Lead Opinion
OPINION
STATEMENT OF THE CASE
Defendant-Appellant Charles E. Taylor (Taylor) appeals his conviction of conspiracy to commit dealing in marijuana, a Class D felony.
We affirm.
ISSUES
Taylor presents the following re-stated consolidated issues for our review:
1. Whether prosecutorial misconduct occurred during the closing argument.
2. Whether Taylor’s constitutional rights were violated by the trial court’s communications with the jury during deliberation.
3. Whether evidence was improperly excluded by the trial court.
4. Whether the trial court erred in allowing the information to be amended on the day of trial.
FACTS AND PROCEDURAL HISTORY
The facts most favorable to the verdict follow. At a downtown bar in Peru, prior to Taylor’s arrest, Taylor was in communication with police informant (Walker) about the cost of marijuana. Taylor indicated that Walker could come to his residence when he needed more marijuana. Walker telephoned Taylor’s residence on February 22, 1994, and set up an appointment with a woman who also lived there (Gilliland) to pick up marijuana later that afternoon. When Walker arrived he talked with Taylor in the front room about the marijuana. Taylor later indicated that Walker was to follow Gilliland into the bedroom. Gilliland then provided the marijuana and collected the money while Taylor watched. Walker left, and Gilliland gave the money to Taylor.
Taylor was charged with conspiracy to commit dealing in marijuana on May 26, 1994, arising from the February 22, 1994, transaction. The trial was held on May 9, 1995. After the jury was sworn in, Taylor moved to dismiss the conspiracy charge, alleging it was defective. Rather than dismissing the charge, the trial court ordered that the information be amended, over Taylor’ s objection. After deliberation, the jury found Taylor guilty of the offense charged. This appeal followed. Additional facts are provided below as necessary.
I. Prosecutorial Misconduct
First, Taylor challenges the verdict by alleging prosecutorial misconduct. In reviewing a claim of prosecutorial misconduct, we must go through a two part analysis. We must determine: (1) whether the prosecutor committed misconduct, and (2) whether the misconduct, given thе circumstances, placed Taylor in a position of grave peril to which he should not have been subjected. Turnbow v. State,
The conduct at issue here is a comment that the prosecutor made in the closing argument. Dining the closing argument the prosecutor twice called the evidence “uncon-troverted,” to which Taylor’s attorney objected and moved for a mistrial on the grounds that the comment impermissibly referred to Taylor’s failure to testify. The trial court overruled both objections. (R. 788, 782).
“The Fifth Amendment privilege against compulsory self-incrimination is violated when a prosecutor makes a statement that is subject to reasonable interpretation by a jury as an invitation to draw an adverse inference from a defendant’s silence.” Moore v. State,
When the challenged language is not a direct comment on the defendant’s failure to testify, we must decide whether the comment amounts to a summary of the evidence, rather than an attempt to comment on the defendant’s silence. We previously have held that statements made by the State as to the uncontradicted nature of the State’s evidence do not violate a defendant’s Fifth Amendment rights. Comment on the lack оf evidence by the defense concerning otherwise incriminating evidence against him is proper “as long as the State focuses on the absence of any evidence to contradict the State’s evidence and not on the accused’s failure to testify.” Martinez v. State,
There were two comments made by the prosecutor which are at issue here. The two comments were: (1) “the evidence is uncontroverted, there’s no evidence before you to the contrary ...;” (2) “when they sit there on the couch, they then talk about the quarter-pound, according to testimony of Kicker [Walker], and there is nothing to the contrary whatsoever, that is uncontrovert-ed_” Although they need to be addressed separately, neither comment requires reversal in this ease.
In his reply brief, Taylor argues that because he is the only one who could have controverted the testimony, the prosecutor’s comment on the uneontroverted evidence is necessarily improper. The precedent given by Taylor to uphold this argument is the supreme court decision in Dooley v. State,
The first comment made by the State here, that the evidence before the jury is uncontro-verted, is clearly a comment on the evidence as a whole. It is general enough not to constitute an impermissible reference to Taylor’s failure to testify.
The second comment made by the prosecutor requires further analysis. The prosecutor said that the evidence pertaining to the discussion in the front room before the sale was uncontroverted. Taylor argues that he is the only one who could have controverted the evidence presented against him as to this step in the process, because he and Walker were the only ones present in the room. He argues that saying it is uncontroverted, when he is the only other one who was there, is an impermissible comment on his failure to testify.
Again, Taylor relies on Dooley to support this proposition. However, that ease is not about the inferences drawn from the impеrmissible comment in a specific fact situation, but focuses on the failure of the court to properly admonish the jury.
In this case, Taylor is not the only person who could have contradicted the testimony given. Gilliland was there, although she may have momentarily left the room. Furthermore, the State discussеs several different stages in the transaction: the conversation at the bar, the telephone call to set up the appointment, the conversation before the sale, and the exchange of cash for the marijuana, not just the conversation on the couch referred to by the prosecutor. Regardless of the factual circumstances, the comment here is focused on the evidence presented, and not on the defendant’s silence.
It is necessary to note that the standard relied on by Taylor, for determining whether the prosecutor improperly referred to the defendant’s failure to testify, has been recently modified. Taylor relies on the standard set forth in Rowley which is: “a comment made by a prosecuting attorney, directly or indirectly, which is subject to interpretation by a jury as a comment upon failure of a defendant to testify has been strictly regarded as an impingement on the substantial right of the defendant.”
The second issue raised by Taylor addresses events that took place during deliberations. After the jury began deliberating, the court received a message from the bailiff that the jury had a question for the court regarding the conspiracy charge. Although Taylor repeatedly requested that the jury’s questions first be written down so that he could confer with his client before they were answered, the judge refused this request and brought the jury bаck to open court.
First, the jury asked about the difference between the three different charges and whether they must convict on an all or nothing basis. The judge replied that he could not discuss the differences between the charges and informed them that they could re-read the instructions for guidance. The judge then answered the second part of their question by saying that the court would sort out any duplicity in verdicts at the time of sentencing, and that they should look at each charge individually and determine whether the State has met its burden. The jury again asked for clarification, and the judge told them that they eould enter a guilty or not guilty verdict on each of the counts independently. Then the jury аsked if any of the charges weighed more heavily than the others because of the order of the instructions, to which the judge informed them that there was no priority. Next the jury asked if “deliver” is “a hard enough fact.” After the judge expressed that he was not sure of the question, the prosecutor stated that “Deliver is not separately defined.” (R. 852). Finally, the juiy asked if the instructions were to be considered line by line or item by item. The judge stated that they need to be considered as a whole. He then clarified his earlier statement about the court sorting out duplicities by affirming that what the jury does is binding on the court, that the three charges are separate, and that they are to infer nothing else from what hе said. (R. 850-854).
a. Communication with the Judge
Taylor argues that the court erred in handling the jury’s questions in this manner, claiming that the Court’s responses weakened the State’s burden of proof and violated his right to consult with counsel and have assistance of counsel. Part of this argument is that the judge’s comments amounted to an additional or modified instruction.
Great deference is given to the trial court’s determination of whether or not to grant a mistrial because it is in the best position to evaluate the situation and its impact on the jury. Because the trial court is given this great deference, Taylor must demonstrate that the conduct in question was so prejudicial and inflammatory that he was placed in a position of grave pеril to which he should not have been subjected. Lawson v. State,
The correct procedure for answering questions of law raised by the jury after deliberation has begun is set forth in Ind.Code 34-1-21-6:
After the jury have retired for deliberation, if there is a disagreement between them as to any part of the testimony, or if they desire to be informed as to any point of law arising in the case, they may request the officer to conduct them into court, where the information required shall be given in the presence of, or after notice to, the parties or their attorneys.
This is exactly the procedure which was followed in this case. The jury wanted to be informed about a point of law. The judge called them into open court where he answered their questions in the presence of the defendant and both attorneys.
Given the position of the trial judge and the deference granted him, we will not challenge the method used for answering the jury’s questions in this case. The judge received and answered the questions in open court beforé all parties, as required by statute. His answers did not go to the merits of the case but cleared up a potentially dangerous misunderstanding of the jury that their response must be of an all or nothing nature. The attorneys were present for the entire
Two of the cases on which Taylor relies, strictly holding that no additional instructions or explanations can be given without re-reading the whole, deal only with a deadlocked jury and a variation of an Allen charge. Crowdus v. State,
The other case that Taylor relies on heavily is Wallace v. State,
Even if the trial court judge should not have addressed the jury’s questions as he did, the communications would only result in harmless error, not requiring reversal. Although it is true that special instructions are held to improperly emphasize any given instruction, a communication between the judge and jury is harmless error if it does not go to the merits of the case or the manner in which the merits are determined. Faceson v. State,
The bulk of the case law in this area deals with ex parte communications between the judge and jury after deliberation has begun. Throughout this case law, the common theme is that “in all circumstances the preferred method for communicating with the jury is on the record in open court.” Smith v. Convenience Store Distributing Company,
In one such case the jury asked the court whether they could find for the defendant on one count and against on the other. Without consulting with the parties, or even informing them of the question, the court replied that they may render a different verdict on
Because of this precedent, we find that even if found to be inappropriate, the communication between the judge and jury was not reversible error. Taylor expresses concern that the jury received a subtle message that a guilty verdict was expected because of the judge’s comments. This risk was alleviated by the trial court’s clarification before the jury returned to finish deliberating, that he implied nothing other than that the jury was to decide guilty or not guilty on each charge.
b. Communication with the Prosecutor
We must also address the unsolicited response made by the prosecutor in front of the jury during deliberations
In instances where the jury is subject to improper communications during deliberations, prejudice is presumed. If, however, an explanation for the communication is given, and we are satisfied that no harm resulted, then the judgment will be allowed to stand_ In deciding whether the presumption of harm has been rebutted, we evaluate the nature of the communication te the jury and the effect it might have had upon a fair determination.
Smith,
Relying on the record, it appears that the prosecutor’s comment was not for thе benefit of the jury, but to help the judge put the question into context. Although the jury overheard this statement, it did not address the question in a positive or negative way. The presumed prejudice was rebutted, and the error harmless. Additionally, the prosecutor claims that any head motions or nods were simply following the events taking place and were not intended to influence the jury. Again, the trial court is in the best position to determine whether a mistrial should be granted because of the unique perspective it has on the events at trial and their impact on the jury. Lawson, 664 N.E.2d at 781. Because of this great discretion we give the trial court, we find that the conduct during deliberations does not require a mistrial.
c. Communication between the Jurors
Taylor also challenges the verdict on the basis that: (1) the jury impermissibly communicated with the bailiff, and (2) the jury was impermissibly deliberating in open court. He bases the first claim on the fact that the bailiff knew that the jury’s question concerned the conspiracy charge. The second claim is based on affidavits presented by Taylor stating that the jurors were moving around and talking when they were in open court. A jury is presumed to have followed the instructions of the court. Lawson,
III. Admission of Evidence
The next issue raised by Taylor deals with the exclusion of evidence as to where Walker currently and previously lived. Taylor believes that this information is crucial to a meaningful cross-examination, and the exclusion of the evidence diminished Taylor’s right of cross examination.
Rulings on evidentiary matters are within the discretion of the trial court judge. Jones v. State,
Taylor has a constitutional right to a full, adequate and effective cross-examination, which is fundamental to a fair trial. Robinson v. State,
This standard has also been tailored for the present situation, when the defendant attempts to cross-examine the witness concerning his address.
[A] defendant is presumptively entitled to cross-examine a witness concerning such matters as the witness’s address_ The right to cross-examine concerning the witness’s address is not absolute. There may be good reason for the court to prevent questioning about the witness’s addresses, such as a reasonable fear that the witness will be placed in danger.
Turnbow,
When the defendant’s аttempt to cross-examine the state’s key witness as to his residencé is objected to on the grounds of relevancy and potential danger to the witness, several cases have made it clear that an in camera hearing is required to determine the admissibility of the evidence. Pigg,
Instead, Taylor argues that the hearing held on the issue was not a meaningful in camera hearing to such an extent that it was as if no hearing was held. At two separate times during this trial the judge heard from both attorneys outside of the presence of the jury regarding the admissibility of the addresses; the first time the judge also heard from Walker on the issue. The issue to be determined by the judge was whether or not Walker would be put in danger by revealing his addresses, which has been held to be a valid basis for precluding testimony concerning a witness’s address. Pigg,
Taylor cites Crull to support his proposition that the danger shown here by the State was not enough to preclude testimony regarding the addresses.
Taylor complains that the trial court relied on a statement which was inadmissable in making its determination. The court recоgnized some indication of danger to Walker from the evidence presented before the statement at issue was offered and addressed. (R. 485). The hearing then went on to the inadmissable statement and the nature of that statement. There was plenty of evidence presented at the two hearings that would support the court’s ruling without considering the inadmissable statement. Erroneously admitted evidence will be considered harmless error when a guilty verdict is supported by overwhelming independent evidence. Spires v. State,
IV. Amendment of the Information
Finally, Taylor argues that the trial court erred in allowing the information to be amended the day of trial, after the jury had been sworn in. On the first day of trial, Taylor moved to dismiss the conspiracy charge because the information erroneously contained the mens rea knowingly. Taylor alleges that because of the incorrect mens rea he was not able to draft an elements instruction. After acknowledging that the information was incorrect, the court denied the motion to dismiss and allowed the State to amend the information. Taylor then moved for a severance of the conspiracy charge or a continuance; both were denied.
An indictment and information can be amended. Amendments are controlled by Indiana Code 35-34-1-5, which states:
(a) An indictment or information which charges the commission of an offense may not be dismissed but may be amended on motion by the prosecuting attorney at any time because of any immaterial defect, including:
(9) any other defect which does not prejudice the substantial rights of the defendant.
Ind.Code 35-34-l-5(a).
However, an information may not be amended to change the theory of the case or the identity of the offense charged; but, it may be amended at any time to cure a defect if the substantial rights of the defendant are not prejudiced. Hart v. State,
The main factors focused on throughout Indiana case law when determining whether or not an amendment was improper are the availability of the defendant’s defenses, the risk of double jeopardy, and the danger of misleading the defendant in preparation of trial. See Robertson,
The charge in the information is listed as “conspiracy to commit dealing in marijuana.” The information cites the correct statute provisions for dealing in marijuana and for conspiracy. Ind.Code 35-48-4-10(a)(2), 35-41-5-2. (R. 9). One cannot knowingly commit conspiracy; conspiracy requires “intent to commit the felony.” Ind. Code 35-41-5-2(a). Although the information was incorrect, it was properly corrected. The information did make the crime charged clear, it merely misstated the intent. Therefore, Taylor had sufficient notice to prepare his defense. See Gordon,
The error in the information was corrected by a proper amendment under Ind.Code 35-34-1-5. Taylor was not prejudiced by this, was at no risk of double jeopardy, and did
CONCLUSION
Based on the forgoing, we find that: the prosecutor’s statements during closing arguments did not amount to reversible misconduct; the trial court judge did not commit error in handling the jury’s questions; there was a valid basis to exclude the address evidence; and the amendment to the information on the day of trial was proper.
Affirmed.
Notes
. Ind.Code 35-4&wkey;-10(a)(2); 35-41-5-2.
. The test relied on in Dooley is as follows: "unless it appears that there are witnesses other than the defendant who have denied or contradicted the evidence against him, any direct or indirect rеference to the defendant’s failure to testify has been strictly regarded as an impingement of his constitutional and statutory rights not to testify." Dooley,
. The comment at issue here was: “the evidence is uncontroverted, there’s no evidence before you to the contrary.” R. 778.
. Because of persuasive precedents, even if the statements at issue were improper, it would still not be reversible error. In a 1994 supreme court case, the prosecutor made a blatant reference to ■ defendant’s choice to remain silent; however, the Court held that it did not rise to reversible error because the comment was not a direct reference to the defendant's decision not to testify and the prosecutor did not dwell on the matter. Splunge v. State,
. The Allen charge is the common name for a supplemental charge given by a trial judge to an apparently deadlocked jury. Lewis v. State,
. See also People v. Childs,
. When the judge did not understand the jury’s quеstion about the word "deliver,” the prosecutor offered the information that "deliver” is not defined in the statute.
. "The purpose of an information is to advise the defendant of the particular crime charged so that he can prepare his defense.” Wine,
Lead Opinion
OPINION ON REHEARING
(May 12, 1997)
Defendant-Appellant Charles E. Taylor (Taylor) has petitioned for rehearing of our decision in Taylor v. State,
Taylor asserts that our opinion is in error because of the inclusion in a footnote of a case which has beеn overruled as to the principle cited. Taylor, op. pg. 67 n.9, (citing Wilson v. State,
In discussing the issue, we included a citation to Wilson v. State,
We have instructed West Publishing Company to delete footnote 9 in our reported decision.
ROBERTSON, J., concurs.
CHEZEM, J., concurs in result.
