ANGELA COMBS V. COMMONWEALTH OF KENTUCKY
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AMENDED: June IO,2002
1998-SC-1124-
ANGELA COMBS
V.
ON REVIEW FROM COURT OF APPEALS
1997-CA-1143-MR
FAYETTE CIRCUIT COURT NO. 97-CR-0235
COMMONWEALTH OF KENTUCKY
APPELLEE
OPINION OF THE COURT BY JUSTICE KELLER
REVERSING AND REMANDING
I. INTRODUCTION
A Fayette Circuit Court jury found Appellant guilty of two (2) counts of FirstDegree Trafficking in a Controlled Substance (Cocaine) and recommended that she
serve consecutive terms of five (5) years for each offense. The trial court sentenced
Combs to ten (IO) years imprisonment in accordance with the jury’s recommendation,
and the Court of Appeals affirmed Appellant’s convictions on direct appeal. Appellant
sought, and this Court granted, discretionary review to address Appellant’s contention
that the trial court erred when it excluded the testimony of a defense alibi witness
because that witness intended to invoke her Fifth Amendment privilege against selfincrimination in response to certain questions.
II. BACKGROUND
The Fayette County Grand Jury returned a two (2) count indictment against
Appellant charging her with First-Degree Trafficking in a Controlled Substance
(Cocaine) on two (2) occasions in the Fall of 1996:
COUNT 1:
On or about the !jth day of November, 1996, in Fayette
County, Kentucky, the above named Defendant committed
the offense of trafficking in a controlled substance first
degree by unlawfully selling or transferring a quantity of
crack cocaine.
COUNT 2:
On or about the 31” day of October, 1996, in Fayette
County, Kentucky, the above named Defendant committed
the offense of trafficking in a controlled substance first
degree by unlawfully selling or transferring a quantity of
crack cocaine . . . .
The charges stemmed from two (2) “controlled-purchases” made by a confidential
informant working with the Lexington-Fayette Urban County Police Department. The
Commonwealth alleged at trial that Appellant had engaged in hand-to-hand
transactions in crack cocaine with the confidential informant at Appellant’s home, and
Appellant defended against the charges by alleging that she was not at home on the
occasions the Commonwealth alleged that she was dealing in crack cocaine.
Appellant’s alibi defense consisted of testimony that she was shoplifting on the October
31, 1996 occasion and that she had an appointment at the home of a hair stylist on the
November 5, 1996 occasion.
At trial, the Commonwealth introduced testimony from: (1) Detective Pete Ford,
who testified that, on October 31, 1996 at about 12:30 p.m. and again on November 5,
1996 at about 4:25 p.m., he supplied a confidential informant with money to purchase
illegal drugs at Appellant’s residence. Detective Ford testified that on each occasion,
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the informant entered Appellant’s residence and returned with a substance that the
state forensic laboratory later determined was crack cocaine. Detective Ford further
testified that on each occasion he personally observed Appellant as she walked the
informant to the door; (2) a representative from the Lexington-Fayette Urban County
Government Housing Authority who verified that Appellant leased the residence where
these controlled purchases allegedly took place; and (3) the confidential informant, who
verified Detective Ford’s account of the controlled purchases and testified that she often
worked as a paid confidential informant for the police.
The defense presented testimony from: (1) a K-Mart Loss Control Manager who
laid a foundation for the introduction of documentation concerning the detention for
suspected shoplifting of two (2) African-American women on October 31, 1996 at the KMart on New Circle Road in Lexington. One of the detainees had signed the
documentation “Teresa Lewis” after first starting to sign her name with the letter “A.“;
(2) Yvette Leigh, who testified that she had styled Appellant’s hair for years and had
been styling her hair at the time of the November 5, 1996 cocaine purchase. Leigh
explained that she specifically remembered the day because it was Election Day and
because she had done Appellants hair during the afternoon instead of the evening
when she typically did Appellant’s hair; and (3) Appellant herself, who denied
participation in any cocaine transactions and denied being at her residence on the
dates and times of the alleged controlled drug purchases. Appellant testified that, at
the time of the October 31” occasion, she was detained at a Lexington K-Mart store
after she was caught shoplifting and that, on the November 5th occasion, she was at
Yvette Leigh’s house for a hair appointment. Appellant also testified that other people
had access to her apartment on the dates in question and provided a motive for the
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confidential informant to fabricate charges against her by testifying that she and the
informant did not get along.
The sole issue on appeal concerns the trial court’s ruling that precluded Tracy
Williams from testifying on behalf of Appellant. During his opening statement,
Appellant’s trial counsel stated that Williams would testify that on the afternoon of
October 31, 1996, she and Appellant had been shoplifting at K-Mart and Appellant had
been detained by store authorities. Appellant’s trial counsel initially called Williams as
the first witness for the defense.
Based upon counsel’s opening statement
representations concerning the testimony expected from Williams, before Williams
testified, the trial court placed her under oath and advised her of her constitutional
rights outside the presence of the jury. Although Williams initially stated that she had
no need for an attorney, she later reconsidered that decision, and a Fayette County
Legal Aid public defender was summoned to advise her. After consulting with the
attorney, the defense and the Commonwealth each questioned Williams, and Williams
invoked her Fifth Amendment right against self-incrimination on two (2) occasions
during the questioning:
Defense:
Williams:
Could you state your name please?
Tracy Lynn Williams
Defense:
Williams:
Do you know Angela Combs?
Yes, sir, I do.
Defense:
Williams:
Were you with Angela Combs on October 31,
1996?
Yes, sir, I was.
Defense:
Williams:
Where were you with her at?
At K-Mart on New Circle Road.
Defense:
What were you all doing? And you may need
to speak with [your attorney].
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Williams:
We were shopping.
Defense:
Williams:
You were shopping?
Yes, sir.
Defense:
Do you know if Angela took any, or attempted
to take any items there at the K-Mart?
I would not like to answer that question
because I might incriminate myself.
Williams:
Williams:
Do you know if Angel was detained there at the
K-Mart?
Yes, sir, I do.
Defense:
That’s all I have, Your Honor.
Comm.:
Williams:
Ma’am, what was your involvement?
I would like not to answer that on the grounds I
may incriminate myself.
Comm.:
Williams:
Did Ms. Combs drive there with you present in
the car?
Yes, sir, she did.
Comm.:
That’s all I have.
Defense:
After the examination, the Commonwealth moved the trial court to preclude
Williams from testifying because of her intention to invoke a privilege with respect to
some questions, but not others:
It was our motion to preclude this witness from testifying.
It’s the Commonwealth’s position that if they are going to
assert the privilege then they can’t testify to anything other
than name or date. They can’t selectively choose which
questions they are going to answer and which questions
they are not going to answer. By them stating that they were
at a certain place and time, I think the Commonwealth is
unfairly prejudiced by not being able to ask them why they
were there and what they were doing there, what was their
vantage point, things of that nature. . . . Essentially, once a
witness takes the stand and invokes his Fifth Amendment
privilege, that’s essentially it. You can’t ask any further
questions and there is no support within this State and no
federal support that the Commonwealth is aware of that
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would allow a witness to selectively choose which questions
they are going to answer.
Defense counsel argued that “in this particular case, given the facts and circumstances,
it is necessary for us to be able to ask the witness the non-inculpatory questions . . .
because it will effectively establish the alibi defense which my client is relying on and
preventing her to do that would violate her Fifth and Sixth Amendment rights.” The
Commonwealth argued in response that Williams’s assertion of the privilege effectively
prevented them from cross-examining the witness. The trial court agreed with the
Commonwealth’s argument and granted the motion to preclude Williams from testifying:
[Slimply by taking the stand, this witness would have to
waive her Fifth Amendment privileges and we can’t
piecemeal what she is going to waive and what she is not
going to waive. . . . [T]he court will allow her to assert her
Fifth Amendment and not allow her to be called as a witness
in this case.
The issue before this Court, therefore, is whether the trial court erroneously
precluded Williams from testifying and thereby prejudiced Appellant.
III. ANALYSIS
A. EXCLUSION OF WILLIAMS’S TESTIMONY
This Court has recognized that “neither the prosecution nor the defense may call
a witness knowing that the witness will assert his Fifth Amendment privilege against
self-incrimination,“’
and we have applied this black-letter law in cases where a witness
invokes the privilege in order to avoid answering any substantive questions.2 However,
‘Clayton v. Commonwealth, Ky., 786 S.W.2d 866, 868 (1990).
*id at 868 (“The witness, with his attorney present, and on his advice, gave his
name a; address, and then invoked the privilege.“); Commonwealth v. Brown, Ky.,
(continued...)
in Commonwealth v. Gettvs3 the Court of Appeals recognized that the black-letter
principle may be inapplicable when a preliminary inquiry reveals that the witness would
invoke the privilege in response to some questions, but could otherwise give relevant
testimony.4 The Get&s Court recognized that a trial court could allow the witness to
testify, but limit the scope of cross-examination to avoid unrelated topics upon which
the witness would invoke the privilege.5
The federal courts have addressed analogous issues in three (3) contexts: (1)
where a defense witness invokes the privilege as to one or more cross-examination
questions from the prosecution (implicating the defendant’s Sixth Amendment right to
compulsory process);” (2) where a prosecution witness invokes the privilege as to one
or more of the defense’s cross-examination questions (implicating the defendant’s Sixth
*(...continued)
619 S.W.2d 699, 701-703 (1981), overruled on other grounds, Murphy v.
Commonwealth, 652 S.W.2d 69 (1983) (“At a pre-trial hearing, Owens and Furman
indicated that they would refuse to testify on the grounds of their . . . privileges against
self-incrimination. . . . [T]he trial court rightly decided that the Commonwealth not be
allowed to call them as witnesses because the Commonwealth was aware that they
would assert their privileges against self-incrimination.“).
3Ky.App., 610 S.W.2d 899 (1981).
41d. at 901.
6See United States v. Garv 74 F.3d 304 (lst Cir. 1996); United States v.
McKneelv, 69 F.3d 1067 (1 Oth Cir.’ 1995); Denham v. Deeds, 954 F.2d 1501 (gth Cir.
1991); United States v. Nearete-Gonzales, (gth Cir. 1992); United States v. Norwood,
931 F.2d 297 (5th Cir. 1991); United States v. Esparsen, 930 F.2d 1461 (lOth Cir. 1991)
cert. denied, 502 U.S. 1036, 112 S.Ct. 882, 116 L.Ed.2d 786 (1992); Lawson v. Murray,
837 F.2d 653 (4th Clr. 1988) cert. denied, 488 U.S. 831, 109 S.Ct. 87; 102 L.Ed.2d 63
(1988); United States v. Lord, 711 F.2d 887 (gth Cir. 1983).
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Amendment confrontation rights);7 and (3) where the defendant testifies in his or her
own defense, but invokes the privilege as to one or more of the prosecution’s questions
on cross-examination (implicating the defendant’s Fifth Amendment right to testify in his
own defense).8
Although there are different constitutional concerns at stake in each
situation, the federal courts have recognized that prohibiting a witness from testifying or
striking the entirety of a witness’s testimony is a “drastic remedy not lightly invoked,“g
but that may be necessary “when refusal to answer the questions of the cross-examiner
frustrates the purpose of the process.“‘o As such, the federal courts have recognized
the importance of cross-examination to the truth-seeking adversarial process:
Whether a witness is telling the truth or lying is as
important as what the witness says, and there is no better
way than cross examination under oath to help a jury decide
whether it is being lied to:
‘a “Annotation: Propriety of Court’s Failure or Refusal to Strike Direct
Testimony of Government Witness Who Refuses, On Grounds of Self-Incrimination, to
Answer Questions on Cross-Examination,” 55 A.L.R. Fed. 742 (2001); United States v.
Curry, 997 F.2d 43 (4’h Cir. 1993); United States v. Berrio-Londono, 946 F.2d 158 (1”
Cir. 1991); United States v. Zapata, 871 F.2d 616 (7’h Cir. 1989); United States v.
Humphrey, 696 F.2d 72 (8’h Clr. 1982), cert. denied 459 U.S. 1222, 103 S.Ct. 1230, 75
L.Ed.2d 463 (1983); United States v. Nunez, 668 F.2d 1116 (IO’” Cir. 1981); United
States v. Seifert, 648 F.2d 557 (gth Cir. 1980); United States v. Williams, 626 F.2d 697
(gth Cir. 1980); United States v. Demchak, 545 F.2d 1029 (5th Cir. 1977); Fountain v.
United States, 384 F.2d 624 (5th Cir. 1967), cert. denied 390 U.S. 1005, 88 S.Ct. 1246,
20 L.Ed.2d 105 (1968); United States v. Cardillo, 316 F.2d 606 (2”d Cir. 1963), cert.
denied 375 U.S. 822, 84 S.Ct. 60, 111 L.Ed.2d 55 (1963).
‘See Williams v. Borg, 139 F.3d 737 (gth Cir. 1998), cert. denied 525 U.S. 937,
119 S.Ct. 353, 142 L.Ed.2d 292 (1988); United States v. Bartelho, 129 F.3d 663 (lst Cir.
1997), cert. denied 525 U.S. 905, 119 S.Ct. 241, 142 L.Ed.2d 198 (1998); United States
v. Montgomery, 998 F.2d 1468 (gth Cir. 1993).
“United States v. McKneely, supra note 6 at 1076 (citing Lawson v. Murray,
supra note 6 at 656.). See also United States v. Lord, supra note 6 at 892 (“[Sltriking
the witness’s entire testimony is an extreme sanction.“).
“Lawson v. Murray, supra note 6 at 656.
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The belief that no safeguard for testing the
value of human statements is comparable to
that furnished by cross-examination, and the
conviction that no statement (unless by special
exception) should be used as testimony until it
has been probed and sublimated by that test,
has found increasing strength in lengthening
experience.
Not even the abuses, the mishandlings, and
the puerilities which are so often found
associated with cross examination have
availed to nullify its value. It may be that in
more than one sense it takes the place in our
system which torture occupied in the
mediaeval system of the civilians.
Nevertheless, it is beyond any doubt the
greatest legal engine ever developed for the
discovery of truth. However difficult it may be
for the layman, the scientist, or the foreign
jurist to appreciate this its wonderful power,
there has probably never been a moments
doubt upon this point in the mind of a lawyer of
experience.
V Wigmore on Evidence § 1367 (Chadbourne rev. ed.
1974). A person’s story is not much use to a jury if the jurors
are denied the information they need to evaluate how likely it
is that the story is true.”
A defendants Sixth Amendment right to “have compulsory process for obtaining
witnesses in his favor”12 does not transcend the adversarial system and defense
witnesses must be subject to the prosecution’s cross-examination:
Where a defense witness refuses to answer questions that
go to the heart of the direct testimony on a central issue,
however, the truth-seeking function of the court is impaired.
“The Sixth Amendment does not confer the right to present
testimony free from the legitimate demands of the
adversarial system; one cannot invoke the Sixth Amendment
as a justification for presenting what might have been a halftruth. Where a defense witness’s invocation of Fifth
“Williams v. Borq, supra note 8 at 741.
12U.S. CONST . amend. VI.
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Amendment protection against self-incrimination amounts to
a refusal to be cross-examined, the testimony cannot be
considered reliable.13
However, the federal courts have recognized the necessity of accommodating
valid assertions of privilege by defense witnesses, and have found the “drastic remedy”
of precluding testimony appropriate only where a witness’s invocation of the privilege
frustrates cross-examination on issues material to the witness’s testimony:
When cross-examination is precluded only with respect to
collateral issues, the Sixth Amendment does not require the
court to strike the witness’s testimony.
When cross-examination on material issues raised on
direct examination is curtailed because of a witness’s valid
claim of privilege, however, the trial court, in its discretion,
may refuse to permit that witness’s testimony. Just as the
trial court must be vigilant in ensuring that a defendant has a
full and fair cross-examination, it must similarly safeguard
the governments cross-examination “to prevent coconspirators from ‘whitewashing’ each other through the use
of testimony unchallengeable for one reason or another.
We have recognized that it “may sometimes be feasible
for a district court to reconcile the defendant’s right to
present witnesses with a witness’s privilege against selfincrimination by limiting the scope of the latter’s testimony.
In strikina the aporobriate balance between a defendant’s
Sixth Amendment riahts and the aovernment’s interest in
cross-examination. a “trial iudae mav or even must limit the
government’s cross-examination on collateral matters if this
can be done without undulv limitina the aovernment and if
doina so will oreserve the defendants abilitv to call a
material witness who would otherwise claim the orivileae.
13Denham v. Deeds, S
supra note 6 at a1504 (citations omitted).n
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States v. Esparsen, supra note 6 at 1469 (“A defendant cannot invoke due process or
compulsory process rights to immunize his witnesses from cross-examination on issues
relevant to the truth of the direct testimony.“); Lawson. supra note 6 at 635
656 (“Neither a defendant’s right of confrontation nor his right to present witnesses in
his own defense is so absolute as to require a subversion of more fundamental
principles that animate our adversary system.“).
-lO-
Where . . . a defense witness’s claim of privilege shields
material testimony from cross-examination, however, this
balance weighs against the defendant.14
In the case before the Court, the trial court properly conducted a preliminary
inquiry into the witness’s testimony outside the presence of the jury,15 and that
questioning revealed that Williams would invoke the privilege as to two (2) questions:
(1) “Do you know if Angela took any, or attempted to take any items there at the KMart?“; and (2) “Ma’am, what was your involvement?” The question before this Court,
therefore, is whether the trial court abused its discretion16
when it precluded Williams
from testifying because she would invoke her privilege as to these two (2) questions.
During arguments at the bench on its motion to preclude Williams’s testimony,
the Commonwealth asserted that it would be “unfairly prejudiced by not being able to
ask them why they were there and what they were doing there, what was their vantage
point, things of that nature.” Of course, the purpose of the “dry run” of Williams’s
testimony was to preview the questions and responses and to allow the trial court to
determine whether it could accommodate Williams’s valid assertions of privilege without
impairing the Commonwealth’s ability to test the truthfulness of the testimony through
14United States v. Gary, supra note 6 at 310 (emphasis added and citations
omitted).
“a KRE 103(c); KRE 104. See also Denham v. Deeds, supra note 6 at 1503
(characterizing such a preliminary inquiry as a “dry run”). Cf. Commonwealth v. Gettys
suora note 3 at 901 (“In this case it was never determined precisely what the questions
were going to be.“).
16a United States v. Esparsen, supra note 6 at 1469 (“Unless the trial court
has abused its discretion, we will not disturb its decision to strike testimony because of
restricted cross-examination.“); United States v. Garv, supra note 6 at 311 (“We discern
no abuse of discretion in the trial court’s determination that the subject matter of the
cross-examination as to which Hopkins would have asserted his privilege was material
and relevant.“).
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cross-examination. A “dry run” also allows meaningful appellate review by creating a
record of the questions that the witness will answer as well as those questions as to
which the witness intends to invoke her privilege against self incrimination.
Accordingly, the parties should endeavor for a complete examination. In any event, we
find it improper to simply assume that Williams would invoke the privilege as to
questions she was never asked. While a defendant’s Sixth Amendment right to
compulsory process must yield to legitimate demands of the adversarial process, a
witness should not be precluded from testifying based on speculation about whether he
or she would invoke a privilege.
Initially, we note that the reason given by the trial court at the time of its ruling “[Slimply by taking the stand, this witness would have to waive her Fifth Amendment
privileges and we can’t piecemeal what she is going to waive and what she is not going
to waive” - suggests that the trial court treated Williams’s invocation of the privilege
against self-incrimination as an “all-or-nothing” decision that barred the witness from
testifying at all. Further, the record provides no evidence that the trial court even
considered whether it could permit Williams to testify and limit the scope of the
Commonwealth’s cross-examination without prejudicing the Commonwealth’s ability to
test the truth of Williams’s testimony. Because there is no indication that the trial court
exercised its discretion in this matter, we believe it erred when it precluded Williams
from testifying.
In addition, it appears that the trial court could have accommodated Williams’s
privilege without impairing the Commonwealth’s ability to test the veracity of Williams’s
testimony through cross-examination. While we recognize that one of the primary
means to uncover untruths through cross-examination is to question a witness
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concerning the details of his or her testimony,” the particular details upon which
Williams intended to invoke her privilege - i.e., whether she and Appellant had
shoplifted or attempted to shoplift merchandise at K-Mart that afternoon - were neither
necessary to a probing cross-examination nor particularly probative as to Williams’s
truthfulness.
In fact, if the Commonwealth intended to expose Williams’s testimony as
false, the very last thing it would want to do is enhance Williams’s credibility by asking
Williams to admit that she, too, had been shoplifting and underscoring the fact that
Williams’s testimony was against her own interests.
Williams’s testimony was important for the defense because it suggested that
Appellant was not at her home selling crack cocaine on the date alleged by the
Commonwealth. Williams’s own conduct during that time was only tangentially related
to the essence of her testimony, and her invocation of the privilege with respect to
questions of whether she committed a crime or assisted Appellant’s commission of a
crime neither prevented the Commonwealth from inquiring as to matters going “to the
heart of” her direct testimony nor constituted a refusal to be cross-examined.
Specifically, the Commonwealth could have scrutinized Williams’s truthfulness by
asking Williams for further information concerning the K-Mart trip” or by investigating
“a United States v. Esoarsen, supra note 6 at 1470; Denham v. Deeds, supra
note 6 at 1503; Lawson v. Murrav, supra note 6 at 655.
18We note that Williams did answer the second question asked of her by the
Commonwealth during the “dry run” cross-examination - “Did Ms. Combs drive there
with you present in the car?” A number of other potential topics for cross-examination
also come to mind, e.g.: (1) How long were you at K-Mart with Ms. Combs?; (2)
Approximately what time did you arrive at K-Mart?; (3) Approximately what time did you
leave K-Mart?; (4) How did you get home from K-Mart?; (5) What items were you
shopping for?; (6) Did you and Ms. Combs shop together, or separately?; (7) What did
you purchase, if anything?; (8) Do you have any receipts with you to demonstrate that
(continued...)
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the relationship between Williams and Appellant in order to discover whether that
relationship provided a motive for Williams to testify untruthfully. Because the
Commonwealth would have had ample opportunity to test the credibility of Williams’s
testimony without addressing the questions as to which Williams properly could have
invoked her privilege against self-incrimination, the trial court erred when it precluded
Williams from testifying.
We find no merit in the Commonwealth’s contention that the trial court’s
exclusion of Williams’s testimony was harmless. Although some questions might
remain as to the timing of Appellant’s detention at K-Mart, Williams’s testimony tended
to cast doubts upon the Commonwealth’s evidence that Appellant sold cocaine to a
confidential informant at her home on the afternoon of October 31, 1996. As such, this
evidence would have brought into question the credibility and/or accuracy of
identification testimony from both the confidential informant and Detective Pete Ford
and bolstered the credibility of Appellant’s alibi witness for the other transaction on
November 5, 1996. Had the fact-finder been permitted to consider Williams’s
testimony, it may very well have reached a different verdict. Under the facts of this
case, we cannot conclude that the trial court’s erroneous decision to preclude Williams
from testifying in Appellant’s defense constituted harmless error.lg
you purchased anything at K-Mart on that occasion?; (9) What did Ms. Combs
purchase, if anything?; (10) Did you observe Ms. Combs being detained?; (11) Where
were you when you observed Ms. Combs being detained?; (12) Could you describe for
the jury the person or persons who detained Ms. Combs?; (13) How long was Ms.
Combs detained?
19a Abernathy v. Commonwealth, Ky., 439 S.W.2d 949 (1969).
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IV. CONCLUSION
For the above reasons, we reverse Appellant’s convictions and sentences and
remand Fayette Circuit Court Indictment No. 97-CR-0235 to the trial court for retrial. If
upon retrial, Appellant again intends to call Williams as a witness in her defense, the
trial court should first determine whether Williams still has a valid claim of privilege.20 If
so, the trial court should limit the scope of Williams’s examination to topics upon which
she cannot validly assert the privilege unless the Court finds that to do so would
substantially impair the Commonwealth’s ability to test the veracity of Williams’s
testimony through cross-examination.
Lambert, C.J.; Cooper, Graves, Johnstone and Stumbo, concur. Wintersheimer,
J., dissents by separate opinion.
“We note that Williams’s appointed counsel represented to the trial court that
Williams’s actions could constitute a Class A or Class B misdemeanor offense, and we
recognize that, during the time this case has been on appeal, the statute of limitations
for prosecuting such offenses may have run. See KRS 500.050(2) (“Except as
otherwise expressly provided, the prosecution of an offense other than a felony must be
commenced within one (1) year after it is committed.“).
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COUNSEL FOR APPELLANT:
John Kevin West
McCoy and West
309 North Broadway
PO Box 1660
Lexington, Kentucky 40592-I 660
Charles E. Beal, II
McCoy and West
309 North Broadway
PO Box 1660
Lexington, Kentucky 40592-I 660
COUNSEL FOR APPELLEE:
A. B. Chandler, III
Attorney General
Perry T. Ryan
Assistant Attorney General
Office of Attorney General
Criminal Appellate Division
1024 Capital Center Drive
Frankfort, Kentucky 40601-8204
RENDERED: MAY 16,2002
TO BE PUBLISHED
#ih.prrme Moltrt of i!knhttLtf
1998-SC-1124-DG
APPELLANT
ANGELA COMBS
V.
ON REVIEW FROM COURT OF APPEALS
1997-CA-1143-MR
FAYETTE CIRCUIT COURT NO. 97-CR-0235
COMMONWEALTH OF KENTUCKY
APPELLEE
DISSENTING OPINION BY JUSTICE WINTERSHEIMER
I must respectfully dissent from the majority opinion because the legal principle
asserted in Clavton v. Commonwealth, Ky., 786 S.W.2d 866 (1990) that “Neither the
prosecution nor the defense may call a witness knowing that the witness will assert a
Fifth Amendment privilege against self-incrimination” absolutely controls this situation.
The learned legal essay presented by the majority relies on a decision by a panel
of the Court of Appeals in Commonwealth v. Gettvs, Ky.App., 610 S.W.2d 899 (1981)
and federal court decisions. Here, the claim of privilege was not too remote or
speculative as in Gettvs, supra.
The majority acknowledges that the federal courts have addressed analogous
issues in three different contexts. However, the noble efforts to avoid the application of
Clavton, supra, are unavailing. The Kentucky case controls and should be followed.
The trial judge correctly ruled that the witness could either take the stand and testify
fully or refuse to testify on Fifth Amendment grounds. As correctly noted by the trial
judge, there is no federal constitutional right to call a witness whom counsel knows will
exercise her Fifth Amendment privilege. See United States v. Crawford, 707 F.2d 447
(10th Cir. 1983).
A criminal defendant has the right under the Sixth Amendment to subpoena
witnesses to testify in his behalf. However, the Sixth Amendment to the federal
constitution involves a right to confrontation which must yield when a witness properly
asserts his own Fifth Amendment right against self-incrimination. The right to impeach
a witness through vigorous cross-examination is subordinate to a properly presented
Fifth Amendment privilege against self-incrimination. See Alford v. United States, 282
U.S. 687, 51 S.Ct. 218, 75 L.Ed. 624 (1931). The Fifth Amendment is superior to the
Sixth, that is why it is Fifth and not Sixth or later. The Bill of Rights is a carefully
conceived legal document and the priority of position should not be ignored. An
extended discussion of the right against self-incrimination by witnesses may be found in
81 Am.Jur. 2d Witnesses §§ 87, 88.
Here, the defendant did not have the right to call a witness who would selectively
determine which questions she would answer and which questions she would not
answer. Such a situation would deprive the Commonwealth of the ability to effectively
cross-examine such a witness. It is obvious that in such a condition the witness would
be able to testify favorably regarding matters helping the defendant but could refuse to
testify regarding matters unfavorable to the defense. Thus, both federal and state
courts have ruled that such a witness may not testify, and accordingly, the trial judge
here correctly refused to allow the witness to testify. The trial judge and this panel of
the Kentucky Court of Appeals was correct when it affirmed her ruling. Clavton controls
and should be followed.
-2-
1998-SC-1124-DG
ANGELA COMBS
V.
APPELLANT
ON REVIEW FROM COURT OF APPEALS
1997-CA-1143-MR
FAYETTE CIRCUIT COURT NO. 97-CR-0235
COMMONWEALTH OF KENTUCKY
APPELLEE
ORDER
The Opinion of the Court by Justice Keller rendered May 16, 2002, shall be
amended on page 8, footnote 10, by changing the word “Murrary” to “Murray”, as
attached hereto. Said modification does not affect the holding.
ENTERED: May 24,2002.
1998-SC-1124-DG
ANGELA COMBS
V.
APPELLANT
ON REVIEW FROM COURT OF APPEALS
1997-CA-1143-MR
FAYETTE CIRCUIT COURT NO. 97-CR-0235
APPELLEE
COMMONWEALTH OF KENTUCKY
ORDER
The Opinion of the Court by Justice Keller rendered May 16, 2002, shall be
amended on page 15, by changing the Fayette Circuit Court Indictment Number to 97CR-0235, as attached hereto. Said modification does not affect the holding.
ENTERED: June 10.2002.
CHIEF JU
E JOSEPH E. LAMBERT
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