FOR PUBLICATION
ATTORNEY FOR APPELLANT: ATTORNEYS FOR APPELLEE:
JOSEPH M. CLEARY STEVE CARTER
Hammerle & Allen Attorney General of Indiana
Indianapolis, Indiana
CHRISTOPHER C.T. STEPHEN
Deputy Attorney General
Indianapolis, Indiana
MICHAEL HENDRICKS, )
)
Appellant-Defendant, )
)
vs. ) No. 49A04-0307-PC-344
)
STATE OF INDIANA, )
)
Appellee. )
OPINION - FOR PUBLICATION
Following his direct appeal, Hendricks filed a petition for post-conviction relief claiming that
he was denied the effective assistance of appellate counsel, along with several other
claims. His petition for post-conviction relief was denied on May 20, 2003.
Post-conviction proceedings do not afford a petitioner with an opportunity for a super-appeal.
Ben-Yisrayl v. State, 738 N.E.2d 253, 258 (Ind. 2000), cert. denied 534
U.S. 1164 (2002). Post-conviction proceedings provide an opportunity to raise issues which
were not known to the petitioner at the time of the original trial
or were not available upon direct appeal. Id. The petitioner must
establish his grounds for relief by a preponderance of the evidence. Ind.
Post-Conviction Rule 1(5). In appealing from the denial of post-conviction relief, the
petitioner bears the burden to show that the evidence is without conflict and
leads to a conclusion opposite that reached by the post-conviction court. Hackett
v. State, 661 N.E.2d 1231, 1233 (Ind. Ct. App. 1996), trans denied.
The standard of review for a claim of ineffective assistance of appellate counsel
is essentially the same as for trial counsel in that the defendant must
show appellate counsel was deficient in his performance and the deficiency resulted in
prejudice. Hooker v. State, 799 N.E.2d 561, 570 (Ind. Ct. App. 2003).
To satisfy the first prong, the petitioner must show that counsels performance
was deficient in that representation fell below an objective standard of reasonableness, committing
errors so serious that petitioner did not have the counsel guaranteed by the
Sixth Amendment. McCary v. State, 761 N.E.2d 389, 392 (Ind. 2002), rehg
denied. To show prejudice, the petitioner must present a reasonable probability that
but for counsels errors the result of the proceeding would have been different.
Id. However, because the two components are separate and independent inquiries,
[i]f it is easier to dispose of an ineffectiveness claim on the ground
of lack of sufficient prejudice . . . that course should be followed.
Landis v. State, 749 N.E.2d 1130, 1134 (Ind. 2001) (quoting Strickland v.
Washington, 466 U.S. 668, 697 (1984)).
Ineffective assistance of appellate counsel claims generally fall into three basic categories: (1)
denial of access to an appeal, (2) waiver of issues, and (3) failure
to present issues well. Hooker, 799 N.E.2d at 570. The waiver
of issues and failure to present issues well form the bases of Hendricks
arguments.
To show that counsel was ineffective for failing to raise an issue upon
appeal, the defendant must overcome the strongest presumption of adequate assistance. Id.
To evaluate the performance prong when counsel waived issues upon appeal, we apply
the following test: (1) whether the unraised issues are significant and obvious from
the record, and (2) whether the unraised issues are clearly stronger than the
raised issues. Id. at 571. If that analysis demonstrates deficient performance
by counsel, the court then examines whether the issues which appellate counsel failed
to raise would have been more likely to result in reversal or an
order for a new trial. Id.
The first issue upon which Hendricks relies is the failure of his appellate
counsel to challenge the trial courts decision to allow the testimony of three
witnesses relaying statements made by H. which indicated that Hendricks had molested her
and the admission of a taped interview with H. by a police officer.
Hendricks asserts that the information was inadmissible hearsay and that its admission
violated the Confrontation Clause of the federal Constitution.
Indiana Code § 35-37-4-6 (Burns Code Ed. Repl. 1998) authorizes the admission of
a statement or a videotape of a child of less than fourteen years
of age in certain criminal actions, including those involving sex crimes. Subsection
(c) provides that:
A statement or videotape that:
(1) Is made by a person who at the time of trial is
a protected person;
(2) Concerns an act that is a material element of an offense listed
in subsection (a) that was allegedly committed against the person; and
(3) Is not otherwise admissible in evidence;
is admissible in evidence in a criminal action for an offense listed in
subsection (a) if the requirements of subsection (d) are met.
The requirement of subsection (d), as applicable here, was met in that the
trial court concluded that H. was incapable of understanding the nature and obligation
of an oath. However, in order for the statement or videotape to
be admissible, I.C. § 35-37-4-6(e) requires that the protected person be available for
cross-examination at the hearing in which the trial court determined that the time,
content, and circumstances of the statement or videotape provide sufficient indications of reliability
or when the statement or videotape was made. Hendricks asserts that H.
was not available for cross-examination because she basically refused to answer any questions
of the prosecutor or of Hendricks counsel.
We do not subscribe to Hendricks view that H. was unavailable for cross-examination
due to her failure to answer some of the questions posed to her
about the incident. While it is true that the parties did not
elicit information from her concerning the identity of the individual who molested her,
this failure was based in large part upon the fact that questioning did
not proceed down that route. Rather, Hendricks trial counsel abandoned questioning H.
because of the assumption that H. would be unresponsive to the questions.
Nonetheless, the record reveals that H. was able to respond to some questions
posed by counsel. Given that H. was two years old at the
time of the questioning, it does not surprise this court that H. would
not offer narrative responses to questions posed to her. Thus, we cannot
conclude that H. was unavailable for cross-examination as contemplated by I.C. § 35-37-4-6(e).
Be that as it may, we cannot but be concerned about the effectiveness
of any cross-examination of H., or of any small child, and whether such
cross-examination is truly meaningful. When a childs answers waver or the child
is non-committal in her responses, is the cross-examination truly meaningful or is it
merely a formalistic compliance with a requirement that there be an opportunity for
cross-examination? See Williams v. State, 698 N.E.2d 848 (Ind. Ct. App. 1998)
(Sullivan, J., dissenting) (stating that the fact that the child testified at a
first trial and was subject to cross-examination did not satisfy the opportunity for
meaningful cross-examination because at that time the child alternated between denying making any
statements incriminating his father and not recalling making such statements), trans. denied.
Nonetheless, given the posture of the case before us, this concern does not
warrant reversal.
We are also not convinced that the trial courts finding that the time,
content, and circumstances of the statements and videotape provided significant indications of reliability
was incorrect such that we may conclude that it presented a significant and
obvious issue which was stronger than the other issues presented upon appeal.
See footnote
Clearly, there are concerns presented because these statements were made by a two-year-old
child who did not cooperate during questioning by police or at the time
of the hearing to determine whether the statements and videotape would be admissible.
Nevertheless, the evidence did reveal that the statements and videotape were made
in such a manner that they appeared to be reliable indicators of Hendricks
guilt. There was no evidence of coaching or that any witness who
testified about one of the statements or the videotape coaxed or led H.
into naming Hendricks as her assailant. Based upon these considerations required by
I.C. § 35-37-4-6, we cannot conclude that appellate counsel was ineffective for not
challenging the ruling that the evidence was admissible under this statutory exception to
the hearsay rule.
See Arndt v. State, 642 N.E.2d 224, 227 (Ind.
1994) (stating that, in essence, I.C. § 35-37-4-6 recognizes an exception to the
hearsay rule).
We now turn to Hendricks claim that the statement violated the Confrontation Clause
of the federal Constitution.See footnote In Idaho v. Wright, 497 U.S. 805 (1990),
the United States Supreme Court reviewed whether the out-of-court statements of a child
were admissible as evidence under a residual hearsay exception found in State law.
The Court noted the time-honored principle that the Confrontation Clause does not
necessarily prohibit the admission of hearsay statements against a criminal defendant, even though
the admission of such statements might be thought to violate the literal terms
of the clause. Id. at 813. Rather, the Confrontation Clause bars
the admission of some evidence which would otherwise be admissible under an exception
to the hearsay rule. Id. at 814. The Court then discussed
the approach, as set forth in Ohio v. Roberts, 448 U.S. 56 (1980),
to be used when determining whether incriminating statements admissible under an exception to
the hearsay rule also meet the requirements of the Confrontation Clause. The
Supreme Courts decision stated:
We noted that the Confrontation Clause operates in two separate ways to restrict
the range of admissible hearsay. First, in conformance with the Framers preference
for face-to-face accusation, the Sixth Amendment establishes a rule of necessity. In
the usual case . . ., the prosecution must either produce, or demonstrate
the unavailability of, the declarant whose statement it wishes to use against the
defendant. Second, once a witness is shown to be unavailable, his statement
is admissible only if it bears adequate indicia of reliability. Reliability can
be inferred without more in a case where the evidence falls within a
firmly rooted hearsay exception. In other cases, the evidence must be excluded,
at least absent a showing of particularized guarantees of trustworthiness. Wright, 497
U.S. at 814-15 (quoting Roberts, 448 U.S. at 65-66) (citations omitted).
Hendricks has asserted that admission of hearsay from a child victim is not
based upon a firmly rooted hearsay exception. Thus, he opines that the
only way the statement could have been admitted is if it were supported
by a showing of particularized guarantees of trustworthiness. He concludes that this
showing was not made.
We must conclude that this showing was made in that I.C. § 35-37-4-6
requires the finding that the time, content, and circumstances of the statement or
videotape provide sufficient indications of reliability. There is little fundamental difference in
saying that a statement has particularized guarantees of trustworthiness and that the statement
bears sufficient indications of reliability. As concluded above in discussing whether the
trial court fulfilled the requirements of I.C. § 35-37-4-6, any error in the
trial courts finding that the statements and videotape bore sufficient indications of reliability
so as to be admissible was not so significant and obvious so as
to render the issue clearly stronger than the other issues brought upon appeal.
Consequently, Hendricks appellate counsel was not ineffective for failing to challenge the
admission of the hearsay statements and videotape upon appeal.
It should be noted that the approach espoused in Roberts has been found
to be violative of the requirements of the Confrontation Clause. See Crawford
v. Washington, 124 S.Ct. 1354, 1369 (2004). In Crawford, the majority concluded
that [w]here testimonial statements are at issue, the only indicium of reliability sufficient
to satisfy constitutional demands is the one the Constitution actually prescribes: confrontation.
Id. at 1374. In other words, when the State is offering testimonial
evidence
See footnote against a defendant, the defendant must have had the prior opportunity to
cross-examine the declarant in order for the evidence to be admitted.
Id.
However, when the evidence at issue is nontestimonial hearsay, the States have
flexibility in developing hearsay law and that approach may exempt such statements from
Confrontation Clause scrutiny altogether.
See footnote
Id. However, because we are faced with
the question of whether counsel was ineffective in 1994, the holding in Crawford
does not bear upon our decision.
Hendricks also claims that his appellate counsel was ineffective for failing to challenge
the trial courts decision to instruct the jury that a conviction may rest
upon the uncorroborated testimony of the victim. In so doing, he asserts
two grounds of error. The first is that it has since been
held that it is error to give the instruction and the reasons it
is an erroneous instruction existed at the time of trial. The second
is that H. did not testify at the trial and it was erroneous
to inform the jury that the statements attributed to her could be considered
testimony.
We acknowledge that our Supreme Court has recently held that this instruction is
improper and should not be given. See Ludy v. State, 784 N.E.2d 459
(Ind. 2003). However, the instruction of which Hendricks complains had received considerable
approval from both this court and our Supreme Court. See id. at
462 n.2. Given that the instruction was widely accepted, we hardly consider
the use of it to be a significant and obvious error which was
clearly stronger than the other issues presented upon appeal.
The claim of error resulting from the assertion that H. did not testify
is not so easily dismissed. There can be no dispute that H.
did not testify under oath at the trial. Testimony is defined as
[e]vidence that a competent witness under oath or affirmation gives at trial or
in an affidavit or deposition. Blacks Law Dictionary 1485 (7th ed. 1999).
Thus, in the strictest sense of the word, the hearsay statements would
not be considered testimony because H. did not make them under oath at
trial or in an affidavit or deposition. However, in Crawford, the United
States Supreme Court broadened this definition to include more than just statements which
are sworn. Specifically applicable here is the mandate that statements taken by
police officers in the course of interrogations are testimonial and that the absence
of an oath is not dispositive of the issue. Crawford, 124 S.Ct.
at 1364. But once again, given that the claim before us is
based upon an ineffective assistance of counsel claim which has its roots in
actions which took place ten years before Crawford, our review is not controlled
by the holding in Crawford.
Whether the statements made by H. should be considered testimony is not an
issue which was so significant and obvious that appellate counsel could be held
ineffective for failing to raise it upon appeal. The intent of the
instruction was to inform the jury that the description of the crime and
the identification of the perpetrator by the victim was sufficient evidence to result
in a conviction. As stated above, the use of the instruction to
convey this message was supported by the appellate courts of this State.
It is arguable that the spirit of the instruction was fulfilled in that
competent evidence which originated with the statements of H. was presented to the
jury through the testimony of the witnesses. Given the arguments which could
have been developed in this regard to support the giving of the instruction,
we cannot say that counsel was ineffective for failing to challenge the instruction.
Hendricks also asserts that his appellate counsel was ineffective for failing to challenge
the trial courts decision to replay the videotaped interview of H. for the
jury upon its request. According to Hendricks, the requirement that there be
a disagreement among the jurors about the evidence, as established by Indiana Code
§ 34-1-21-6 (Burns Code Ed. Repl. 1986),
See footnote was not met because the jury
foreperson stated that the need to see the videotape a second time arose
[n]ot so much [from] disagreement as a couple of jurors couldnt hear clearly
what [H.] said. Record at 2137-38. According to the holding of
our Supreme Court in
Bouye v. State, 699 N.E.2d 620 (Ind. 1998), Hendricks
interpretation of the facts as applied to the law would seem to be
correct. Nevertheless, this view of the law was not established by our
Supreme Court until 1998. Prior to that time, there was a split
among the panels of this court as to when I.C. § 34-1-21-6 was
triggered. One line of cases held that the statute did not authorize
the jury to rehear the evidence unless the jurors explicitly manifested a disagreement
about the evidence. See Bouye, 699 N.E.2d at 627. A second
line held that whenever a jury requested that it be given the opportunity
to rehear evidence, the jury was inherently expressing disagreement or confusion about the
evidence, thus triggering the statute. Id. Given the split in precedent
in this court at the time of the trial and appeal, the issue
was not so significant and obvious that appellate counsel will be considered to
have been ineffective for failing to bring the issue upon appeal.
Turning to the assertion that appellate counsel was ineffective for failing to present
issues well, Hendricks claims that his counsel was ineffective for failing to present
a complete record upon appeal. Specifically, he asserts error in his counsels
failure to have the opening and closing arguments of the trial transcribed.
Hendricks opines that had they been transcribed, this court would have concluded that
he was prejudiced by the erroneous flight instruction and would have reversed the
conviction.
Claims of ineffective assistance for inadequate presentation of issues that were not deemed
waived in the direct appeal are the most difficult for defendants to advance
and are almost always unsuccessful. Harrison v. State, 707 N.E.2d 767, 787
(Ind. 1999), cert. denied 529 U.S. 1088 (2000). We are not persuaded
that this is one of those rare cases in which such a claim
is successful. Upon appeal, this court concluded that even though the flight
instruction was erroneous, there was no prejudice to Hendricks substantial rights. This
was due to the various other instructions given which required the jury to
find that the State had proven each element of the crime and that
Hendricks was presumed innocent until proven guilty. Hendricks, slip op. at 8.
Furthermore, this court concluded that each element of the crime of child
molesting was supported by the evidence. Id. at 9. While the
remarks made by the Prosecutor during opening and closing argument may have enhanced
the possibility that Hendricks was prejudiced by the instruction, those remarks do not
establish the prejudice necessary to reverse his conviction in light of the evidence
which supported the elements of the crime, including the fact that Hendricks was
alone with H. during a period of time in which she was injured
and because H. herself identified Hendricks as the perpetrator. See Dill v.
State, 741 N.E.2d 1230, 1233 (Ind. 2001) (holding that error in jury instruction
is harmless where a conviction is clearly sustained by the evidence and will
result in reversal when the reviewing court cannot say with confidence that a
reasonable jury would have rendered a guilty verdict had the instruction not been
given).
The denial of post-conviction relief is affirmed.
ROBB, J., and ROBERTSON, Sr.J., concur.