People v. Siegel, 87 N.Y.2d 536 (1995)

A trial court has discretion to allow the jury to consider a defense witness’s invocation of the Fifth Amendment privilege against self-incrimination on cross-examination when evaluating the witness’s credibility, especially when the witness’s direct testimony favors the defendant and the invocation obstructs meaningful cross-examination.

Summary

Shannon Siegel was convicted of assault and related charges for his role in a violent attack. A key defense witness, Gourdin Heller, invoked his Fifth Amendment right against self-incrimination during cross-examination, after giving direct testimony favorable to Siegel. The trial court instructed the jury that they could consider this invocation when assessing Heller’s credibility. The New York Court of Appeals affirmed Siegel’s conviction, holding that the trial court acted within its discretion, as Heller’s refusal to answer questions on cross-examination hindered the prosecution’s ability to test the truth of his direct testimony. The Court emphasized the importance of balancing the defendant’s right to present witnesses with the prosecution’s right to cross-examine them effectively.

Facts

Shannon Siegel and others were involved in an altercation at a party with Jermaine Ewell. Siegel and his friends left and later returned to the boardwalk where Ewell was. Ewell was then attacked and severely injured. Siegel was charged with attempted murder, assault, and other crimes. At trial, Siegel testified he returned to the boardwalk only to find Gourdin Heller, a friend. Heller testified on Siegel’s behalf, corroborating Siegel’s claim that he returned to the boardwalk to find Heller, not to attack Ewell, and also indicating Ewell was the initial aggressor at the party.

Procedural History

Siegel was convicted on multiple counts, including assault, conspiracy, riot, and weapon possession. The Appellate Division affirmed the conviction. The New York Court of Appeals granted leave to appeal.

Issue(s)

1. Whether the trial court improperly intimidated a defense witness (Heller) into invoking his Fifth Amendment privilege.
2. Whether the trial court erred in requiring Heller to invoke the Fifth Amendment privilege in front of the jury.
3. Whether the trial court erred in instructing the jury that it could consider Heller’s invocation of the Fifth Amendment privilege when assessing his credibility.

Holding

1. No, because the trial court appropriately advised Heller of the potential consequences of inconsistent testimony after inconsistencies emerged.
2. No, because it was necessary for the jury to be aware of Heller’s invocation of the privilege to assess its bearing on his credibility.
3. No, because under the circumstances, the trial court was correct to allow the jury to consider Heller’s invocation of the Fifth Amendment on the issue of his credibility, as the prosecution was effectively deprived of the right to cross-examine Heller regarding his direct testimony.

Court’s Reasoning

The Court of Appeals found no error in the trial court’s handling of Heller’s testimony. The Court noted that trial courts have the authority to advise witnesses of the potential legal consequences of self-incriminating testimony and their Fifth Amendment privilege, citing People v. Lee and People v. Shapiro. However, this authority is limited, as a court cannot threaten a defense witness or actively encourage them not to testify, citing Webb v. Texas and United States v. Arthur.

The Court reasoned that the trial court’s actions did not deter Heller from testifying initially. The intervention occurred only after inconsistencies between Heller’s trial and Grand Jury testimony emerged. The court allowed Heller to seek counsel before continuing.

Regarding the jury instruction, the Court emphasized that striking Heller’s testimony entirely would have been a more drastic remedy, and the trial court has wide discretion in fashioning a corrective response, citing People v. Chin. The court referred to United States v. Cardillo, which outlined graduated levels of remedial action depending on the nature of the questions the witness refused to answer. McCormick’s treatise on Evidence supports this analysis, advocating for less severe alternatives when a defense witness invokes the privilege, considering the defendant’s Sixth Amendment rights.

The Court concluded that the trial court’s instruction, allowing the jury to consider the invocation of the privilege on credibility, was a proper balance, as the jury should be aware that Heller’s direct testimony was never fully tested by cross-examination. This approach aligns with cases such as Delaware v. Fensterer and Government of Virgin Is. v. Riley, which hold that obstruction of cross-examination is a factor for the jury to weigh on credibility. “[T]he trial judge can properly consider measures short of striking the witness’s direct testimony, such as having the witness invoke the privilege before the jury or instructing the jury to consider the testimony in light of the defendant’s reduced ability to cross-examine.”