FOR PUBLICATION
ATTORNEY FOR APPELLANT: ATTORNEYS FOR APPELLEE:
ANDREW C. KRULL KAREN FREEMAN-WILSON
Indianapolis, Indiana Attorney General of Indiana
MONIKA PREKOPA TALBOT
Deputy Attorney General
Indianapolis, Indiana
IN THE
COURT OF APPEALS OF INDIANA
AUGUST TROTTER, )
)
Appellant-Defendant, )
)
vs. ) No. 49A02-0002-CR-78
)
STATE OF INDIANA, )
)
Appellee-Plaintiff. )
APPEAL FROM THE MARION COUNTY SUPERIOR COURT
The Honorable Charles A. Wiles, Judge
Cause No. 49F09-9811-DF-180699
August 17, 2000
OPINION - FOR PUBLICATION
VAIDIK, Judge
August Trotter appeals his convictions for theft
See footnote
and attempted fraud,
See footnote
both Class D
felonies, after attempting to purchase merchandise with anothers credit card. At trial,
the trial court permitted a juror to question a States witness about a
discrepancy in the evidence and denied the defendants request for a continuance to
investigate the veracity of the witnesss answer. We find no error where
the court, when faced with a juror question: 1) holds a hearing
outside the presence of the jurors to determine the appropriateness of the question
and allows counsel to object; 2) asks the witness the question as long
as it clarifies evidence and is allowable under the rules of evidence; and
3) asks preliminary questions to a witness to establish whether a witness has
sufficient knowledge to answer the question. Finally, the trial court did not
abuse its discretion in denying the motion for continuance as the information garnered
from the jurors question could have been obtained prior to trial. Finally,
we find entry of judgment of conviction on both theft and attempted fraud
violates double jeopardy.
Facts and Procedural History
At approximately 12:30 a.m. on November 18, 1998, Thomas Miller left a pub
in downtown Indianapolis and walked to his van. As he neared the
vehicle, he noticed that a window had been knocked out and his wallet,
containing his drivers license and credit cards, was missing. Miller reported the
incident to an officer from the Indianapolis Police
Department.
In the early afternoon of the same day, August Trotter went to the
Lazarus Department Store at Lafayette Square Mall where he attempted to purchase merchandise
with Millers Lazarus credit card. The sales associate, who waited on Trotter,
rang up the sale and asked Trotter for identification. The sales associate
informed Trotter that he was required to present identification with the use of
any credit card. Because Trotter was unable to do so, the sales
associate returned the credit card to Trotter and voided the sales receipt.
While Trotter was attempting to purchase the merchandise, he was being taped by
a security camera that was being monitored by the stores loss prevention detective,
Mathew Black. Black called the sales associate after Trotter walked away to
obtain the credit card number which had been presented. Following a computer
check, Black discovered that the Lazarus card belonged to Thomas Miller and telephoned
Miller. Miller stated that he had not authorized anyone to use his
Lazarus card. While Black continued to monitor Trotter, the Indianapolis Police Department
was notified. Trotter was apprehended by security personnel when he exited Lazarus
and brought to the security office. There, the Lazarus credit card was
recovered from Trotter. When Indianapolis Police Officer Steven Schafer arrived soon thereafter,
he conducted a search incident to arrest and discovered Millers Montgomery Ward credit
card and Bank One Master Card. Record at 237-39.
Trotter was charged with theft and attempted fraud, both Class D felonies.
During the jury trial, the State offered the voided sales receipt and the
videotape of Trotter into evidence. The time appearing on the videotape, indicating
when the purchase was made, was different from the time stamped on the
voided sales receipt.
Following the admission of this evidence, one of the jurors submitted a written
question asking if the time of day indications on the voided sales receipt
and the videotape were consistent. The trial judge discussed the question with
the parties out of the jurys hearing. Defense counsel objected to the
courts asking the jurors question, arguing that the document spoke for itself, the
security guard was not a proper witness to answer the question and the
question was beyond the States questioning of the witness. The trial court
overruled the objection and, in the presence of the jury, questioned Black on
whether he was familiar with the time stamping on the receipts and the
videotape and knew what the times stamped on the receipt and the videotape
were supposed to signify. Record at 226. Black responded that he
was familiar with the time displays and stated that they indicated when the
events occurred. Thereafter, the court allowed the parties to ask questions relating
to the jurors question.
The State then asked Black whether the time on the videotape was accurate.
Black responded that it was not, because four days prior to the
taping, there was an electrical storm that wiped out our system. Record
at 229. Black further testified that it took about an hour to
reboot the system and that the time displayed on the tape reflected the
time lapse.
Defense counsel then requested a continuance to investigate the veracity of Blacks response
concerning the electrical storm. The trial court denied that request, concluding that
defense counsel had sufficient opportunity before trial to discover and investigate the time
discrepancy. Trotter was found guilty and sentenced to three years on both
counts to be served concurrently.
Discussion and Decision
I. Juror Question
Trotter argues that the trial court erred in the way it handled the
juror question concerning the discrepancy between the times displayed on the voided sales
receipt and the videotape. First, Trotter argues the question should not have
been submitted. Trotter also contends that the trial judge improperly questioned the
witness about his ability to answer before submitting the question. Finally, Trotter
alleges that the trial court erroneously denied his motion for continuance to investigate
the witnesss answer. We address each argument in turn.
A. Proper Juror Question
First, Trotter argues that the juror question should not have been submitted because
it went beyond evidence the State presented or found relevant to be presented
through a specific witness. Appellants Brief at 8. According to Trotter,
the juror question did not seek to clarify evidence already presented by the
State but proposed one that had not been considered, and allowed the State
an opportunity to address a hole in its case (i.e., identification) and explain
it away. Appellants Brief at 9.
Indiana Evidence Rule 614(d) governs juror questions and provides in relevant part as
follows:
Interrogation by Juror. A juror may be permitted to propound questions
to a witness by submitting them in writing to the judge, who will
decide whether to submit the questions to the witness for answer, subject to
the objections of the parties, which may be made at the time or
at the next available opportunity when the jury is not present. Once
the court has ruled upon the appropriateness of the written questions, it must
then rule upon the objections, if any, of the parties prior to submission
of the questions to the witness.
The rule makes evident by its language that not all juror questions are
proper and that a trial judge must determine whether the question is appropriate
after hearing objections from the parties. However, the rule does not otherwise
state what an appropriate question is. Prior cases which have discussed the
use of juror questions, however, have stated that a proper question is one
which allows the jury to understand the facts and discover the truth.
See Matheis v. Farm Feed Const. Co., 553 N.E.2d 1241, 1242-43 (Ind. Ct.
App. 1990) (The point of permitting the jurors to resolve their questions was
to aid them in their understanding of the facts and search for the
truth.); Carter v. State, 250 Ind. 13, 15-16, 234 N.E.2d 650, 651-52 (1968)
(noting that jurors, by asking questions, obtain an understanding of the issues and
evidence, learn the facts and discover the truth). The determination of whether
a question is offered for a proper purpose necessarily requires an examination of
the substance of the question. The trial courts decision of whether a
juror question is for the purpose of discovering the truth is afforded broad
discretion. Dowdy v. State, 672 N.E.2d 948, 953 (Ind. Ct. App. 1996),
rehg denied, trans. denied.
Here, one of the jurors, apparently after noticing a discrepancy in the time
listed on the sales receipt and the time displayed on the videotape, submitted
a question, asking whether the time of day indications were consistent. Without
clarification, the jury would have had before it two inconsistent times which tended
to show that the person on the video tape was not the same
person who approached the sales associate. By allowing the jurors question to
be addressed, however, the jury was able to better understand the evidence already
before it and to discover whether the person who approached the sales associate
was the same person in the video tape. Because this evidence led
to discovery of the truth, it was a proper question.
In reaching this conclusion, we acknowledge as Trotter contends, that allowing the question
to be propounded benefited the State because it clarified a discrepancy in the
evidence. However, we disagree with Trotter that merely because a juror question
clarifies evidence to the benefit of one party, the question should not be
given. Indeed, in most cases where clarification of the evidence is necessary,
one of the parties will benefit. Rather, the overriding concern is whether
the question allows the jury to better understand the evidence and discover the
truth. To adopt Trotters reasoning would prevent the jury from performing its
fact-finding duties and would essentially contravene our supreme courts decision to allow juror
questions. See Lawson v. State, 664 N.E.2d 773, 780 (Ind. Ct. App.
1996) (noting that by including a rule of evidence allowing for juror questions,
our supreme court must have found such ability necessary), trans. denied.
Finally, we do not mean to say that every juror question which leads
to the discovery of the truth or aids in the understanding of the
evidence must be submitted. Not only must the answer clarify evidence for
the jury but it also must be admissible under our rules of evidence.
See, e.g., Dowdy, 672 N.E.2d at 953 (concluding that trial court properly
concluded that juror was not permitted to ask witness if defendant had prior
charges against him). In this case, Trotter does not contend that the
witnesss answer would have been inadmissible under our rules of evidence and we
do not find that it was. Therefore, the trial courts decision to
submit the juror question was not an abuse of discretion.
B. Courts Ability to Ask Foundational Questions
Trotters second claim concerns the trial courts method of determining whether a juror
question should be submitted to a witness and, in particular, whether a trial
judge is permitted to ask foundational questions of the witness to ensure that
the witness has sufficient knowledge to answer the question. According to Trotter,
the trial judge should not be permitted to ask foundational questions to establish
whether a witness has sufficient knowledge because, by doing so, the court encroaches
upon the prosecutors duties and assumes an adversarial role.
See footnote
Again, Indiana Evidence Rule 614(d) is silent on this issue. Other than
requiring a court to determine the appropriateness of a question, the rule does
not discuss how that determination should be made and in particular, whether preliminary
questions concerning a witnesss knowledge are permitted. Further, we were unable to
locate any cases discussing the appropriateness of such questions in determining whether to
submit a juror question.
Nonetheless, we find guidance in Indiana Evidence Rule 614(b) which permits trial courts
to question witnesses and the cases decided before and after adoption of the
rule. With regard to questions propounded by a court, the cases reveal
that such questioning is permitted if the court needs the requested information to
rule intelligently on a matter, as long as the questioning is done in
an impartial manner and does not influence the jury improperly with the judges
own contentions.
See Griffin v. State, 698 N.E.2d 1261, 1265 (Ind.
Ct. App. 1998) (stating that the trial court may question witnesses to promote
clarity as long as judge does not assume an adversarial role), trans. denied;
Colee v. State, 75 Ind. 511, 514-15 (1881) (The court would not, of
course, be warranted in assuming the duties of counsel, but has a right
when . . . for the purpose of ruling intelligently upon a question,
an explanation is needed, or a fuller answer required, to ask questions of
the witness.).
The reason for allowing court questions applies equally for purposes of determining whether
a juror question is appropriate. In this case, the trial court needed
to question the witness about his knowledge of the time displays to establish
that he was able to answer the juror question concerning the discrepancy.
Thus, the discretion afforded a trial court in determining the appropriateness of a
juror question under Indiana Evidence Rule 614(d) necessarily includes the discretion to question
a witness about the ability to answer.
Finally, because the purpose of the questions is limited to the Indiana Evidence
Rule 614(d) determination, the trial court does not improperly take on an
adversarial role in propounding the questions, even if the court lays a foundation
for the witness to answer. We have previously concluded that a trial
court does not abuse its discretion by asking questions which ultimately aid a
party in laying a foundation for an exhibit. In State v. Covell,
580 N.E.2d 704, 707 (Ind. Ct. App. 1991), the defendant sought to admit
some photographs into evidence when the State objected for lack of foundation.
The trial court then asked the defendant what the photographs represented and whether
the representations were accurate. Id. On appeal, the State argued that
the trial court assumed an adversarial role when it essentially laid a foundation
for the admission of the evidence. Id. We disagreed, noting that
a trial court may intervene in the fact-finding process to promote clarity and
concluded that the trial courts intervention was neutral and did not impeach or
discredit any witness. Id. As in Covell, the trial court intervention
was neutral and did not impeach or discredit any witnesses. The trial
court did not abuse its discretion by asking the witness preliminary questions regarding
his knowledge of the time displays.
C. Motion for Continuance
Finally, we find no error in the courts refusal to grant Trotters motion
for a continuance. Trotter argues that he should have been allowed a
continuance to investigate Blacks answer that an electrical storm, four days before the
taping, affected the time displayed on the video.
We review the denial of a motion for a continuance on non-statutory grounds
for an abuse of discretion. Starks v. State, 517 N.E.2d 46, 51
(Ind. 1987). In Starks, our supreme court concluded that the trial court
did not abuse its discretion in denying a defendants request for continuance to
obtain a handwriting analysis expert to examine signatures appearing on a lease.
Id. The Starks court reasoned that the lease was available for review
prior to trial, but that the defendant failed to use due diligence in
having the exhibit analyzed. Id.
As in Starks, Trotter had an opportunity prior to trial to examine both
the sales receipt and the video tape to discover the discrepancy and to
investigate the reasons for the discrepancy. Although Trotter argues that he had
difficulty in obtaining the video tape from the State and that the State
should have produced the tape earlier, Trotter does not suggest that he did
not have an opportunity to review it prior to trial. The trial
court was within in its discretion to deny a continuance.
II. Double Jeopardy
Trotter argues his convictions for theft and attempted fraud violate Indianas Double Jeopardy
Clause.
See footnote
Specifically, he argues that the same evidence was used to convict
him of both charges.
In
Richardson v. State, 717 N.E.2d 32 (Ind. 1999), our supreme court set
forth a two-part test for analyzing double jeopardy claims under our state constitution.
In particular, our supreme court established that two or more criminal offenses
violate our double jeopardy clause if with respect to either the statutory elements
of the charged offenses or the actual evidence used to convict, the essential
elements of one challenged offense establish the essential elements of the other offense.
Id. at 49. Under the actual evidence test, the evidence presented
at trial is examined to determine whether each offense was proven by separate
and distinct facts. Id. at 53. To prove a claim under
the actual evidence test, the defendant must demonstrate a reasonable possibility that the
evidentiary facts used by the fact-finder to establish the essential elements of one
offense may also have been used to establish the essential elements of a
second challenged offense. Id.
Here, the jury was instructed that a person commits attempted fraud if the
person, with the intent to defraud, attempts to obtain property by representing, without
the consent of the credit card holder, that the person is the authorized
holder of the credit card.
See footnote
Record at 57, 79. In particular,
the jury was instructed that it could find Trotter guilty of attempted fraud
if it found that Trotter, acting with the specific intent to commit fraud,
presented the Lazurus credit card to the sales associate for payment of merchandise
without Millers consent.
See footnote
With regard to the theft, the jury was instructed
that it could find Trotter guilty if it found he exerted unauthorized control
over the property of another with the intent to deprive the other person
of the propertys value or use. The charging information for theft set
forth the same allegations, except it specifically alleged that the property over which
Trotter exercised unauthorized control was Millers credit cards. The jury was also
instructed that the term unauthorized meant without the other persons consent. Record
at 63. According to Trotter, there is a reasonable possibility that the
evidentiary facts used by the jury to establish the substantial step for attempted
fraud may have been used to establish the theft. We agree.
The substantial step alleged by the State for the charge of attempted fraud
was Trotters act of presenting the Lazarus credit card to the sales associate
for payment of merchandise without Millers consent. The jury was also instructed
that it could find Trotter guilty of theft if it found he exerted
control over Millers credit card without his consent. Although the jury may
have found Trotter guilty of theft of the Montgomery Wards or Bank One
Master Card, there is a reasonable possibility that the jury focused on the
Lazurus card.
Judgment affirmed in part and reversed in part and remanded to vacate the
theft conviction.
SULLIVAN, J., and BAILEY, J., concur.
Footnote:
Ind. Code § 35-43-4-2.
Footnote:
Ind. Code §§ 35-43-5-4; 35-41-5-1.
Footnote:
In his brief, Trotter notes that trial counsel objected to the
juror question because the witness was not qualified to answer. See Appellants
Brief at 6-7; record at 223-24 (indicating defense counsels objection that I dont
know if the witness is the appropriate person to answer questions about the
time that it was stamped or it was printed off the cash register
receipt o[r] the time that appears on the video.). Trotter also points
out that the trial court decided to propound some preliminary questions to the
witness in an attempt to determine the witnesss ability to answer the question.
Although on appeal Trotter challenges the trial courts decision to propound the
preliminary questions, he does not develop an argument regarding the trial courts decision
that the witness had sufficient knowledge to answer. Therefore, we limit our
review to the appropriateness of the trial courts method.
Footnote:
The State contends that Trotter waived this argument by failing to
refer to or set forth a separate analysis under the Indiana Constitution.
However, Trotter cites as authority Wise v. State, 719 N.E.2d 1192 (Ind. 1999),
which applied the Indiana Double Jeopardy analysis set forth in Richardson v. State,
717 N.E.2d 32 (Ind. 1999). Thus, Trotter has sufficiently raised his Indiana
Double Jeopardy claim.
Footnote:
Trotter correctly notes that he was charged under subsection (C) of
the fraud statute. Subsection (C) provides that a person who, with intent
to defraud, obtains property by using, without consent, a credit card that was
issued to another person commits fraud. However, the jury was instructed pursuant
to subsection (D) which provides that a person who, with intent to defraud,
obtains property by representing, without the consent of the credit card holder, that
the person is the authorized holder of the credit card. Therefore, we
must analyze Trotters argument under subsection (D).
Footnote:
A person attempts to commit a crime when, acting with the
culpability required for commission of the crime, he engages in conduct that constitutes
a substantial step toward commission of the crime. Ind. Code § 35-41-5-1.