Richard D. Floyd IV M.D. v. Charlotte A. Neal

CourtKentucky Supreme Court
DecidedDecember 19, 2019
Docket2018-SC-0277
StatusUnpublished

This text of Richard D. Floyd IV M.D. v. Charlotte A. Neal (Richard D. Floyd IV M.D. v. Charlotte A. Neal) 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
Richard D. Floyd IV M.D. v. Charlotte A. Neal, (Ky. 2019).

Opinion

RENDERED: DECEMBER 19, 2019 TO BE PUBLISHED

2018-SC-000277-DG ©AT i RICHARD D. FLOYD, IV M.D., APPELLANTS NEW LEXINGTON CLINIC, P.S.C.

ON REVIEW FROM COURT OF APPEALS V. CASE NO. 2017-CA-000120-MR FAYETTE COUNTY CIRCUIT COURT NO. 13-CI-00221

CHARLOTTE A. NEAL AND APPELLEES CHARLOTTE A. NEAL, EXECUTRIX OF THE ESTATE OF MICHAEL H. NEAL

OPINION OF THE COURT BY JUSTICE LAMBERT REVERSING

Dr. Richard Floyd and New Lexington Clinic challenge the Court of

Appeals’ holding that the Fayette Circuit Court erred when it declined to strike

a juror for cause. The only issues presented by this appeal are: (1) was the

error regarding the trial court’s failure to strike the juror for cause properly

preserved for appellate review; and (2) did the trial court err by failing to strike

the complained-of juror for cause. After review, we reverse.

I. FACTUAL AND PROCEDURAL BACKGROUND

This appeal originates from a medical malpractice suit brought against

Dr. Floyd and New Lexington Clinic by Charlotte Neal. Charlotte is the widow

of Michael Neal, the decedent in this case. Michael passed away due to complications following open heart surgery performed by Dr. Floyd. Charlotte

sued Dr. Floyd for medical negligence and wrongful death and brought a

respondeat superior claim against his practice group, New Lexington Clinic.

Following a jury trial, ten of the twelve jurors found that Dr. Floyd did not fail

to meet the post-operative duty of care owed to Michael. Therefore, the case

was dismissed.

Charlotte argued at the Court of Appeals that the trial court erred by

refusing to strike Juror 4243 (Juror A) for cause. Dr. Floyd responded that

Charlotte failed to properly preserve that alleged error for review. The Court of

Appeals held that the error was properly preserved and that the trial court

committed reversible error by failing to strike Juror A for cause.

Additional facts are discussed below as necessary.

II. ANALYSIS

The parties’ arguments to this Court are identical to those presented to

the Court of Appeals: Charlotte asserts that the trial court erred by failing to

strike Juror A for cause, while Dr. Floyd contends that the alleged error was

not properly preserved for our review.

Dr. Floyd supports his contention by presenting three separate, yet

interwoven, arguments: (1) Charlotte did not indicate on her strike sheet the

jurors she would have used peremptory strikes on if she had not been required

to use them on Juror A, and instead stated them orally on the record; (2) she

moved the trial court for removal of one juror for cause, yet identified two

2 jurors she would have used peremptory strikes on; and (3) she identified the

jurors she would have otherwise used her peremptory strikes on after both

parties discussed their peremptory strikes with the court. These arguments

demonstrate a need for this Court to clarify the procedure required to preserve

the argument that a trial court erred by failing to strike a potential juror for

cause. Therefore, as part of providing that clarity, a brief survey of the case

law in this area is warranted.

A good starting point is Shane v. Commonwealth.1 In Shane, we

addressed whether the holding in Morgan v. Commonwealth2 should be

overruled.3 Morgan held that use of peremptory challenges is not a substantial

right.4 Therefore, analysis under Morgan asked, “whether using a peremptory

strike for a juror who should have been excused for cause had a reasonable

probability of affecting the verdict,” i.e. harmless error analysis.5 Morgan

focused on whether the jury itself was qualified, not on whether the process of

selecting the jury was fair.6 Therefore, if the jury that tried the case was

qualified the trial was considered fair.7 It did not matter that a litigant was

1 243 S.W.3d 336, 337 (Ky. 2007), as modified (Apr. 9, 2008). 2 189 S.W.3d 99 (Ky. 2006), as corrected (Jan. 25, 2006), as modified (May 3, 2006), as modified on denial ofreh'g (May 18, 2006), overruled by Shane v. Commonwealth, 243 S.W.3d 336 (Ky. 2007). 3 Shane, 243 S.W.3d at 337. 4 Id. at 339. 5 Id. at 341. 6 Id. 7 Id.

3 forced to exercise a peremptory strike on a juror that should have been struck

for cause, because denial of a peremptory strike did not involve a litigant’s

substantial rights.8

Shane expressly overruled Morgan and held that use of peremptory

strikes is a litigant’s substantial right, making harmless error analysis

inappropriate for appellate review.9 Accordingly, Shane held it is reversible

error if a litigant is forced to exercise a peremptory strike on a juror and the

trial court abused its discretion in failing to strike said juror for cause.1011

Two years later, we gave additional guidance about the steps required to

preserve an error under Shane. In Gabbard v. Commonwealth,12 this Court

held for the first time that, “in order to complain on appeal that he was denied

a peremptory challenge by a trial judge's erroneous failure to grant a for-cause

strike, the [litigant] must identify on his strike sheet any additional jurors he

would have struck.”13

In the same year as Gabbard, we established an exception to the Shane

and Gabbard rules in King v. Commonwealth.14 King held that if the additional

8 Id. 9 Id. 10 Id. 11 Of course, this rule assumes that the litigant has otherwise exhausted all her peremptory strikes. 12 297 S.W.3d 844 (Ky. 2009). 13 Id. at 854 (emphasis added). 14 276 S.W.3d 270 (Ky. 2009).

4 jurors a litigant would have struck as identified on his strike sheet did not

ultimately sit on the jury, the trial court’s error is effectively cured and the

litigant’s substantive rights have not been violated.15

Four years later, in Grubb v. Norton Hosps., Inc., we held that Shane,

Gabbard, and their progeny apply to both civil and criminal jury trials.16 Later

the same year this Court rendered Hurt v. Commonwealth17 and Mackey v.

Commonwealth.18 For our purposes in this case, Hurt did two things. First, it

established that a litigant must indicate which jurors he would have used

peremptory strikes on prior to the jury being empaneled, otherwise the error is

unpreserved as untimely.19 Second, the dicta in Hurt reinforced the notion that

Gabbard requires strict compliance insofar as would-be peremptory strikes

must be reflected on a litigant’s strike sheet:

Hurt exhausted all of his peremptory strikes and made a statement on the record immediately following the seating of the jury informing the trial court that had the motion to strike Juror 149 been granted, he would have used a peremptory strike to remove Juror 241...Despite making these declarations, Hurt concedes that he failed to indicate on his strike sheet before the jury was seated that he would have exercised a peremptory strike against Juror 241 had the trial court excused Juror 149 for cause. Hurt's challenges, arising after the seating of the jury, were untimely and therefore

15 Id. at 279. 16 401 S.W.3d 483

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Gabbard v. Commonwealth
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401 S.W.3d 483 (Kentucky Supreme Court, 2013)
Mackey v. Commonwealth
407 S.W.3d 554 (Kentucky Supreme Court, 2013)
Hurt v. Commonwealth
409 S.W.3d 327 (Kentucky Supreme Court, 2013)
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