FILED Pursuant to Ind.Appellate Rule 65(D), this Memorandum Decision shall not be regarded as precedent or cited before any Jul 31 2012, 9:24 am court except for the purpose of establishing the defense of res judicata, collateral estoppel, or the law of the case. CLERK of the supreme court, court of appeals and tax court
ATTORNEYS FOR APPELLANT: ATTORNEYS FOR APPELLEE:
PAUL MATTHEW BLANTON GREGORY F. ZOELLER JEFFREY K. BRANSTETTER Attorney General of Indiana Blanton & Branstetter, LLC Jeffersonville, Indiana ELLEN H. MEILAENDER Deputy Attorney General Indianapolis, Indiana
IN THE COURT OF APPEALS OF INDIANA
JOSEPH PETERS, ) ) Appellant-Defendant, ) ) vs. ) No. 59A01-1108-CR-330 ) STATE OF INDIANA, ) ) Appellee-Plaintiff. )
APPEAL FROM THE ORANGE CIRCUIT COURT The Honorable R. Michael Cloud, Special Judge Cause No. 59C01-0608-FA-55
July 31, 2012
MEMORANDUM DECISION – NOT FOR PUBLICATION
RILEY, Judge STATEMENT OF THE CASE
Appellant-Defendant, Joseph Peters (Peters), appeals the trial court’s denial of his
motion to dismiss.
We affirm.
ISSUE
Peters raises one issue on appeal, which we restate as follows: Whether the trial
court abused its discretion when it denied his motion to dismiss in which he alleged that
the State had failed to bring him to trial in a timely manner.
FACTS AND PROCEDURAL HISTORY
On August 18, 2006, the State filed an Information charging Peters with Count I,
child molesting, a Class A felony, Ind. Code § 35-42-4-3(a)(1), and Count II, child
molesting, a Class C felony, I.C. § 35-42-4-3(b). On August 21, 2006, the trial court held
an initial hearing and set a trial date of February 13, 2007. Three days later, the trial
court judge, Judge Larry R. Blanton (Judge Blanton), recused himself due to a conflict
and appointed Judge K. Lynn Lopp (Judge Lopp) as his replacement. On August 29,
2006, Judge Lopp accepted the appointment. On September 13, 2006, Peters was
released from incarceration after posting bond and was placed on electronic monitoring.
Subsequently, on October 11, 2006, the trial court sua sponte rescheduled Peters’ trial for
May 21, 2007. On December 12, 2006, the trial court vacated that date and reset the trial
again for June 11, 2007.
2 On May 21, 2007, Peters filed a motion to continue the jury trial date because his
counsel had another jury trial scheduled for the same day. The trial court granted the
motion and rescheduled the trial for September 11, 2007. However, on August 30, 2007,
shortly before the trial was scheduled to commence, the trial court moved the date due to
court congestion and reset the trial for February 12, 2008. On February 1, 2008, the trial
court again moved the trial, citing court congestion, and reset the trial for July 29, 2008.
On July 16, 2008, the State filed another motion for a continuance. In response, on July
29, 2008, the trial court reset the new trial date for December 16, 2008 and scheduled a
hearing on the pending motions for November 19, 2008.
On November 19, 2008, the day of the hearing on the pending motions, Peters
filed a motion to dismiss on Criminal Rule 4(C) grounds, alleging that the State had
failed to bring him to trial within 365 days of charging him. The trial court vacated the
pending trial, scheduled a hearing on Peters’ motion for December 16, 2008, and reset the
trial for May 5, 2009. On December 16, 2008, during the hearing on Peters’ motion,
Peters and the State agreed that the delay between the trial dates of December 16, 2008
and May 5, 2009 would not be considered attributable to the State. After the hearing, the
trial court took the matter under advisement, and on January 9, 2009, denied the motion.
On May 5, 2009, jury selection commenced for Peters’ trial. However, the
following day, the trial court declared a mistrial before the jury could be sworn in, citing
an insufficient number of jurors. The trial court subsequently scheduled a new trial date
of June 23, 2009, but later reset the date to June 22, 2009. On June 22, 2009, during the
3 State’s second attempt to try Peters, the trial court again declared a mistrial before the
jury could be sworn in due to an insufficient number of jurors. After this second mistrial,
the trial court rescheduled Peters’ trial for October 6, 2009.
On October 6, 7, and 13-14, 2009, a third attempt at a jury trial was held.
However, on October 14, 2009, the State moved for another mistral. Over Peters’
objection, the trial court granted the motion and again declared a mistrial. On November
24, 2009, the trial court scheduled the retrial date for March 15, 2010.
On February 5, 2010, Peters filed a motion to continue the March trial date.
Without ruling on the motion, on February 23, 2010, Judge Lopp entered an order of
disqualification. The following day, Judge R. Joseph Howell (Judge Howell) was
appointed. However, on March 15, 2010, the State objected to Judge Howell’s
appointment, and the scheduled trial did not commence. The trial court scheduled a
hearing for April 5, 2010, and on that date the parties agreed that the matter should be
forwarded to the Indiana Supreme Court. On August 13, 2010, our supreme court issued
an order requiring Judge Howell to appoint Judge R. Michael Cloud (Judge Cloud)
pending Judge Cloud’s ability to assume jurisdiction. On November 4, 2010, Judge
Cloud entered an appearance and qualification and on November 29, 2010, the trial court
scheduled the jury trial to begin August 1, 2011.
On December 13, 2010, Peters filed a renewed motion to dismiss based on
Criminal Rule 4(C) and his constitutional right to a speedy trial. On June 23, 2011, the
trial court held a hearing on the motion and denied it on July 12, 2011. On July 19, 2011,
4 Peters moved for certification of the trial court’s order denying the motion for
interlocutory appeal, and on July 27, the trial court entered an amended order denying
Peters’ motion to dismiss.
Peters now appeals. Additional facts will be provided as necessary.
DISCUSSION AND DECISION
Peters claims that the trial court abused its discretion when it denied his motion to
dismiss because the trial court violated his right to a speedy trial. We review a trial
court’s denial of a motion to dismiss for an abuse of discretion. Werner v. State, 818
N.E.2d 26, 28 (Ind. Ct. App. 2004), trans. denied. We will find an abuse of discretion
and reverse only where the trial court’s decision was clearly against the logic and effect
of the facts and circumstances. Id.
Here, Peters’ argument has two components: (1) the trial court violated Indiana
Criminal Rule 4(C) and (2) the trial court violated Peters’ constitutional rights under both
the United States Constitution and the Indiana Constitution. We will address each of
these issues separately.
I. Indiana Criminal Rule 4(C)
First, Peters claims that because his trial was not held until two years and eight
months after the State charged him, he is entitled to discharge under Indiana Criminal
Rule 4(C). Crim. R. 4(C) provides, in pertinent part:
No person shall be held on recognizance or otherwise to answer a criminal charge for a period in aggregate embracing more than one year from the date the criminal charge against such defendant is filed, or from the date of his arrest on such charge, whichever is later; except where a continuance 5 was had on his motion, or the delay was caused by his act, or where there was not sufficient time to try him during such period because of congestion of the court calendar. . . . Any defendant so held shall, on motion, be discharged.
This rule places the duty to bring a defendant to trial within one year on the State,
and the defendant is under no obligation to remind either the State or the trial court of the
State’s duty. Todisco v. State, 965 N.E.2d 753 (Ind. Ct. App. 2012). Whether a
particular delay in bringing a defendant to trial violates the speedy trial guarantee is a
determination that “largely depends on the specific circumstances of the case.” Gibson v.
State, 910 N.E.2d 263, 266 (Ind. Ct. App. 2009). If a defendant seeks or acquiesces in
any delay which results in a later trial date, the time period is tolled and the time
limitations of the rule are extended by the length of the delay. Isaacs v. State, 673 N.E.2d
757, 762 (Ind. 1996). A defendant also waives the right to trial within one year by failing
to raise a timely objection if the trial court, acting during the one-year period, schedules
the trial beyond the limit. Pelley v. State, 901 N.E.2d 494, 498-99 (Ind. 2009), reh’g
denied.
On August 18, 2006, the State filed its Information against Peters, thereby
commencing the one-year limitation for purposes of Crim. R. 4(C). See Baumgartner v.
State, 891 N.E.2d 1131, 1134 (Ind. Ct. App. 2008). Both sides agree that the first six
days following the charges were attributable to the State for purposes of the rule, thereby
leaving a remaining limit of 359 days. However, on August 24, 2006, Judge Blanton
recused himself due to a conflict, and Judge Lopp did not accept the appointment until
August 29, 2006. As the unavailability of essential personnel constitutes a form of court 6 congestion that does not count against the rule period, those five days did not count
against Peters’ remaining 359-day limit. See Loyd v. State, 398 N.E.2d 1260, 1265 (Ind.
1980), cert. denied, 449 U.S. 881 (1980).
Thereafter, both parties agree that the 265-day period between August 29, 2006
and May 21, 2007 counted towards Crim. R. 4(C), leaving 94 days remaining. Then, on
May 21, 2007, Peters moved for a continuance and the trial court reset the trial to
September 11, 2007. The State claims that since a delay caused by a defendant’s request
for a motion for a continuance does not count against the rule, the period between May
21, 2007 and September 11, 2007 did not count against the remaining 94 days under the
rule. See Crim. R. 4(C). However, on August 30, 2007, the trial court moved the trial
date again due to court congestion. We therefore conclude that Peters is only responsible
for tolling the period between May 21, 2007, and August 30, 2007, rather than the period
between May 21, 2007 and September 11, 2007.
The primary issue in calculating Peters’ remaining time is whether the trial court’s
two continuances following August 30, 2007 also tolled Peters’ Crim. R. 4(C) limit. On
August 30, 2007, the trial court reset the trial to February 12, 2008, and on February 1,
2008, the trial court again reset the trial for July 29, 2008. The State argues that these
periods tolled the calculation of Peters’ limit because the trial court’s justification for
both continuances was court congestion, which does not count against the State under
Crim. R. 4(C). In response, Peters asserts that the trial court did not provide adequate
evidence that its schedule was truly congested. If we accept Peters’ argument, then more
7 than 365 days passed under the rule before the State tried Peters. If we accept the State’s
argument, then we must conclude that Peters waived his Crim. R.4(C) claim as the trial
court’s subsequent July 29, 2008 decision to reschedule the trial to December 16, 2008
fell outside of Peters’ remaining 94 days, and Peters did not object. As we stated above,
a defendant waives the right to a trial within one year under Crim. R. 4(C) by failing to
raise a timely objection if the trial court, acting during the one-year period, schedules the
trial beyond the limit. See Pelley, 901 N.E.2d at 498-99.
Our supreme court addressed a challenge to a trial court’s finding of court
congestion in Clark v. State, 659 N.E.2d 548 (Ind. 1995). In that case, Clark requested a
speedy trial pursuant to Crim. R. 4(B), which requires the State to discharge a detained
defendant who moves for an early trial if the State does not bring the defendant to trial
within seventy days. Id. at 550. The trial court set Clark’s trial to begin seventy days
after his request for a speedy trial, but reset the trial date on the day of trial due to court
congestion. Id. In response, Clark filed a motion for discharge under Crim. R. 4(B). Id.
At a hearing on the motion, the bailiff in charge of juries for the county in which Clark
was to be tried testified that no jury trial had been held on the day when Clark’s trial had
originally been scheduled, and that no jurors had been summoned to appear on that date.
Id. In spite of this testimony, the trial court denied Clark’s motion, noting its “routine
practice of assigning several cases for jury trial on the same date, with noon the previous
Friday as the ‘cut-off’ point at which the court assign[ed] the ‘number one’ case to be on
the ‘ready docket’ and [continued] the other cases [] because of congestion.’” Id.
8 On appeal, our supreme court established the following standard for challenges to
court congestion:
Upon appellate review, a trial court’s finding of congestion will be presumed valid and need not be contemporaneously explained or documented by the trial court. However, a defendant may challenge that finding, by filing a [m]otion for [d]ischarge and demonstrating that, at the time the trial court made its decision to postpone trial, the finding of congestion was factually or legally inaccurate. Such proof would be prima facie adequate for discharge, absent further trial court findings explaining the congestion and justifying the continuance. In the appellate review of such a case, the trial court’s explanations will be accorded reasonable deference, and a defendant must establish his entitlement to relief by showing that the trial court was clearly erroneous.
Id. at 552. Based on this standard, the supreme court held that the trial court’s
declaration of congestion was clearly erroneous because Clark had provided evidence
disputing the congestion finding, and neither the State nor the trial court had established
that any trial was in fact conducted on the day when Clark’s trial had originally been
scheduled or otherwise explained the trial court’s finding. Id.
While Peters only provided us with evidence of the trial court’s 2008 calendar,
rather than the 2007 calendar, he claims that the 2008 calendar is proof that the trial
court’s schedule was not congested during either of the periods in 2008 when the trial
court continued his trial. Specifically, Peters points to the calendar as evidence that the
first two weeks of Judge Lopp’s schedule in February of 2008 were free, as well the
period between February 12, 2008 and July 29, 2008.
We cannot agree with this contention because Peters has not provided us with any
means of interpreting the 2008 calendar. As the State argues, the calendar seems to
9 demonstrate a great deal of congestion. Various case names are written throughout the
period to which Peters refers and Peters has not established a context for those notations.
We do not know whether they relate to jury trials or other court proceedings. In addition,
it appears that the trial court was closed on February 12, 2008, the day of Peters’
scheduled trial. In total, this evidence is very different from the evidence presented in
Clark. In Clark, the bailiff specifically testified that no jury trials had occurred on the
day in question. Clark, 659 N.E.2d at 550. Here, the evidence is not conclusive. As a
result, we decline to find the trial court’s declaration of congestion clearly erroneous.
Further, we therefore conclude that Peters did not object when the trial court reset his trial
outside of the 365-day limit imposed by Crim. R. 4(C), and thus waived his claim under
Crim. R. 4(C). See Pelley, 901 N.E.2d at 498-99.
II. Constitutional Rights
Next, Peter argues that the delay in the scheduling of his retrial following his
mistrials violated his constitutional right to a speedy trial. While Crim. R. 4(C) operates
to create a bright line rule defining a “reasonable time” for a defendant’s initial trial,
Indiana courts have made it clear that the time limitations of Crim. R. 4(C) do not apply
on retrial. Lahr v. State, 615 N.E.2d 150, 151 (Ind. Ct. App. 1993). Instead, when a
retrial is required, a defendant must rely on his constitutional right to a speedy trial under
the United States Constitution or the Indiana Constitution. Id. The Sixth Amendment of
the United States Constitution, as applied to the states through the Fourteenth
Amendment, guarantees criminal defendants “the right to a speedy and public trial,” and
10 the Indiana Constitution gaurantees that “justice shall be administered freely, and without
purchase, completely and without denial; speedily and without delay.” United States
Constitution, Amend. VI; Indiana Constitution, art. I, § 12. In order to evaluate speedy
trial claims under both the United States and Indiana Constitutions, Indiana courts have
employed the balancing test established in Barker v. Wingo, 407 U.S. 514, 92 S.Ct. 2182
(1993). State v. Montgomery, 901 N.E.2d 515, 520 (Ind. Ct. App. 2009), adhered to on
reh’g, 907 N.E.2d 1057 (2009). The Barker balancing test involves an evaluation of both
the State’s and the defendant’s conduct, taking into consideration such factors as: the
length of the delay, the reason for the delay, the defendant’s assertion of his speedy trial
right, and prejudice to the defendant. Id. None of these factors is either a necessary or
sufficient condition to finding a deprivation of the right to a speedy trial. Danks v. State,
733 N.E.2d 474, 484 (Ind. Ct. App. 2000), trans. denied. Rather, they are related factors
and must be considered together with such circumstances as may be relevant. Id.
Under Barker, the length of delay is “to some extent a triggering mechanism.
Until there is some delay which is presumptively prejudicial, there is no necessity for
inquiry into the other factors that go into the balance.” Montgomery, 901 N.E.2d at 520
(quoting Barker, 407 U.S. at 530). The amount of time constituting a presumptively
prejudicial delay depends upon the peculiar circumstances of the case. Id. “To take but
one example, the delay that can be tolerated for an ordinary street crime is considerably
less than for a serious, complex conspiracy charge.” Barker, 407 U.S. at 531. Similarly,
the delay that can be tolerated for retrial is considerably less than for an initial trial
11 because the issues and evidence have been fully explored. Lahr, 615 N.E.2d at 152.
However, there is a general consensus that a delay of eight months or longer is
presumptively prejudicial. Id. at n.3.
In the instant case, Peters’ first trial began on May 5, 2009 and ended in mistrial
on May 6, 2009, due to an insufficient number of jurors. His second trial began seven
weeks later on June 23, 2009 and ended in mistrial the same day, again due to an
insufficient number of jurors. The third retrial began on October 6, 2009, approximately
three and a half months later, and four days of trial were held before the trial court
declared another mistrial on October 14, 2009. Subsequently, although the trial court
scheduled a retrial date of March 15, 2010, Judge Lopp recused himself on February 23,
2010. The following day, Judge Howell was appointed, but on March 15, 2010, the State
objected to Judge Howell’s appointment and the scheduled trial did not commence. It
was not until November 4, 2010, when Judge Cloud entered an appearance as the
replacement trial court judge, that the trial court finally scheduled the trial to begin
August 1, 2011, more than eight months into the future and more than twenty months
past the date of the third mistrial. While there are justifiable reasons for many portions of
this delay, we agree with Peters that it was sufficient to trigger the Barker analysis. We
will address each prong of the Barker test in turn.
The first prong is the reason for the delay. In weighing this factor, we assess
whether the government or the defendant is more to blame. Fisher v. State, 933 N.E.2d
526, 531 (Ind. Ct. App. 2010). Our supreme court has clarified that
12 [a] deliberate attempt to delay the trial in order to hamper the defense should be weighted heavily against the government. A more neutral reason such as negligence or overcrowded courts should be weighted less heavily but nevertheless should be considered since the ultimate responsibility for such circumstances must rest with the government than with the defendant. Finally, a valid reason, such as a missing witness, should serve to justify appropriate delay.
Montgomery, 901 N.E.2d at 520.
Here, the time after Peters’ first two mistrials was not substantial—seven weeks
after the first mistrial and three and a half months after the second. After the third
mistrial, the delay was more significant—twenty months, as stated previously. However,
we conclude that there was a substantial justification for this delay and that any
negligence on the part of the State was minimal. Judge Cloud explained during the June
23, 2011 hearing on Peters’ motion to dismiss that the delay in his appointment was due
to his concerns that he did not have jurisdiction to hear the case until Judge Howell issued
the order of appointment pursuant to the supreme court’s order. When Judge Howell
failed to follow through on the matter in a timely manner, Judge Cloud contacted him and
resolved the issue. Thus, we conclude that Judge Cloud acted diligently to assume his
role as trial court judge and the delay was due to a valid reason, akin to a missing witness.
See Montgomery, 901 N.E.2d at 520. Also, with respect to the eight-month delay
between Judge Cloud’s assumption of the case and Peters’ scheduled retrial, Judge Cloud
noted that the parties had told the trial court that it would take two weeks to try the case,
and the eight-month delay was due to the difficulty of finding room for a two-week trial.
13 Next, we look to whether and how Peters asserted his right to a speedy trial. We
have previously noted that a defendant’s failure to promptly assert a speedy trial right
may show that a defendant does not desire to have a speedy trial or is seeking a strategic
advantage. Davis v. State, 819 N.E.2d 91, 97 (Ind. Ct. App. 2004), trans. denied. The
parties dispute the date that Peters first raised the issue of his right to a speedy trial
following his mistrial. Peters claims that he asserted it during the November 29, 2010
pre-trial conference, but he has not provided a transcript of that conference on appeal.
Alternatively, he argues that he raised the issue in his renewed motion to dismiss on
December 13, 2010, but the State counters that he only mentioned his claims under Crim.
R. 4(C) in this motion. According to the State, Peters first raised the issue in the trial
court’s June 23, 2011 hearing on his motion to dismiss. Regardless of the exact date that
Peters raised the issue, we note that there was a significant delay between his third
mistrial and his mention of his right to a speedy trial because at a minimum, over a year
had passed. Further, we find it significant that during this time period, Peters moved for
a continuance because he wanted more time to prepare for trial. In light of these factors,
we conclude that Peters’ assertion of his constitutional rights does not weigh strongly in
his favor.
Finally, we will examine whether Peters suffered prejudice due to the delay of his
trial. Preliminarily, we note that Indiana courts have placed the burden of demonstrating
actual prejudice on the defendant in questions of speedy trial deprivations. Fisher, 933
N.E.2d at 532. We have held that prejudice should be assessed in light of the interests of
14 defendants that the speedy trial right was designed to protect. Lahr, 615 N.E.2d at 153.
The supreme court has identified three such interests: (1) to prevent oppressive pretrial
incarceration; (2) to minimize anxiety and concern of the accused; and (3) to limit the
possibility that the defense will be impaired. Id. Of these, the most serious is the last,
because the inability of a defendant to adequately prepare his case skews the fairness of
the entire system. Id. “If witnesses die or disappear during a delay, the prejudice is
obvious. There is also prejudice if defense witnesses are unable to recall accurately
events of the distant past. Loss of memory, however, is not always reflected in the record
because what has been forgotten can rarely be shown.” Id.
Peters suggests that although he “has not permanently lost any defense witnesses
over the course of five years since the date the [I]nformation was first filed, many
witnesses may have relocated making it more difficult to corroborate their former
testimony and others may be unable to recall events in detail due to the passage of time.”
(Appellant’s Br. p. 12). He also argues that he has suffered significant prejudice outside
of the courtroom because “[h]e has been stigmatized in the community and unable to hold
steady employment since the allegations were first made in 2006. He has subsequently
been forced to live with relatives as the financial burdens of criminal litigation have taken
their toll.” (Appellant’s Br. p. 13).
With regard to Peters’ first assertion, we note that Peters’ reasoning is speculative
at best. Peters cannot say that any of his witnesses have relocated, and he admits that he
has not permanently lost any of his witnesses. Likewise, Peters has not provided us with
15 any evidence that the pending charges against him have prevented him from holding
employment. We do recognize that it is possible Peters’ charges have made it difficult
for him to find employment, but we will not grant that factor significant weight absent
evidence of actual prejudice. Instead, we find that the prejudice against Peters is
minimal. Because Peters posted bond on September 13, 2006, he has been free from
incarceration during the pendency of this case.
Balancing the four Barker factors, we conclude that the trial court did not violate
Peters’ constitutional right to a speedy trial. The reasons for the delay were justifiable
and Peters did not insist on his right to a speedy trial at the first available opportunity.
Instead, he moved for a continuance. Finally, the prejudice Peters has suffered is
minimal as he has been free from incarceration since 2006 and has not permanently lost
any witnesses. Thus, although some of the Barker factors weigh in his favor, their weight
is not enough to approach a deprivation of Peters’ constitutional rights. Accordingly, we
conclude that the trial court did not abuse its discretion when it denied Peters’ motion to
dismiss.
CONCLUSION
Based on the foregoing, we conclude that the trial court did not abuse its discretion
when it denied Peters’ motion to dismiss in which he alleged that the State had failed to
bring him to trial in a timely manner
Affirmed.
NAJAM, J. and DARDEN, S. J. concur