2018-CA-001090-MR, 2020 WL 39972 (Ky. App. Jan. 3,
2020) (plea agreement was evidence that defendant’s felony charges were
dismissed in exchange for guilty plea to another offense)).
In fact, our expungement statutes have often asked our trial courts to
determine expungement eligibility using facts that would be traditionally found
outside the sentencing court’s judgment. KRS 431.078(4)(a) conditions
expungement of a conviction on whether that offense was “not a sex offense or
an offense committed against a child.” Likewise, KRS 431.078(4)(b) conditions
expungement eligibility on whether the defendant has been convicted of
another felony or misdemeanor in the last five years. KRS 431.078(4)(c)
requires that the petitioner seeking expungement not have any outstanding
felony or misdemeanor proceedings pending against him or her. Each of these
requirements would often, if not always, require the reviewing court to look
beyond the sentencing court’s judgment to determine the defendant’s
expungement eligibility.
We are further unconvinced that the relationship between a trial court’s
judgment and a plea agreement precludes review of the greater record.
“Generally, plea agreements in criminal cases are contracts between the
accused and the Commonwealth, and are interpreted according to ordinary
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contract principles.” McClanahan v. Commonwealth, 308 S.W.3d 694, 701 (Ky.
2010). And it is true that “the decision to accept or reject a plea agreement is
always within the province of the trial court” because it is the trial court that
maintains ultimate sentencing authority. Covington v. Commonwealth, 295
S.W.3d 814, 817 (Ky. 2009). But where the trial court declines to speak to an
issue in its judgment, the absence of such language does not erase the
underlying facts—the judgment alone is not the entire “record” but merely the
“sentence.” Carneal, 274 S.W.3d at 427.
We also observe that the Commonwealth, being endowed with great
authority over the dismissal of charges, will perhaps often be in a unique
position to speak to the circumstances underlying a dismissal. RCr 9.64 states
that it is only “[t]he attorney for the Commonwealth, with the permission of the
court, [that] may dismiss the indictment, information, complaint or uniform
citation prior to the swearing of the jury or, in a non-jury case, prior to the
swearing of the first witness.” “[S]ubject to rare exceptions . . . a trial judge has
no authority, absent consent of the Commonwealth’s attorney, to dismiss,
amend, or file away before trial a prosecution based on a good indictment.”
Hoskins v. Maricle, 150 S.W.3d 1, 13 (Ky. 2004).
CONCLUSION
Having determined that, as a matter of law, a circuit court may look
beyond the sentencing court’s final judgment to determine whether a dismissal
was granted in exchange for a guilty plea to another charge, we hold that the
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circuit court erred in failing to do so. We therefore reverse the Court of Appeals
and vacate the circuit court’s order granting expungement.
VanMeter, C.J.; Bisig, Conley, Keller, Lambert and Nickell, JJ., sitting.
All concur. Thompson, J., not sitting.
COUNSEL FOR APPELLANT:
Russell M. Coleman
Attorney General of Kentucky
Melissa Ann Pile
Assistant Attorney General
APPELLEE PRO SE:
Ahmad Rashad Davis
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