Atley C. Price
Jeffrey A. Modisett
Suzann Weber Lupton
William J. Nelson
Molly E. Palmer
Michigan City, IN
Attorneys for Appellee
Attorney General of Indiana
Deputy Attorney General
Indianapolis, IN
ROSALIO HERNANDEZ,
Appellant (Defendant below),
v.
STATE OF INDIANA,
Appellee (Plaintiff below).
)
) Supreme Court No.
) 46S00-9702-CR-110
)
)
)
)
)
)
October 1, 1999
Defendant Rosalio Hernandez was convicted of Attempted Murder and found to be an habitual offender. He appeals, arguing that (1) the trial court committed reversible error
in allowing the victim to remain seated at the prosecutor's table despite a valid separation
of witnesses order, (2) exhibits establishing habitual offender status were not properly
admitted, and (3) there was insufficient evidence to establish his habitual offender status.
Finding to the contrary, we affirm Defendant's conviction and sentence enhancement as an
habitual offender.
We have jurisdiction over this direct appeal because the sentence for his single
conviction exceeds fifty years. Ind. Const. art. VII, § 4; Ind. Appellate Rule 4(A)(7).
supporting this conviction, which included numerous eyewitness accounts of the attack.
During the second portion of the trial, the State introduced various exhibits through
the testimony of an Indiana Department of Correction officer establishing Defendant's status
as an habitual offender. Defendant's thirty-year sentence for attempted murder was enhanced an additional thirty years based on the jury's habitual offender finding.
Defendant requested and received an order for separation of witnesses following the completion of voir dire. Afterwards, Defendant requested clarification regarding the order's application to Wallace, who was seated next to the deputy prosecuting attorney. The State
responded that pursuant to Evidence Rule 615, Wallace was an essential witness to the
presentation of its case. Wallace did eventually testify but only after thirteen other witnesses took the stand. Defendant claims he was unfairly prejudiced because no other
witness [besides Wallace] was afforded [this] opportunity, Appellant's Br. at 14, but he
cites no authority for the claim that Wallace should have testified first or near the beginning
of the State's case in chief.
On January 1, 1994, Indiana Evidence Rule 615 became effective. That rule provides:
At the request of a party, the court shall order witnesses excluded so
that they cannot hear the testimony of or discuss testimony with other witnesses, and it may make the order on its own motion. This rule does not
authorize the exclusion of (1) a party who is a natural person, or (2) an officer
or employee of a party that is not a natural person designated as its representative by its attorney, or (3) a person whose presence is shown by a party to be
essential to the presentation of the party's cause.
Evid. Rule 615. The adoption of this Rule altered prior case law. Under our common law
evidence regime, the decision to grant a separation of witnesses order was within the sound
discretion of the trial court. See Garland v. State, 439 N.E.2d 606, 608 (Ind. 1982). But
under Rule 615, the trial court is required to grant motions for separation of witnesses
orders. Smiley v. State, 649 N.E.2d 697, 699 n.5 (Ind. Ct. App. 1995), transfer denied.
During a pre-trial hearing, the State showed that only Wallace had personal knowledge of all the particulars of its case from his original encounter with Defendant in 1989 until the 1994 stabbing. Furthermore, only Wallace would be able to assist in the cross- examination of other inmates, who as defense witnesses would testify that Defendant's
attack was in self-defense. We hold that the trial court did not err in finding Wallace qualified as an essential witness under Rule 615.See footnote 3 We base our holding on Wallace's unique ability to assist the State in its presentation, and not on the least weighty reason for considering a witness 'essential' to a case [which] is the factual knowledge he possesses. Windsor Shirt Co. v. New Jersey Nat'l Bank, 793 F. Supp. 589, 616, 618 (E.D. Pa. 1992) (disallowing a proffered Rule 615(3) witness because it was unclear what difference it made that that witness possessed specialized expertise in banking areas that differed from another witness's specialties), aff'd, 989 F.2d 490 (3d Cir. 1993); see also Miller v. State, 648 N.E.2d 1208, 1210 (Ind. Ct. App. 1995) (noting that 'it is proper to except [from separation] the prosecuting witness . . . to be present during the examination of other witness' because to 'exclude the prosecuting witness would . . . place the state at great disadvantage, by leaving its representative without aid from any one having personal knowledge of the case') (quoting Coolman v. State, 163 Ind. 503, 72 N.E. 568 (1904) (alteration and omissions added)); cf. Fourthman, 658 N.E.2d at 91 (exempting a law enforcement officer to assist in the prosecution of a case under Rule 615(2) even though the officer may also be called to testify as a witness) (citing 13 Robert Lowell Miller, Jr., Indiana Practice §
615.103, at 284 (2d ed. 1995)).See footnote
4
Exhibits 35 and 38: Certified Copies of Court Records. Defendant argues that the
habitual offender determination must be set aside because the certification and stamp of the
keeper of the records was not endorsed upon every page of two pertinent exhibits comprising certified copies of court records. He thus claims that the exhibits were inadmissible as
evidence. We disagree.
An official record may be authenticated by the seal of a public officer having
official duties in the district or political subdivision in which the record is kept. Ind.Trial
Rule 44(A)(1).See footnote
5
The rule does not mandate that certification take a particular form.
Stiles v. State, 686 N.E.2d 886, 889 (Ind. Ct. App. 1997).
Exhibit 35 is a two-page probable cause affidavit containing a certification stamp and
signature of the Clerk of Delaware County on the first page only; additionally, the stamp
contained a provision for the notation of total page numbers which was left blank. Similarly, Exhibit 38 is a three-page sentencing order containing a certification stamp and
signature of the clerk on the last page only, with the stamp provision for the notation of total
page numbers also left blank. A reading of the exhibits reveals that each is a complete
document clearly referring to the same 1989 murder charge: Cause Number 18D01-8811-
CF-46 appears on both documents.
The certification on a single page of either challenged exhibit provided adequate
certification for the entirety of each exhibit as the certification placement in no way
caus[ed] confusion as to the authenticity of the paper. Chanley v. State, 583 N.E.2d 126,
131 (Ind. 1991) (citing Miller v. State, 563 N.E.2d 578, 584 (Ind. 1990)) (ruling admissible
under T.R. 44(A)(1) a multi-page document where the certification of a prior felony conviction referred to foregoing documents, but which was stapled to the top of the exhibit and
thus nothing was foregoing); cf. Lewis v. State, 554 N.E.2d 1133, 1136 (Ind. 1990)
(noting that a document pertaining to a prior offense was improperly admitted during the
habitual offender phase of a burglary trial as the document bore the seal of a circuit court
and a stamp indicating it was recorded in an official records book, but no attestation accompanied the document). The trial judge properly admitted into evidence both Exhibits 35 and
38.
Exhibits 44 and 45: Indiana Department of Correction Records. Defendant challenges the admissibility of State's Exhibits 44 and 45 under a different theory: that the
certification document for each exhibit lacked an incorporation by reference to page numbers for the attached documents. Once again, we disagree with Defendant's assertion that
these exhibits were inadmissible as evidence.
Each exhibit was nearly identical in form and contained a Certification of Records form signed and certified by the designated keeper of the records at the Indiana State prison. The certification form referenced the attached photographs, fingerprint sheet, description sheet and commitment sheet/cause no. relating to Defendant's imprisonment for separate battery convictions in 1990 (Exhibit 44) and 1993 (Exhibit 45). Each attached
document referred to either a cause number or Defendant's prison number as it appeared on
the certification form. We discern no confusion as to the authenticity of the documents. See
Chanley, 583 N.E.2d at 131.
In Badelle v. State, 434 N.E.2d 872 (Ind. 1982), this Court upheld an habitual
offender determination against a similar claim. We concluded that a certification by the
Keeper of the Records of the Indiana State Farm that 'the attached are true and complete
copies . . .' was proper certification of all of the rest of the documents in the exhibit as
required by T.R. 44(A)(1). Id. at 877. As was the case in Badelle, Defendant cites no
authority for the proposition [that] each page of [a] multi-page exhibit must be separately
certified, id., nor are we aware of any authority requiring that attachments be numbered
and incorporated by reference on the certification document. There was no error in the
admission of these documents and attachments.
Defendant contends that the State's evidence during the habitual offender phase of the trial was insufficient to establish Defendant's identity, and the trial judge erred in denying his motion for a directed verdict. Defendant notes specifically that the State of Indiana chose to rely entirely upon the testimony of a single witness, Indiana Department
of Correction Officer Karl Swihart,See footnote
6
to prove up the existence of two or more prior unrelated felony convictions as well as identifying the Defendant as having received convictions. Appellant's Br. at 20 (emphasis added). Defendant points to inconsistencies in
Swihart's testimony and argues that the admissible evidence regarding [his] identity was
insufficient to sustain a conviction. We disagree.
Certified copies of judgments or commitments containing a defendant's name or a
similar name may be introduced to prove the commission of prior felonies. Schlomer v.
State, 580 N.E.2d 950, 958 (Ind. 1991) (citing Andrews v. State, 536 N.E.2d 507 (Ind.
1989)). While there must be supporting evidence to identify the defendant as the person
named in the documents, the evidence may be circumstantial. Id.; see also Coker v. State,
455 N.E.2d 319, 322 (Ind. 1983). If the evidence yields logical and reasonable inferences
from which the finder of fact may determine beyond a reasonable doubt that it was a
defendant who was convicted of the prior felony, then a sufficient connection has been
shown. Pointer v. State, 499 N.E.2d 1087, 1089 (Ind. 1986).
The record shows that the jury found Defendant was twice convicted and twice
sentenced for the two prior unrelated felonies of murder in 1989 and battery causing serious
bodily injury in 1993. To prove the 1989 murder conviction and sentence, the State offered
into evidence the information, probable cause affidavit, order adjudicating probable cause,
jury verdict, sentencing order, and Defendant's prison records. To prove the 1993 battery
causing serious bodily injury conviction and sentence, the State offered into evidence the
information (originally charged as attempted murder), probable cause affidavit, jury verdict
for battery causing serious bodily injury, sentencing order, and Defendant's prison records.
The State introduced this evidence through the testimony of Officer Swihart who
worked at the prison where Defendant was an inmate. Swihart testified that he was familiar
with Defendant and with the contents of Defendant's offender packet, which included
numerous court documents, identification cards, and photographs of Defendant. Swihart
readily identified Defendant in court as the same individual whose photographs appeared in
the prison records. We find that the State presented sufficient evidence from which the jury
could conclude that Defendant was the person convicted of murder in 1989 and battery
causing serious bodily injury in 1993.
SHEPARD, C.J., concurs, believing that while this witness/employee may be essential, many complaining witnesses would not meet the test under Rule 615.
SELBY, J., concurs.
BOEHM, J., dissents with opinion in which DICKSON, J., concurs.
Atley C. Price
William J. Nelson
Molly E. Palmer
Michigan City, Indiana
ATTORNEYS FOR APPELLEE
Jeffrey A. Modisett
Attorney General of Indiana
Suzann Weber Lupton
Deputy Attorney General
Indianapolis, Indiana
error to permit Wallace to remain at the counsel table because Wallace did not meet the
requirements of Evidence Rule 615(3) as an essential witness. I reach this conclusion for
the reasons suggested by the majority in footnote 3. The trial court's rulings as to the status
of a potential witness as essential under Indiana Evidence Rule 615(3) are reviewed using
an abuse of discretion standard. See Fourthman v. State, 658 N.E.2d 88, 90 (Ind. Ct. App.
1995) ([w]hether a witness fits in an exemption under Rule 615 is within the trial court's
discretion). The trial court in this case appears to have relied on pre-Rules of Evidence
case law that a party has a right to choose one person to assist it in the presentation of [its]
cause.See footnote
1
Because the trial court's ruling that Wallace was an essential witness was based
on this incorrect view of the applicable law, it expressed no judgment on the degree to
which Wallace was essential and therefore its ruling is not entitled to deference.
Indiana has little case law concerning the application of Rule 615, but the Indiana
rule is nearly identical to that in some other jurisdictions, including the federal courts.See footnote
2
Accordingly, cases from these other jurisdictions interpreting Rule 615 provide useful
guidance in construing the exceptions to Indiana Evidence Rule 615. The Advisory Committee Notes to Federal Rule of Evidence 615 state that the essential witness category
contemplates such persons as an agent who handled the transaction being litigated or an
expert needed to advise counsel in the management of the litigation. Generally, this
exception has been applied to expert witnesses or witnesses who summarize large amounts
of information [b]ecause Rule 615 is designed to preclude fact witnesses from shaping their
testimony based on other witnesses' testimony . . . [. I]t does not mandate the sequestration
of expert witnesses who are to give only expert opinions at trial. Opus 3 Ltd. v. Heritage
Park, Inc., 91 F.3d 625, 629 (4th Cir. 1996); see also Polythane Sys., Inc., v. Marina
Ventures Int'l, Ltd., 993 F.2d 1201, 1209 (5th Cir. 1993); United States v. Ortiz, 10 F. Supp.
2d 1058, 1061 (N.D. Iowa 1998) (to qualify as essential under Rule 615(3), the party must
show that the party's attorney could not effectively function without the presence and aid
of the witness, not that the witness is merely helpful or desirable) (quoting Oliver B.
Cannon & Son, Inc., v. Fidelity & Cas. Co., 519 F. Supp. 668, 678 (D. Del. 1981)); 4 Jack
B. Weinstein & Margaret A. Berger, Weinstein's Federal Evidence § 615.04[3][b]
(2d ed. 1999).
A fact witness -- as opposed to one with necessary expertise -- is to be excluded as
a matter of the operation of the rule in the absence of some unusual circumstances. See
Opus, 91 F. 3d at 629 (adherence to the sequestration rule is most important with respect
to key fact witness[es]). The trial court found no particular need for Wallace to assist
counsel, and none is apparent to me.
occurred. Here no such showing has been made. Accordingly, enforcement of the rule
requires reversal in this case.
DICKSON, J., concurs.
Converted from WP6.1 by the Access Indiana Information Network