In Re Kefalidis

714 N.E.2d 243, 1999 WL 437231
CourtIndiana Court of Appeals
DecidedJune 30, 1999
Docket64A05-9712-CV-542
StatusPublished
Cited by6 cases

This text of 714 N.E.2d 243 (In Re Kefalidis) is published on Counsel Stack Legal Research, covering Indiana Court of Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In Re Kefalidis, 714 N.E.2d 243, 1999 WL 437231 (Ind. Ct. App. 1999).

Opinion

714 N.E.2d 243 (1999)

In re the Contempt Findings Against Simos KEFALIDIS and David C. Adams, Appellant (Non-Parties Below),
Arising out of Barbara Janiszewski as Administratrix of the Estate of Dennis Janiszewski, Deceased, et al., Appellees (Plaintiffs Below),
v.
Tonn & Blank, Inc., et al., Defendants Below.

No. 64A05-9712-CV-542.

Court of Appeals of Indiana.

June 30, 1999.

*244 Richard Kammen, James T. Flanigan, McClure, McClure & Kammen, C. Joseph Russell George T. Patton, Jr., J. Taggart Birge, Bose McKinney & Evans, Indianapolis, Indiana, Attorneys for Appellants.

Robert P. Harper, Harper and Rogers, Valparaiso, Indiana, Attorney for Appellee.

OPINION

MATTINGLY, Judge.

Non-party witnesses Simos Kefalidis and David C. Adams (the witnesses) appeal the trial court's finding that they are in contempt for their refusal to answer certain questions during their depositions in a wrongful death action. They present one issue, which we restate as whether the trial court violated the witnesses' right against self-incrimination[1] by compelling their testimony when the witnesses had not been granted immunity from prosecution, when some potentially applicable statutes of limitations had not yet run, and when the trial judge denied the witnesses' request for an in camera, ex parte demonstration of the validity of their claims of Fifth Amendment privilege.

We reverse and remand.

FACTS AND PROCEDURAL HISTORY

These contempt findings arise out of a wrongful death action brought by Barbara Janiszewski (Janiszewski) as administratrix of the estate of Dennis Janiszewski against Tonn & Blank, a construction company, and other defendants. Dennis Janiszewski, an employee of Beta Steel, was killed when a pressure vessel exploded at the mill where he was working. Kefalidis and Adams are non-party witnesses in the wrongful death action. When Janiszewski deposed both witnesses, they both declined to answer certain questions, asserting their right of protection against self-incrimination. The questions the witnesses declined to answer involved, among other things, the relationship each had with Beta Steel, the training and experience each had with pressure vessels or welding, the relationship between Beta Steel and associated companies, and the names of other people who worked at Beta Steel or serviced the pressure vessel near the time of the explosion.

Both depositions were adjourned, and the trial court conducted a hearing on each witness' assertion of the privilege. During the Adams hearing, the judge asked Adams' counsel to explain, on the record, the reasons for Adams' refusal to answer the questions. In response, counsel asked the judge to allow an in camera, ex parte showing of why his client's assertion of the right was justified. In refusing an in camera, ex parte showing, the judge stated:

If there's any explanation to be made, it's going to be made out here on the *245 record. It can be made in such a manner that it does not contain any admission, that it's not at all binding.

Frankly, I see no way, Mr. Russell, in any way, shape or form that Mr. Adams can be subjected to any criminal prosecution whatsoever, and if you would like to explain how that might be I'd be happy to listen to it.
I've thought about this since the last time we were here and the only potential criminal prosecution I see is against Beta Steel. So if you can explain otherwise to me, I would be happy to listen.

R. at 265-66. Adams' counsel declined to elaborate on the record about the potential for criminal jeopardy, contending that he was concerned about giving the state or federal authorities a "blueprint for prosecution." Id. at 267. The court then ordered Adams to answer the questions. The deposition reconvened. After Adams continued to assert his Fifth amendment privilege and refused to answer the questions, the trial court found him in contempt.

At the Kefalidis hearing, the deposition questions Kefalidis refused to answer were read to the judge. The judge ruled that

the only entity that has any legitimate right to claim a Fifth Amendment privilege is Beta Steel and they're a corporation and they're not being deposed as a corporation. So I'm going to find that the witness's claim of Fifth Amendment privilege is not valid in this case and order that he proceed to answer all questions related to this incident.

Id. at 221-22. Kefalidis also asked to make an in camera, ex parte showing of his reasons for asserting the privilege. The trial court denied his request, stating that "[Kefalidis] has no Fifth Amendment privilege in this case. It is not applicable to this case, and we're not going to be running back here with every question." Id. at 228.

When the Kefalidis deposition resumed, Kefalidis again declined to answer the questions and was found in contempt. This interlocutory appeal ensued.

DISCUSSION AND DECISION

The Fifth Amendment protection against self-incrimination is applicable in any proceeding, whether civil or criminal, administrative or judicial, investigatory or adjudicatory. Clifft v. Indiana Dept. of State Revenue, 660 N.E.2d 310, 314 (Ind.1995). A trial court is authorized to determine whether an answer to a question proposed to a witness will incriminate the witness. However, in determining whether the answer might have that effect, the court is bound by the statement of the witness "unless it clearly appears from the examination and the circumstances before the court that the witness is mistaken in his conclusion that the answer will incriminate him, or that the witness' refusal is purely contumacious." Northside Sanitary Landfill, Inc. v. Bradley, 462 N.E.2d 1321, 1325 (Ind.Ct.App.1984).

The witness is excused from answering if the answer would tend to furnish one link in the chain of evidence necessary to convict him of a criminal charge. Id. at 1326. The witness is under no obligation to explain how the answer might tend to incriminate him as this would defeat the very object of the constitutional provision. Id. Still, whether an answer might be incriminating is ultimately to be decided by the judge, and not the witness:

[A] witness is not exonerated from answering because he judges that in doing so, he would incriminate himself; that is, `his say-so does not of itself establish the hazard of incrimination.' Hoffman v. United States, (1950) [(1951)] 341 U.S. 479, 486, 71 S.Ct. 814, 818, 95 L.Ed. 1118. The trial judge in appraising the claim `must be governed as much by his personal perception of peculiarities of the case as by the facts actually in evidence.' Hoffman, supra, at 487, 71 S.Ct. at 818 (citation omitted).

Id. Thus, Hoffman instructs us that a trial court is to defer to a defendant's claim of privilege unless the trial judge determines it is "perfectly clear, from a careful consideration of all the circumstances in the case, that the witness is mistaken, and that the answer[s] cannot possibly have such tendency" *246 to incriminate. 341 U.S. at 488, 71 S.Ct. 814 (emphasis in original, quotation omitted).

1. Possibility of Prosecution

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Cite This Page — Counsel Stack

Bluebook (online)
714 N.E.2d 243, 1999 WL 437231, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-kefalidis-indctapp-1999.