Estes v. Commonwealth

744 S.W.2d 421, 1987 WL 2838
CourtKentucky Supreme Court
DecidedJanuary 4, 1988
Docket86-SC-756-DG, 86-SC-763-DG
StatusPublished
Cited by21 cases

This text of 744 S.W.2d 421 (Estes v. Commonwealth) 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
Estes v. Commonwealth, 744 S.W.2d 421, 1987 WL 2838 (Ky. 1988).

Opinions

LEIBSON, Justice.

In this case the principal issue is the correct application of KRS 421.210(1), which provides in pertinent part that a husband and wife may not testify “as to confidential communications ... during marriage,” and provides “further, that neither [husband nor wife] may be compelled to testify for or against the other.”

Frank Estes was convicted of first-degree manslaughter in the shooting death of John O’Nan, and sentenced to ten years’ imprisonment. On appeal to the Court of Appeals he presented ten claims of error, nine of which were rejected. However, the Court of Appeals reversed and remanded for a new trial because the trial court permitted a written statement made by Cindy Estes, the appellant’s wife, to be introduced into evidence, in its entirety, through the testimony of the police detective who investigated the occurrence for the Radcliff Police Department.

The Court of Appeals held that Cindy Estes’ statement was partially admissible under a so-called “residual hearsay rule.” The Court of Appeals’ Opinion then limited admissibility only to certain portions of the statement, ordering that before retrial the trial court must “delete from the statement ... all that Mrs. Estes heard her husband say in confidence or saw him do in their home.”

Thus the effect of the Court of Appeals’ Opinion is to apply that portion of KRS 421.210(1) specifying that confidential communications during marriage are incompetent evidence, but to ignore that portion of KRS 421.210(1) that provides that neither spouse may be compelled to be a witness against the other. Although Cindy Estes refused to testify, the Court of Appeals has permitted her evidence as a witness to be introduced through her unsworn statement to an investigating police officer.

[423]*423The Court of Appeals recognized that the statement was “primarily hearsay.” It then held that nevertheless it “properly fall[s] within the residual hearsay rule ... Federal Rule of Evidence 840(b)(5) ... adopted ... in Maynard v. Commonwealth, Ky.App., 558 S.W.2d 628 (1977).” The Maynard case does not adopt the residual hearsay rule, except by negative implication, because it held that the rule did not apply in that case. However, to clarify the present confusion regarding the status of the Federal residual hearsay exception, we expressly declare that we have never adopted such a rule in Kentucky. We have yet to be presented with a case which would justify its consideration. Certainly it would not be applicable here where the evidence, if properly excluded, is excluded by reason of a statute mandating that confidential communications during marriage are incompetent evidence, and further specifying by statutory privilege that one spouse may not be compelled to testify against the other. KRS 421.210(1), supra. The residual hearsay exception would not apply in any event to evidence prohibited by statute.

The contents of Cindy Estes’ statement revealed that she had been having an affair with the victim, John O’Nan. On the night in question, at the appellant’s insistence, she telephoned O’Nan in the appellant’s presence, and arranged to meet him. Appellant then got a gun, cut the telephone cord to prevent Cindy from calling O’Nan back to warn him, and departed in his truck to keep the appointment, with Cindy following by foot. She arrived at the scene of the shooting in time to hear a shot, but she did not actually witness the shooting.

Much of the above which is incriminating would be admissible under the Court of Appeals’ rulings, as would certain other portions which are also incriminatory. KRS 421.210 is a statutory codification of ancient common law principles. It was originally enacted in 1872, and it comes down to us substantially as reenacted in 1898, with minor modifications.

One portion of this rule, the marital privilege, stems from an ancient common law disqualification. Once upon a time the common law disqualified the testimony of interested parties; it “excluded the testimony of the parties to the law suit and of all persons having a direct pecuniary or proprietary interest in the outcome.” McCormick on Evidence, 2d ed. 1972, § 65., p. 142.

“In effect, this rule imposed a disability upon the party to testify in his own behalf and conferred upon him a privilege not to be used as a witness against himself by the adversary.” Id.

The “early common law disqualification of a husband or wife of the party” was “[cjlosely allied to the disqualification of parties,” and “prevented the party’s husband or wife from testifying either for or against the party in any case, civil or criminal.” McCormick, supra, § 66, p. 144. Technically, we should classify the disability “to testify for the party-spouse as a disqualification, based upon the supposed infirmity of interest, and the rule enabling the party-spouse to prevent the husband or wife from testifying against the party as a privilege.” Id.

The exclusion for marital communications (confidential communications during marriage) was an “offshoot of an ancient tree.” McCormick, supra, § 78, p. 161. In England, and ultimately in our country, the ancient testimonial disqualification against a party, or the party spouse, was eroded or removed in varying degrees by statute. However, as this erosion took place, it was replaced or qualified in part by new rules which, “while making spouses competent to testify have included provisions disabling them from testifying to communications between them.” Id., p. 162.

Thus, though the rules regarding husband-wife testimony derived from ancient common law, they exist in present form solely as defined by statute. Viewed against this historical background the question is how does our Kentucky statute presently define them.

KRS 421.210(1) provides two separate rules:

[424]*4241) A Testimonial Disqualification — A husband and wife are disqualified from giving testimony regarding “confidential communications between them during marriage,” as in the former common law disqualification.

2) A Testimonial Privilege — “Further, neither may be compelled to testify for or against the other,” similar to the privilege against self-incrimination.

Thus, the statute provides two distinct rules, “two separate limitations on husband-wife testimony.” Lawson, The Kentucky Evidence Law Handbook, 2d ed., § 5.05(a), p. 121. Some cases get into difficulty because they fail to distinguish between the two prongs of this statute. One prohibits disclosure of “confidential communications,” and the other provides a husband or wife with the privilege to refuse to testify for or against his spouse.

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Bluebook (online)
744 S.W.2d 421, 1987 WL 2838, Counsel Stack Legal Research, https://law.counselstack.com/opinion/estes-v-commonwealth-ky-1988.