Court Opinion

ID: 9734701
Source: CourtListenerOpinion
Date Created: 2023-08-26 17:43:42.724792+00
Date Added: 2024-06-11T18:26:50.658707
License: Public Domain

Dissenting opinion by
Justice ROACH.
I respectfully dissent. Quite simply, the majority opinion has ignored the standard of review applicable to a trial court’s decision to declare a mistrial. Although the majority correctly describes the standard of review of such a decision by an appellate court as abuse of discretion, its application of the standard in this case fails to give the proper level of deference to the trial court. This is evidenced by such statements as: “When deciding there is manifest necessity to declare a mistrial, we must look to see if either parties’ right to a fair trial has been infringed upon.” Ante at 80 (emphasis added). The question before this Court is not whether we believe there was a manifest necessity to declare a mistrial, but whether the trial court abused its discretion in declaring a mistrial.
As this Court has repeatedly noted, “[wjhether to grant a mistrial is within the sound discretion of the trial court, and such a ruling will not be disturbed absent an abuse of that discretion.” Bray v. Commonwealth, 177 S.W.3d 741, 752 (Ky.2005) (citation and internal quotation marks omitted). The rationale for this grant of discretion is that the trial court is uniquely situated to evaluate the facts of trial as they emerge in the heat of the moment. We have stated:
The trial court has broad discretion in determining when a mistrial is necessary. As explained in Wiley v. Commonwealth, Ky.App., 575 S.W.2d 166 (1979), “Where, for reasons deemed compelling by the trial judge, who is best situated intelligently to make such a decision, the ends of substantial justice cannot be attained without discontinuing the trial, a mistrial may be declared .... ” Id. at 169, quoting Gori v. United States, 367 U.S. 364, 81 S.Ct. 1523, 6 L.Ed.2d 901 (1961).
Gosser v. Commonwealth, 31 S.W.3d 897, 906 (Ky.2000) (emphasis added); see also Kirkland v. Commonwealth, 53 S.W.3d 71, 76 (Ky.2001) (“For the purpose of appellate review, the trial judge is always recognized as the person best situated to properly evaluate the circumstances as to when a mistrial is required.” (emphasis added)); Grimes v. McAnulty, 957 S.W.2d 223, 225 (Ky.1997) (“In reviewing a decision to grant a mistrial, the trial court must have a measure of discretion. ‘The interest in orderly, impartial procedure would be impaired if he were deterred from exercising that power by a concern that at any time a reviewing court disagreed with his assessment of the trial situation a retrial would automatically be barred.’ Arizona v. Washington, 434 U.S. 497, 513, 98 S.Ct. 824, 834, 54 L.Ed.2d 717 (1978). Furthermore, ‘[t]he adoption of a stringent standard of appellate review in this area ... would seriously impede the trial judge in the proper performance of his duty, in order to protect the integrity of the trial....' Id. (Quoting United States v. Dinitz, 424 U.S. 600, 612, 96 S.Ct. 1075, 1082, 47 L.Ed.2d 267 (1976)).”). Our rule is clear; not only is the trial court’s decision to grant a mistrial entitled to deference, it is entitled to a great deal of deference. That deference requires that we *85leave untouched the trial court’s decision absent a clear abuse of discretion, the test for which we have described as “whether the trial judge’s decision was arbitrary, unreasonable, unfair, or unsupported by sound legal principles.” Commonwealth v. English, 998 S.W.2d 941, 945 (Ky.1999).
A review of what actually occurred in this matter demonstrates that the trial court did not abuse its discretion. Prior to trial, Sherry Radford, Appellant’s sister-in-law, contacted three women, Becky Rush, Angela Burchett, and Angela Morrison, who were set to testify at trial. The majority’s description of Ms. Rush’s testimony is accurate. She admitted that Ms. Radford had called and told her that she did not have to talk to the Commonwealth’s Attorney if she did not want to. In essence, all Ms. Radford did was inform Ms. Rush that she could choose not the talk to the prosecutor prior to trial. Such contact, while perhaps not ideal, is relatively innocuous and technically not improper. Had the mistrial been predicated on the contact with Ms. Rush alone, the question of whether the trial court abused its discretion would be a closer one. But there was additional testimony from two other witnesses about Ms. Radford’s contact with them. That testimony is significantly more troubling — or at least should be — than the majority lets on.
In describing Ms. Radford’s contact with Ms. Burchett, the majority states, “Rad-ford told [Ms. Burchett] that the Appellant had asked her to call and tell her that the ‘other side’ would be contacting her. Rad-ford also told her that all she needed to do, if they called, was answer yes or no to the questions they asked — she did not have to elaborate.” Ante at 75). The majority also notes that Ms. Radford neither threatened Ms. Burchett nor asked her to lie. While the majority is technically correct that Ms. Radford made no threats and did not ask Ms. Burchett to lie, the transcript of the trial belies their overall characterization of the contact as an innocent attempt to inform the witness of her rights when dealing with the prosecutor. The following is from Ms. Burchett’s testimony in the judge’s chambers:
Q. Now, about — sometime last week, did you receive a call from Sherry Rad-ford?
A. Yes, sir.
Q. And, what did she tell you?
A. She said that Mr. Radford had— had called her and asked — asked her to call me and let me know — she said, “Well, Mr. Radford wants you to know that — that you’re going to be getting a call from the other side.” And, I didn’t ask who the other side was. She just said you would be getting a call from the other side and to answer yes to — only to answer yes and no and — and not elaborate on anything. And, I said' — -I said, “I don’t know anything to elaborate on.”
(Emphasis added). Ms. Burchett then testified that Sherry Radford asked her about whether she had caller ID so that she could identify when the Commonwealth was calling her. Ms. Burchett also stated that she was not comfortable talking about the subject matter with Sherry Radford.
The majority describes Ms. Radford’s contact with Ms. Morrison in much the same way it described her contact with Ms. Burchett, with a focus on Ms. Radford allegedly only informing Ms. Morrison of how she was free to respond to the “other side.” Again, the transcript reveals that Ms. Radford was more than merely “informative.” The following is from Ms. Morrison’s testimony in the trial judge’s chambers:
Q. Did she [Sherry Radford] tell you that Mr. Radford had asked her to call?
A. Yes.
*86Q. And, what was the tenor of her conversation with you; what did she want you to do?
A. I was encouraged that if the Commonwealth Attorney’s Office called me to answer only yes or no to any questions asked of me on the phone.
Q. Don’t elaborate on anything, is that what you were told1
A. Right.
Q. Did — did Ms. Radford tell you that anything you said might be used against Jimmie in Court?
A. Yes.
Q. And, was it clear to her tone that she was asking you to be sympathetic in your testimony for Mr. Radford?
A. I think so.
The Court: Let me just ask you this question. Did the call upset you?
A. A little.
The Court: In what respect?
A. Well, I felt like it wasn’t the right thing to do.
(Emphasis added).
After the three witnesses were questioned, Sherry Radford was called into the trial court’s chambers. Initially, the court explained to Ms. Radford that certain witnesses had testified that she had called them at the behest of her brother-in-law. The court read Ms. Radford her Miranda rights and then asked: “Now, do you wish to make some statements voluntarily or do you wish to procure the services of an attorney?” Ms. Radford responded with a blatant lie, stating, “I don’t know what to say. I haven’t called anybody.” The court then asked, “You — well, I — I don’t want to go much farther, but you have not called any people who have been witnesses or may be witnesses in the case involving Jimmie Radford?” Ms. Radford responded, “No,” once again lying. The court then asked Ms. Radford about the specific witnesses, whereupon she admitted to having had limited contact with them, stating, “We just talked about we was being summoned. We all talked about that. We’ve not talked about the case.” In light of the other witnesses’ testimony recounted above, this statement was also deceptive. At this point the trial court explained to Ms. Radford that she might want to secure the services of an attorney, and Appellant’s counsel requested a few minutes to talk to Ms. Radford.
The majority opinion gives the impression that after this last exchange the trial court rushed to open court and declared a mistrial without the attorneys present and without them knowing that a mistrial was going to be declared. A review of the record demonstrates that this simply is not true. After questioning Ms. Radford, the trial judge went into the courtroom and informed the jury there was going to be a recess. Subsequent to the recess, court was convened with the attorneys present. A bench conference was held, the transcript of which demonstrates that the attorneys were aware that a mistrial was about to be granted. Before the mistrial was declared, the following exchange is found in the record:
Commonwealth: Judge, because of the media, particularly, I’m afraid that if you detail too many things at this point it might make it very difficult to get a jury the next time.
The Court: Well, it — it may, but I think the jury deserves an explanation.
At that point no mistrial had been declared. The transcript then reveals the following discussion by the court, the Commonwealth’s attorney, and Appellant’s attorney, Mr. Lambertus:
The Court: I believe the jury is present. Do both attorneys waive the polling of the jury?
Commonwealth: Yes, your honor.
*87Mr. Lambertos: Yes.1
The trial court then made the following statement to the jury:
Ladies and gentlemen of the jury, yesterday you were selected as jurors in the action of the Commonwealth of Kentucky against Jimmie Radford. You were sworn, and you have heard certain testimony. Since the noon recess, or a short time before the noon recess, the following developments have occurred; this Court was informed, and has heard testimony from Angela Burchett, who is a witness in this particular case. Angela Burchett testified in substance that she was contacted by Sherry Radford, a sister-in-law to this defendant, and that Sherry Radford asked her if she had caller I.D., asked her further that if she is contacted by the Commonwealth Attorney office, or any other person at the Commonwealth Attorney’s office, that she should just answer any questions yes or no, and not elaborate. She further stated in very specific terms that she was asked to do this by the defendant, Jimmie Radford. Angela Morrison also testified that she received a call from Sherry Radford. Her statement was that Jimmie — obviously referring to the defendant — asked her to call, and she also was asked by Sherry Radford to answer only yes or no, and further was told that anything she said could be used against Mr. Radford. Becky Rush testified that she received a call from Ms. Radford, and that the call occurred a week ago this past Sunday night, and also this witness testified that Sherry Radford informed her that Jimmy— meaning Jimmie Radford — asked her to call, and that she — meaning Sherry Rad-ford — had talked to Jimmie, and he wanted her to call Ms. Rush. I am first of all going to ask that Sherry Radford be fully investigated. There are laws that relate to intimidation of witnesses or contacting witnesses in any criminal case. I want this matter fully investigated by the Kentucky State Police, the sheriffs department, or other appropriate agencies. As long as I am Judge, I will not tolerate things of this nature. It is a great service for people to come in as jurors and serve. It is a great honor for me to serve as your Judge and to serve the other two counties in my district. I will always strive to see that absolute honesty and decorum is maintained in the course of law. It is an ordeal for anyone to come in as a witness and testify under oath facing skilled attorneys and being asked questions. They should do so without hesitation. They should do so without fear that what they say might be twisted or distorted, and they should be able to explain and amplify the questions and answers that — that are propounded. This is improper. I do not condone it. I want it looked into. And, based upon this allegation that we heard in chambers, I am going to declare a mistrial and discharge this jury as I do not want to proceed when there’s a cloud — and a very dark and ominous cloud — hanging over these proceedings. It is a dark day in Cumberland County, or in any other county, in the Commonwealth of Kentucky when actions such as this occur. I will schedule the action of Commonwealth against Jimmie Radford for a pre-trial hearing for further proceedings on the 19th of August, 2004, in the Cumberland Circuit Court. I am sorry that you’ve wasted your time, ladies and gentlemen of the jury. I am also sorry that proceedings cannot be conducted accord*88ing to fidelity and legal principles of law when conduct such as this occurs. You remember when your next appearance date will be as members of the jury and that will be August 3. So, you can take your pads with you, or turn them into the sheriff. I assure you that what responses you have written will not be revealed. Court is now adjourned.
In light of what actually happened during the trial, we simply cannot say that the trial court clearly acted inappropriately and therefore abused its discretion. After interviewing the relevant individuals, the trial court concluded that Appellant and Ms. Radford had acted improperly. The record clearly contains evidence to support this conclusion. Both Ms. Burchett and Ms. Morrison stated that they were contacted and given instructions on how to act if contacted by the Commonwealth’s Attorney, specifically not to elaborate on anything and to answer only yes and no. Telling a witness what she may do is very different from telling a witness to do something, as the latter is more in line with a command. Additionally, one of these witnesses testified that she was upset by the call, and the other testified that she had been uncomfortable talking with Ms. Rad-ford. Moreover, when questioned by the trial court, Ms. Radford lied repeatedly about whether she had contacted any witnesses on her brother-in-law’s behalf. She admitted to limited contact — less than that described by the witnesses themselves— only after being confronted by the trial court with specific details of her behavior.
Although the majority opinion attempts to make this case about whether Sherry Radford’s behavior constituted a crime, this is not the appropriate inquiry. First, it places an impossibly high burden on the trial court to justify declaring a mistrial in that the evidence must prove absolutely that a crime was committed. Though a mistrial is an extraordinary remedy, it is not an impossible one. Moreover, the appropriate inquiry, regardless of whether Sherry Radford committed a crime, is whether the trial court abused its discretion when it declared a mistrial, and thus necessarily found that manifest necessity had occurred. The testimony by Ms. Bur-chett and Ms. Morrison that they had been instructed to answer questions in a certain way by a relative of a criminal defendant pursuant to the defendant’s request, especially when coupled with subsequent deceptive testimony from the relative, was more than enough to arouse the trial court’s fear that something improper had occurred. Even if Ms. Radford’s behavior was neither criminal nor technically improper, her contact with the witnesses was at the very least untoward, unseemly, and, to me, unsettling.2
When presented with such evidence, a trial judge is forced to consider the extreme remedy of a mistrial. Admittedly, in deciding to grant the mistrial in this case, the trial court was armed only with the limited and imperfect information it could garner from, questioning the witnesses in the immediately-preceding few minutes. But we must recognize that almost all such decisions are made “under the gun.” The fast pace of trial rarely allows the trial judge to take a’ break to *89cautiously ponder the question presented. Such reflective adjudication is a luxury enjoyed primarily by appellate judges like myself and my brethren. On the other hand, the trial judge enjoys a more direct connection to evidence presented at trial, whether from the witness stand or in chambers, even when that evidence is limited or imperfect. This connection is grounded in the trial court’s ability to observe first-hand and interact with the relevant witnesses and, usually, a familiarity with the locale, the combination of which ultimately leads to a better grasp of the nuances of the facts and a more robust understanding of the situation at trial. Thus, even though the trial court may have limited information on which to proceed, it is almost always in a better position to evaluate the facts than an appellate court. The trial court’s relative advantage in this respect provides the generally accepted, and indeed powerful, rationale for allowing the trial court broad discretion as to whether to grant a mistrial. This broad discretion requires that we defer to the trial court, rather than substituting our own assessment of the situation long after the fact.
With this in mind, I think the transcript makes clear that no one can reasonably conclude that the trial court’s decision to grant the mistrial “was arbitrary, unreasonable, unfair, or unsupported by sound legal principles.” English, 993 S.W.2d at 945. The trial court was presented with evidence of possibly improper witness contact by a relative of a criminal defendant and at the behest of the defendant. Though the trial court’s decision based on this evidence was hurried and no doubt difficult, it was not baseless or capricious. Thus, I can only conclude that the decision to grant a mistrial did not amount to an abuse of its discretion. Thus, I respectfully dissent.
JOHNSTONE and WINTERSHEIMER, JJ., join this dissenting opinion.

. Importantly, Appellant’s attorney never objected on the record to the court's decision to grant a mistrial. In addition, Appellant’s Brief makes no mention that his arguments were preserved by an objection.

. It should also be noted that cases from other jurisdictions addressed by the majority for the proposition that only an attempt to influence or limit contact with a witness are grounds for a mistrial, ante at 80-82, are of limited relevance to the matter at hand. All of these cases concern an appeal by a convicted defendant who argues that the trial court denied him due process by not granting a mistrial. Not only is there evidence in this case that Ms. Radford, by telling the witnesses how they should answer questions and by making them feel uncomfortable, may have attempted to influence the witnesses or limited the Commonwealth's access to them, but the trial court actually granted the mistrial.