FOR PUBLICATION
ATTORNEY FOR APPELLANT: ATTORNEYS FOR APPELLEE:
JAMES T. FLANIGAN KAREN FREEMAN-WILSON
Skiles & Cook Attorney General of Indiana
Indianapolis, Indiana
JAMES B. MARTIN
Deputy Attorney General
Indianapolis, Indiana
IN THE
COURT OF APPEALS OF INDIANA
ROBERT J. HIGHTOWER, )
)
Appellant-Defendant, )
)
vs. ) No. 29A05-0001-CR-00022
)
STATE OF INDIANA, )
)
Appellee-Plaintiff. )
APPEAL FROM THE HAMILTON SUPERIOR COURT
The Honorable Wayne A. Sturtevant, Judge
Cause No. 29D05-9710-DF-4265
October 6, 2000
OPINION - FOR PUBLICATION
VAIDIK, Judge
Case Summary
Appellant, Robert Hightower, claims on appeal that fundamental error occurred during his trial
when a witness testified that Hightower had invoked his Miranda right to remain
silent, that the trial court erred in excluding a facsimile from evidence and
that his consecutive sentences were unreasonable. Because the evidence in this case
was overwhelming, the testimony regarding Hightowers decision to remain silent did not constitute
fundamental error. Furthermore, the trial court did not abuse its discretion in
excluding from evidence a facsimile that was not authenticated. Finally, because his
crimes did not arise from a single criminal episode, his consecutive sentences were
not unreasonable. Therefore, we affirm.
Facts and Procedural History
Hightower worked as a bookkeeper for several businesses owned by Derek Daly.
As a bookkeeper, Hightower reviewed invoices, balanced the books, reconciled the bank statements,
had access to checks and had the ability to print checks on Dalys
computer. Hightower also prepared checks for Dalys approval and signature, kept all
cancelled checks and maintained Dalys financial records in a computer program.
After Hightower stopped working for Daly, Daly discovered $17,500 missing from his accounts.
Over a three month period, four checks had been written to Hightower
or his business. Two of the checks, one for $8,000 written on
February 14, 1997 and the other for $6,000 written on March 18, 1997,
were written to C.I.A. Commercial Cleaning Service, a company Hightower owned. The
two checks written to C.I.A. indicated two different addresses for C.I.A. However,
there was no C.I.A. Commercial Cleaning business located at either of the addresses.
The two remaining checks were written to Hightower in the amounts of
$2,500 and $1,000 in January, 1997. Daly denied signing or authorizing the
checks. Daly did not know of C.I.A. Commercial Cleaning until he discovered
these checks. Although all of Dalys other cancelled checks were recovered, the
checks written to C.I.A. and Hightower were not.
Furthermore, during Hightowers period of employment as bookkeeper several of the computer records
of Dalys accounts were altered. Specifically, some of the recovered cancelled checks
were entered in Dalys computer accounting program for higher and lower amounts than
the amounts for which the checks were cashed. Record at 803.
For example, check 1261 was entered in the computer for $4,714.39, but was
cashed for $1,629.28 while check 1318 was entered in the computer for $1,548.93
and was cashed for $548.93. Record at 807. All together, the
alterations masked about $5,600 of the shortage in Dalys accounts.
At trial, Hightower did not dispute that he received and cashed the four
missing checks. However, he claimed that the checks were compensation for services
rendered and represented a loan that he repaid. Hightower further claims his
compensation was set at $500 per week or $2000 per month. On
the other hand, Daly claims that the checks bear a forgery of his
signature and do not represent compensation or a loan repayment. Daly
claims that Hightower was paid $11.00 per hour.
The prosecutions first witness, Officer Dave Underwood, testified that he questioned Hightower about
the checks missing from Dalys office. Officer Underwood commented on Hightowers decision
to invoke his right to an attorney. Hightower also offered a facsimile
for admission into evidence. He claimed that Dalys employee, Debbie Kamen submitted
the fax to Hightowers divorce attorney as a statement of Hightowers salary for
a child support determination. The State objected to the admission of the
fax on the grounds that it was forged, it was hearsay, and that
it was unreliable. The court excluded the facsimile.
Hightower was convicted on two counts of theft and two counts of conversion.
He was given the maximum sentence on all counts to be served
consecutively, with the conversion misdemeanor sentences suspended. This appeal followed.
Discussion and Decision
Hightower raises three challenges to his convictions. First, he claims that fundamental
error occurred when the trial court allowed the prosecutor to question a witness
regarding his post-Miranda silence during the trial. Next, Hightower contends it was
error for the trial court to exclude the facsimile from evidence. Finally,
Hightower claims that his sentence is unreasonable.
I. Miranda Warning
Hightower contends that his trial was fundamentally unfair because a States witness commented
on his post-Miranda silence in response to questions from the prosecution. At
trial, the State presented evidence that Hightower was read the Miranda warnings and
questioned about the alleged crimes. The following exchange occurred during Officer Dave
Underwoods testimony:
Q: What did you do once you made contact with him?
A: We explained what we needed to talk to him about, the checks from
Mr. Dalys office. At first he was willing to talk to us
until he found out it was going to be tape recorded and then
he changed his mind. Once he invoked his right to an attorney,
we ceased contact about the statement and served him with the search warrant
for the handwriting sample, which he provided for us.
Q: Did you explain his Miranda rights for him?
A: Yes.
Q: And was it at that point that he asked to talk to an
attorney before he spoke with you?
A: Thats correct.
Record at 503.
A violation of the Due Process clause of the Fourteenth Amendment occurs when
a defendants post-Miranda silence is used for impeachment purposes. Doyle v. Ohio,
426 U.S. 610, 618 (1976). To find otherwise violates the inherent protections
offered by the Miranda warnings that assure the accused that silence carries no
penalty. Bevis v. State, 614 N.E.2d 599, 602 (Ind. Ct. App. 1993).
Initially, we conclude that there was a Doyle violation, but we note that
Hightower waived his claim of a Doyle violation by failing to object at
trial. Failure to assert an objection during trial waives the issue on
appeal. However, Hightower claims that the violation resulted in fundamental error, which
cannot be waived. Fundamental error occurs when a substantial, blatant violation of
basic principles of due process renders a trial unfair to the defendant.
Taylor v. State, 717 N.E.2d 90, 93 (Ind. 1999)(citation omitted). A Doyle
claim may be fundamental error. Id. To establish fundamental error,
however, the error must be a substantial and blatant violation of basic principles
rendering the trial unfair to the defendant. Collins v. State, 567 N.E.2d
798, 801 (Ind. 1991). Although testimony regarding Hightowers post-Miranda silence was presented,
the error was not so substantial and blatant as to render his trial
unfair.
To determine whether a Doyle violation denied a defendant a fair trial, White
v. State, 647 N.E.2d 684, 687 (Ind. Ct. App. 1995) provides a five
factor test. The five factors examined are: (1) the use to
which the prosecution puts the post-arrest silence; (2) who elected to pursue the
line of questioning; (3) the quantum of other evidence indicative of guilt; (4)
the intensity and frequency of the reference; and (5) the availability to the
trial court judge of an opportunity to grant a motion for mistrial or
to give curative instructions. Id. After examining these factors, we conclude
that the error in allowing the witness to testify about Hightowers post-Miranda silence
did not deny Hightower a fair trial.
First, we do find that the prosecution used Hightowers post-arrest silence to allow
the jury an opportunity to draw the impermissible inference that through his silence
Hightower had something to hide. Officer Underwood initiated the discussion of Miranda
rights in his response to the prosecutors general question. Thereafter, the prosecutor
continued to pursue this inappropriate line of questioning.
Next, we look at the quantum of evidence and determine that the evidence
against Hightower is overwhelming. As bookkeeper, Hightower was in charge of the
financial records and bank accounts of Daly. During a three month period
of time, Hightower received $17,500 from Dalys bank accounts. Checks for $14,000
were written to Hightowers cleaning service. The checks to the cleaning service
indicated two different and non-existent addresses. Additionally, although all of Dalys other
cancelled checks were returned, the checks written to Hightower and his cleaning service
were never recovered. Also, Dalys computer records were altered on other checks
to account for a shortage of $5600.
Further, the intensity and frequency of the reference to Hightowers silence was minimal.
The prosecutor did not frequently or intensely refer to his invocation.
In fact, although he was the first witness, the prosecutor only engaged in
a short question and answer session with Officer Underwood regarding Hightowers post-
Miranda silence.
Finally, the trial judge did not have an opportunity to grant a
motion for mistrial or give a curative instruction because the defendant did not
object to the line of questioning.
After examining these factors from
White, we conclude that because the evidence against
Hightower was overwhelming and the questioning about his post-Miranda silence was minimal, the
Doyle violation was harmless.
Exclusion of Evidence
Next, Hightower argues that the trial court erred when it excluded a facsimile
Kamen purportedly faxed to Angela Mansfield, the attorney Hightower hired to resolve his
child support matters. During Kamens testimony, she indicated that she could not
recall how much money Hightower was paid by Daly. Yet, in the
facsimile she allegedly faxed to Hightowers attorney, she stated that Hightower made $500
per week. Thus, during his cross-examination of Kamen, Hightower moved to introduce
the fax into evidence to impeach Kamens credibility. The State objected to
the introduction of the fax because Kamen claims that the fax is a
forgery. The trial court excluded the document because it had not been
authenticated under Indiana Evidence Rule 901.
The admission or exclusion of evidence is a determination entrusted to the discretion
of the trial court.
Christian v. State, 710 N.E.2d 582, 583 (Ind.
Ct. App. 1999). We will reverse a trial courts decision only for
an abuse of discretion, that is when the trial courts decision is clearly
erroneous and against the logic and effect of the facts and circumstances before
the court. Id. To prevail when claiming an error in the
admission or exclusion of evidence, a substantial right of the party must be
affected. Geiger v. State, 721 N.E.2d 891, 898 (Ind. Ct. App. 1999).
Specifically, Hightower contends that the fax should have been admitted under Indiana Evidence
Rule 613(b) as extrinsic evidence of a prior inconsistent statement. He also
claims that even if the fax was inadmissible as extrinsic evidence, the trial
court should have allowed him to question Kamen regarding the fax under Indiana
Evidence Rule 613.
See footnote
Evidence Rule 613(b) allows for the admission of extrinsic evidence of a witnesss
prior inconsistent statement. Thus, a prior inconsistent written statement may be admitted
into evidence to impeach a witnesss credibility. But, the prior inconsistent statement
must be authenticated before its admission. Authentication requires the proponent of the
evidence to prove that the matter in question is what its proponent claims.
Indiana Evidence Rule 901. Here, Hightower was required to show
that the fax is a letter written by Kamen. Kamen, however, claims
it is a forgery. Indiana Evidence Rules 901 and 902 provide several
ways to authenticate a document.
Hightower alleges that the fax was authenticated under Indiana Evidence Rule 901 because
it was certified as a public record. He argues that since it
was filed with a court in his child support proceeding and since the
document contained a court stamp that the fax was a true and complete
copy of a document filed in court, that the fax qualifies as a
public record under 901(b)(7). Evidence Rule 901(b)(7) provides that a public record
is authenticated by [e]vidence that a writing authorized by law to be recorded
or filed and in fact recorded or filed in a public office, or
a purported public record, report, statement, or data complication, in any form, is
from the public office where items of this nature are kept. Evidence
Rule 901(b)(7) addresses records not certified under Rule 902.
13A Robert Lowell
Miller, Indiana Practice, Indiana Evidence § 901.207 (2nd ed. 1995). A public
record authenticated under Rule 901(b)(7) without being certified under 902 must be an
original record within the meaning of the original document rule. Id.
In the instant case, the fax was not an original document and therefore,
was not authenticated under Evidence Rule 901(b)(7).
Furthermore, the fax was not authenticated as a public record under 902(1).
To be authenticated under 902(1), the written attestation must be original.
Miller
at § 902.101. There was no original attestation on the fax.
Thus, the fax was not authenticated under Evidence Rule 902.
Extrinsic evidence may be used to impeach a witness only if the evidence
is in a form that makes it otherwise admissible.
See Montgomery Ward,
Inc. v. Koepke, 585 N.E.2d 683, 685 (Ind. Ct. App. 1992) (finding that
documents were properly excluded where they had not been admitted into evidence and
were merely hearsay reports), amended on other grounds. Since the document here
was not authenticated under Evidence Rules 901 or 902, it could not be
admitted under Evidence Rule 613(b).
Hightower also claims that he could have authenticated the fax through Mansfields testimony.
However, Hightower never explained how Mansfield could have authenticated the fax under
Evidence Rule 901. In fact, the record is devoid of an explanation
showing us how this would have been accomplished and whether it could have
been accomplished. An offer of proof must be made on cross-examination if
counsel believes the trial court has improperly limited a line of questioning or
has erroneously sustained an objection.
Arhelger v. State, 714 N.E.2d 659, 666
(Ind. Ct. App. 1999). Here, since Hightower never explained how Mansfields testimony
could have authenticated the fax, Hightower waived review of this issue.
Finally, Hightower argues that he should have been allowed under Evidence Rule 613(a)
to question Kamen regarding the fax even if the fax was not admissible.
We note it is unclear whether Hightower was not allowed to question
about the fax. The court ruled on Hightowers motion to admit the
fax. Record at 752. The court did not rule on whether
Hightower could question Kamen on the fax. Be that as it may,
the court determined the fax could not be properly authenticated. A document
which cannot be properly authenticated is not reliable and therefore, has little probative
value under Indiana Evidence Rule 401.
See footnote
Moreover, any limited probative value is
outweighed by the prejudicial impact of reference to a document which has not
been and cannot be determined to be reliable. See Indiana Evidence Rule
403.
See footnote
Therefore, the trial court did not err in failing to permit
questioning about this facsimile.
III. Sentencing
Finally, Hightower contends that the trial court erred by sentencing him to consecutive
terms of imprisonment. Specifically, Hightower argues that under
Ind. Code § 35-50-1-2,
his conduct qualifies as a single episode of criminal conduct which would preclude
his consecutive sentences. Ind. Code § 35-50-1-2(c) states:
[E]xcept for crimes of violence, the total of the consecutive terms of imprisonment
. . . to which the defendant is sentenced for felony convictions arising
out of an episode of criminal conduct shall not exceed the presumptive sentence
for a felony which is one (1) class of felony higher than the
most serious of the felonies for which the person has been convicted.
The legislature defined an episode of criminal conduct to mean offenses or a
connected series of offenses that are closely related in time, place, and circumstance.
Ind. Code § 35-50-1-2(b).
Here, Hightowers convictions arise from crimes he committed with four separate checks written
on separate dates for different amounts. Thus, Hightowers offenses do not constitute
a single episode of criminal conduct because the incidents are separated in time,
place and circumstance.
See Tedlock v. State, 656 N.E.2d 273 (Ind. Ct.
App. 1995). Furthermore, Hightower concedes that his offenses are separate incidents that
occurred over a three month period of time. As a result, the
trial court did not err in sentencing Hightower.
Judgment affirmed.
SULLIVAN, J. and BAILEY, J., concur.
Footnote:
Indiana Rule of Evidence 613 states:
Examining Witness Concerning Prior Statement. In examining a witness concerning a prior
statement made by the witness, whether written or not, the statement need not
be shown nor its contents disclosed to the witness at that time, but
on request the same shall be shown or disclosed to opposing counsel.
Extrinsic Evidence of Prior Inconsistent Statement of Witness. Extrinsic evidence of a
prior inconsistent statement by a witness is not admissible unless the witness is
afforded an opportunity to explain or deny the same and the opposite party
is afforded an opportunity to interrogate the witness thereon, or the interests of
justice otherwise require. This provision does not apply to statements of a
party-opponent as defined in Rule 801(d)(2).
Footnote:
Indiana Evidence Rule 401 states:
Relevant evidence means evidence having any tendency to make the existence of any
fact that is of consequence to the determination of the action more probable
or less probable than it would be without the evidence.
Footnote:
Indiana Evidence Rule 403 states:
Although relevant, evidence may be excluded if its probative value is substantially outweighed
by the danger of unfair prejudice, confusion of the issues, or misleading the
jury, or by considerations of undue delay, or needless presentation of cumulative evidence.