IN THE COURT OF CRIMINAL APPEALS OF TENNESSEE
AT KNOXVILLE FILED JANUARY 1999 SESSION May 20, 1999
Cecil Crowson, Jr. Appe llate Court C lerk STATE OF TENNESSEE, * C.C.A. NO. 03-C-01-9801-CC-00034
APPELLANT, * SULLIVAN COUNTY
VS. * Hon. Phyllis H. Miller, Judge
CHRIS EUGENE ETTERS, * (Pretrial Diversion)
APPELLEE. *
For Appellant: For Appellee:
John Knox Walkup David Overbay Attorney General and Reporter 1740 Euclid Avenue 450 James Robertson Parkway Bristol, VA 24203 Nashville, TN 37243-0493 Vincent Sikora Albert L. Partee, III P.O. Box 821 Senior Counsel Piney Flats, TN 37686 Enforcement Division 425 Fifth Avenue North, 2nd Floor Nashville, TN 37243-0494
Lewis Combs, Jr. Assistant District Attorney General Blountville, TN 37617
OPINION FILED: ____________________
AFFIRMED
NORMA MCGEE OGLE, JUDGE OPINION
The defendant, Chris Eugene Etters, w indicted on February 12, 1997, on one as
count of vandalism in the amount of $10,000 or more and on one count of violating the Tennessee
Water Quality Act. The defendant applied for pretrial diversion. On June 2, 1997, the District Attorney
General denied the request. On January 7, 1998, the Criminal Court of Sullivan County overruled the
District Attorney General and granted the defendant pretrial diversion. Accordingly, on February 10,
1998, the District Attorney General entered into a memorandumof understanding with the defendant,
setting forth the conditions of the defendant’s pretrial diversion. The State additionally applied for
permission to appeal the interlocutory order of the trial court pursuant to Tenn. R. App. P. 9, which
application was granted by the trial court and by this court. In this appeal, the State asserts that the
trial court incorrectly overruled the District Attorney General's denial of pretrial diversion.
Following a review of the record and the parties’ briefs, we affirm the judgm of the ent
trial court.
I. Factual Background
In 1993, the defendant, Chris Eugene Etters, leased a tract of land on Riverport Road
in Kingsport, Tennessee, and began operating AZROK Corporation (AZROK). AZROK processed and
distributed hardw bark generated by the local M Paper facility. Previously, Mead Paper had ood ead
been disposing of approximately 75,000 tons of hardw bark per year in landfills. Seizing an ood
opportunity to turn what had been M Paper's waste into a viable commercial product, AZROK ead
began processing the leftover bark into compost landscape mulch for resale. As a result, the two
companies won the 1993-94 Tennessee Association of Business Excellence in Sold Waste
Managem Award for their joint effort to conserve landfill space and find a beneficial use for the bark ent
material. At this time, the defendant’s business was thriving, but trouble was looming on the horizon.
Problems began for AZROK in August, 1993 when the defendant was informed by the
2 Tennessee Departm of Environment and Conservation (TDEC Division of Solid Waste ent ),
Managem (DSW that he was engaged in the unauthorized processing of solid waste in violation ent M),
of the Solid Waste Disposal Act. FromAugust, 1993 to August, 1995 the defendant met with various
agents of DSW on numerous occasions and initiated efforts to com with their requirements. M ply
However, he was unable to fully execute the required measures due to the size and unfortunate
location of his business.
AZRO was located on a tract of land adjacent to a public road and the Holston Arm K y
Ammunition Plant (HAAP) property and near a sluice of the Holston river. Furtherm unknown to ore,
the defendant at the time he leased the lot, the AZROK business was on or adjacent to a former city
dump site.
When AZR m OK ulched its bark and placed the mulch in piles for the purpose of aging,
the piles of mulch would occasionally spontaneously combust. W AZROK employees sprayed the hen
mulch with water in an attem to control the fires or w it rained, tannins would leach from the pt hen
mulch, and another chemical (TEC would leach fromthe city's old dum site. The defendant built ) p
retaining ponds and excavated a ditch in order to control the leachate, but he could not control the flow
of leachate off-site. Personnel from the TD Division of W Pollution Control inspected the site EC ater
and witnessed leachate flowing across Riverport Road and draining into the nearby sluice of the
Holston River.
Mead Paper conducted tests of the mulch product and concluded that the mulch was
not hazardous to the public using the product or to AZROK employees. Additionally, the Tennessee
Departm of Health, Epidem ent iology Division, concluded that the contaminants in the mulch were not a
hazard to the public and that the contaminants in the leachate were not highly concentrated enough to
warrant public concern. However, the State alleged that between 1994 and 1995, the defendant failed
to contain the leachate, failed to control the outbreaks of fires on the site, failed to comply with the
3 Permit-by-R requirements of a solid waste processing facility, failed to file adequate financial ule
assurance w the C ith ommissioner of TDEC, and failed to pay the annual maintenance fee required of
persons operating an approved solid waste processing facility.
Therefore, on August 4, 1995, the Commissioner of TD ordered the defendant to EC
immediately cease accepting waste at his facility and ordered him to close the facility. Closing the
facility entailed the removal of all solid waste and solid waste constituents within thirty days. In
addition, the Commissioner ordered the defendant to pay restitution in the amount of $76,433.27.
The defendant ceased operation of AZR but he did not remove the bark materials OK,
from the site. As a result of the defendant’s efforts to com with the TDEC requirem ply ’s ents, his
business had becom insolvent. Moreover, the defendant and M Paper disagreed over who was e ead
responsible for the cleanup of the site. Meanwhile, the leachate continued to flow off-site.
Over a period of time, the AZROK operation caused $4,000 damage to a fence on the
Army’s adjacent property. Moreover, the leachate allegedly contaminated soil on the Army’s property,
requiring the removal of the soil. The Army sought restitution from the defendant for these expenses.
Mr. Jerry Fulkerson and Mr. Walter Nat Smith, agents of TDEC were responsible for ,
inspecting the AZR site at various tim In affidavits, both M Smith and Mr. Fulkerson alleged OK es. r.
that the defendant had threatened themwhile they were visiting the AZROK site.
However, Mr. Fulkerson submitted two inconsistent versions of the incident in which
he was threatened by the defendant. During an interview with the probation officer who prepared the
pretrial diversion report, Mr. Fulkerson stated that “...during the investigation the defendant threatened
him and ‘pulled a gun’ on him as well as other members of the Tennessee Department of Energy and
Conservation.” In contrast, in his affidavit, Mr. Fulkerson did not allege that the defendant had ever
4 “pulled a gun” on him. Rather, he stated that he had once seen a gun in the defendant’s truck. Mr.
Fulkerson attested that, on that occasion, the defendant did not threaten any TDECagents. The only
threat by the defendant described in M Fulkerson’s affidavit occurred during a telephone r.
conversation.
Mr. Smith stated in his affidavit that, on one occasion when he was inspecting the
AZRO site and discussing compliance measures with the defendant, the defendant expressed K
disagreement with the on-going enforcement action and stated that he had something that would take
care of the problem. The defendant then placed his right hand on the sm of his back. Mr. Smith all
inferred that the defendant had a weapon concealed on his person.
As stated above, the defendant was indicted on one count of vandalism and on one
count of violating the Tennessee W Quality Act. According to the pretrial diversion report, the ater
defendant was forty-four years old, married, and the father of four children. His family was supportive.
Despite poor grades, the defendant had graduated fromhigh school in 1973 and had since developed
a good work history. His criminal history consisted of three speeding tickets. He had no history of
alcohol or drug abuse as an adult. As a juvenile, the defendant drank alcohol for a short period of time
and experimented with marijuana twice on one day when he was approximately seventeen years old.
The defendant was apologetic and remorseful for any harm he may have caused to
others as a result of his business. He maintained that Mead Paper w responsible for rem as oving the
waste material following the closing of the AZROK facility. Therefore, he contended that any damages
caused by the leftover bark materials and the leachate were not attributable to him. Further, he
asserted that, due to his business’ insolvency, he was unable to pay for the damages. A num of ber
friends and family members wrote letters vouching for the defendant’s good character and concern for
the environment.
5 In a letter denying the defendant’s request for pretrial diversion, the District Attorney
General stated that he had considered “the pretrial diversion report, a clean-up estimate by Holston
Defense, Affidavits from Mr. Nat Smith and Mr. Jerry Fulkerson, letters sent on behalf of Mr. Etters,
and other information from the file.” The District Attorney General then listed the following grounds
upon which his denial rested:
(1) The defendant was ordered by the Commissioner of the Departm of Environment to cease business at his location by order ent dated August 4, 1995. The offenses listed in the Presentment occurred, at least partially, after the Commissioner’s Order. The allegation of water pollution was listed as occurring over eight months after the Order was entered. The Order also states a history of substantial non-compliance with state regulations during the course of the defendant’s mulching operation.
(2) Mr. Walter Nat Smith and Mr. Jerry Fulkerson both filed affidavits stating that the defendant threatened them during their work at the defendant’s work site. In both instances, a handgun was the perceived weapon in connection with the threats. The threats occurred over a period of tim and was obviously in response to their e investigation of the defendant’s facility.
(3) The Presentment alleges criminal activity which occurred over an extended period of time and which caused extraordinary dam ages to the victim’s property.
(4) The defendant does not have a criminal history, but does admit to using an illegal drug on at least two occasions.
(5) The educational history in the pretrial diversion report shows a poor academic record. However, it was noted that the defendant did graduate high school.
The Criminal Court of Sullivan County overruled the District Attorney General and
granted the defendant pretrial diversion. The trial court held that the District Attorney General had
abused his discretion. Specifically, the trial court held that the District Attorney General had failed to
enumerate or assign due significance to all relevant factors and that, in any case, there was no
substantial evidence in the record to support the prosecutor’s denial of pretrial diversion. The trial
court ordered that the State enter into a M orandumof U em nderstanding with the defendant, granting
pretrial diversion for a period of two years. In addition the trial court ordered:
6 1. The defendant shall pay restitution to HAAP in the amount of $4,000 to rebuild the fence damaged by the AZROK operation.
2. The defendant shall pay TDEC$4,949.55 in past due maintenance fees, interest, and penalties.
3. The defendant m perform three hundred hours of community ust service.
4. The defendant must pay a monthly supervision fee of $30 and court costs.
II. Analysis
A. Pretrial Diversion Generally
The Pretrial Diversion Act provides a means of avoiding the consequences of a public
prosecution for those who have potential for rehabilitation. See Tenn. Code Ann. § 40-15-105 (1997
and Supp. 1998). The pretrial diversion program allows a district attorney general to suspend
prosecution against a qualified defendant for a period of up to two years. Id. Whether to grant or deny
an application for pretrial diversion is in the discretion of the district attorney general. Id.; State v.
Pinkham, 955 S.W.2d 956, 959 (Tenn. 1997); State v. Hammersley, 650 S.W.2d 352, 353 (Tenn.
1983); State v. Carr, 861 S.W.2d 850, 855 (Tenn. Crim. App. 1993); State v. Freeman, No. 03C01-
9712-CC-00523, 1999 W 96272, at *2 (Tenn. Crim App. at Knoxville, February 22, 1999). L .
In making the initial determination of whether diverson is warranted, the district
attorney general must consider (1) the circumstances of the offense; (2) the defendant’s criminal
record; (3) the defendant’s social history; (4) the defendant’s physical and mental condition; (5) the
deterrent effect of punishm upon other criminal activity; (6) the defendant’s am ent enability to
correction; (7) the likelihood that pretrial diversion will “serve the ends of justice” and the best interests
of the defendant and the public; and (8) the defendant’s “attitude, behavior since arrest, prior record,
home environment, current drug usage, emotional stability, past employm general reputation, ent,
marital stability, fam responsibility, and attitude of law enforcem ily ent.” State v. Washington, 866
S.W.2d 950, 951 (Tenn. 1993) (citing State v. Markham, 755 S.W.2d 850, 852-53 (Tenn. Crim. App.
7 1988)).
The nature and circumstances of the alleged offenses are not the only appropriate
factors to be considered upon application for diversion but m alone provide a sufficient basis for ay
denial. Carr, 861 S.W.2d at 855; State v. Sutton, 668 S.W.2d 678, 680 (Tenn. Crim. App. 1984); State
v. Cavnor, No. 02C01-9704-CR-00155, 1998 WL 148320, at *3 (Tenn. Crim. App. at Jackson, March
31, 1998), perm to appeal denied, (Tenn. 1999). However, the circumstances of the case and a
generalized need for deterrence “cannot be given controlling weight unless they are ‘of such
overwhelming significance that they [necessarily] outweigh all other factors.’” Washington, 866 S.W.2d
at 951 (emphasis in original) (quoting Markham, 755 S.W.2d at 853). Where there are no “such
exceptional circumstances, ‘the district attorney general must consider evidence which tends to show
that the applicant is amenable to correction by diversion and is not likely to com further criminal mit
acts.’” Id.; see also State v. Winsett, 882 S.W 806, 810 (Tenn. Crim App. 1993). .2d .
When deciding whether to enter into a m orandumof understanding under the em
pretrial diversion statute, a prosecutor should focus on the defendant’s amenability to correction. Any
factors which tend to accurately reflect whether a particular defendant will or will not become a repeat
offender should be considered. Such factors must, of course, be clearly articulated and stated in the
record in order that a meaningful appellate review may be had. Pinkham, 955 S.W.2d at 959-960
(quoting Hammersley, 650 S.W.2d 355); see also State v. Curry, No. 02S01-9709-CC-00079, 1999 WL
115113 (Tenn. at Dyersburg, March 8, 1999).
Furthermore, if the district attorney general denies pretrial diversion, the denial must
be in writing and must include “an enumeration of the evidence that was considered and a discussion
of the factors considered and weight accorded each.” Pinkham, 955 S.W.2d at 960. This “requirement
entails more than an abstract statem in the record that the district attorney general has considered ent
these factors.” State v. Herron, 767 S.W 151, 156 (Tenn. 1989). Instead, the factors considered .2d
8 “must be clearly articulable and stated in the record... .” Id. The fact that a defendant bears the
burden of demonstrating suitability for diversion does not relieve the prosecutor’s obligation to examine
all of the relevant factors and set forth the required findings. Pinkham, 955 S.W.2d at 960; see also
Curry, No. 02S01-9709-CC-00079, 1999 WL 115113, at *3.
If the application for pretrial diversion is denied, the defendant may appeal by
petitioning the trial court for a writ of certiorari. Tenn. Code Ann. § 40-15-105(b)(3) (1997 and Supp.
1998). On a petition for certiorari, the hearing conducted by the trial judge is limited to two issues: (1)
whether the accused is eligible for diversion; and (2) whether the district attorney general abused his
discretion in refusing to divert the accused. State v. Watkins, 607 S.W.2d 486, 488-89 (Tenn. Crim.
App. 1980); State v. Cavnor, No. 02C01-9704-CR-00155, 1998 W 148320, at *3. Moreover, the only L
evidence that may be considered by the trial court is the evidence that was considered by the district
attorney general. Winsett, 882 S.W.2d at 810. The trial court may conduct a hearing only to resolve
any factual disputes raised by the prosecutor or the defendant concerning the application, but not to
hear additional evidence that was not considered by the prosecutor. See Pinkham, 955 S.W.2d at
960.
In State v. Curry, our supreme court announced the standard of review that an
appellate court m apply in pretrial diversion cases: ust
The action of the prosecutor is presumptively correct, and is subject to review by the trial court only for an abuse of discretion. The record in this regard m show an absence of any substantial evidence to ust support the refusal of the district attorney general to enter into a mem orandumof understanding before a reviewing court can find an abuse of discretion. The appellate court must determine whether the trial court’s decision is supported by a preponderance of the evidence.
No. 02S01-9709-CC-00079, 1999 W 115113, at *4 (em L phasis added); see also Pinkham, 955 S.W.2d
at 960.
9 B. Application of the Law
On appeal, the State argues that the trial court erred by overruling the District Attorney
General’s denial of pretrial diversion.1 The State contends that the trial court erred by tacitly re-
weighing the relevant factors and deciding that the defendant was amenable to correction.
Initially, we concur in the trial court’s finding that the District Attorney General failed to
enumerate or assign weight to all of the factors relevant in pretrial diversion cases. Although the
District Attorney General stated in his denial letter that he considered the pretrial diversion report and
the letters sent on behalf of the defendant, the prosecutor did not discuss the defendant’s favorable
social history, lack of criminal record, and potential for rehabilitation. The failure of the District Attorney
General to consider and articulate all of the relevant factors constituted an abuse of discretion. See
Curry, No. 02S01-9709-CC-00079, 1999 W 115113, at *6. L
Moreover, a preponderance of the evidence supports the trial court’s determination
that the circumstances of the case were not “‘of such overwhelming significance that they [necessarily]
outweigh[ed] all other factors.’” Washington, 866 S.W.2d at 951 (citation omitted). The District
Attorney General denied pretrial diversion on five grounds. On appeal, the State contends that three
of the five grounds were each a sufficient and independent ground to deny diversion:
(1) The defendant was ordered by the Commissioner of the Departm of Environment to cease business at his location by order ent dated August 4, 1995. The offenses listed in the Presentment occurred, at least partially, after the Commissioner’s Order. The allegation of water pollution was listed as occurring over eight months after the Order was entered. The Order also states a history of substantial non-compliance with state regulations during the course of the defendant’s mulching operation.
(2) Mr. Walter Nat Smith and Mr. Jerry Fulkerson both filed affidavits stating that the defendant threatened them during their work at the defendant’s work site. In both instances, a handgun was the perceived weapon in connection with the threats. The threats
1 The defendant proceeded pro se on appeal with only the advice of attorneys Vince Sikora and David Overbay. The case was submitted for a decision on the record and the appellant’s brief, with oral argument.
10 occurred over a period of tim and was obviously in response to their e investigation of the defendant’s facility.
(3) The Presentment alleges criminal activity which occurred over an extended period of time and which caused extraordinary dam ages to the victim’s property.
With respect to the first ground, the State cites four separate instances of discharge of
pollutants by AZROK after the State had warned the defendant and prescribed curative measures.
The Commissioner of TD described these instances in his August 4, 1995, order closing the EC
AZROK facility. The State asserts that these episodes demonstrate the defendant’s willful violation of
state laws and regulations. Moreover, the State argues that a grand jury subsequently found that the
defendant wilfully and knowingly polluted the Holsten River on April 21, 1996. According to the State,
the prosecutor was entitled to rely upon the Commissioner’s order and the finding of the grand jury in
denying the defendant pretrial diversion.
The trial court found no substantial evidence to suggest that the defendant willfully
ignored the TDEC requirem ’s ents. The court observed that the record is replete with the defendant’s
efforts to comply with the requirements, including spraying mulch piles to control fires, building ditches
and ponds to catch runoff, and testing the toxicity of the mulch and leachate. In conclusion, the trial
court stated, “The Court does not accept the premise that because the defendant’s efforts were
unsuccessful, he willfully failed to comply with TDEC rules and regulations.” ’s
Furthermore, the trial court concluded that it could find no evidence that the defendant
continued his mulching business after August 4, 1995. The trial court noted that the record was devoid
of any officer’s report or other docum indicating that the pollution of the river which is alleged to ent
have occurred on April 21, 1996, was caused by anything other than leftover bark materials and
leachate fromthe city dump site.
11 As to the second ground for denial of pretrial diversion, the State argues that the
threats m by the defendant were significant enough to w ade arrant the prosecutor’s denial of pretrial
diversion. The State contends that these threats were clearly designed to chill the regulatory zeal of
Mr. Fulkerson and M Smith by placing them in fear of bodily harm should they continue their r.
enforcem efforts. ent
The trial court found no substantial evidence to support the State’s belief that the
defendant threatened TD em EC ployees with a handgun. As explained earlier, Mr. Fulkerson’s affidavit
differs materially froman interview he gave to the probation officer who prepared the pretrial diversion
report. In his affidavit, Mr. Fulkerson related only one actual threat by the defendant which occurred
during a telephone conversation. Additionally, Mr. Smith did not relate any explicit threat by the
defendant, nor did he ever witness the defendant in possession of a handgun.
As to the third ground that the defendant’s vandalism occurred over an extended
period of tim the State argues that the defendant’s vandalism continued even after the August 4, e,
1995, administrative order closing the AZROK facility. With respect to the amount of damage to the
Army’s property, the State concedes that the damage estimates contained in the record reflect a
discrepancy.
The trial court found that any damage caused by the defendant’s operation of his
business occurred between April 20, 1995, and the closing of the AZROK facility on August 4, 1995.
The trial court reasoned that from August 4, 1995, to October 31, 1996, any dam was attributable age
to runoff fromthe materials remaining on the property and leachate fromthe city dump site. The trial
court concluded, “There is no evidence that the defendant actively caused any dam during this age
period but that, instead, he was embroiled in a dispute with M Corporation over cleanup of the site; ead
and his company was insolvent.”
12 As to the extent of damage to the Arm property, the trial court noted that the record y’s
reveals a preliminary assessment of damages on July 22, 1996, of only $24,000. Yet, on May 27,
1997, with no explanation or itemization of damages, the dam assessment rose to “2.1M age .”
Moreover, the trial court reasoned that the legislature has provided that a person who commits a Class
C felony is eligible for pretrial diversion; therefore, the District Attorney erred in relying upon the fact
that the damages exceeded $ 10,000.
We conclude that the record contains am evidence to support the trial court’s ple
decision to overrule the District Attorney General’s denial of pretrial diversion. Accordingly, the
judgment of the trial court is affirmed.
__________________________________ Norma McGee Ogle, Judge
CONCUR:
______________________________ James Curwood Witt, Jr., Judge
_______________________________ John K. Byers, Senior Judge