FOR PUBLICATION
ATTORNEY FOR APPELLANT
: ATTORNEYS FOR APPELLEE:
MERCEDES L. PLUMMER
STEVE CARTER
Brownstown, Indiana Attorney General of Indiana
GARY DAMON SECREST
Deputy Attorney General
Indianapolis, Indiana
IN THE
COURT OF APPEALS OF INDIANA
JAMES DAVID MARSH, )
)
Appellant-Defendant, )
)
vs. ) No.36A04-0403-CR-164
)
STATE OF INDIANA, )
)
Appellee-Plaintiff. )
APPEAL FROM THE JACKSON CIRCUIT COURT
The Honorable William E. Vance, Judge
Cause No. 36C01-0205-FD-141
November 24, 2004
OPINION - FOR PUBLICATION
FRIEDLANDER, Judge
James David Marsh appeals the revocation of his probation, presenting the following restated
issues for review:
1. Did the probation court err at the revocation hearing in admitting an out-of-court
statement made by a minor child?
2. Did Marsh receive ineffective assistance of counsel at the revocation proceeding when counsel
failed to object to the aforementioned hearsay statement?
3. Was the evidence sufficient to support revocation?
We affirm.
The facts favorable to the judgment revoking probation are that on December 20,
2002, the trial court entered judgment of conviction on Marshs plea of guilty
to the offense of battery as a class A misdemeanor. The victim
of the battery was Marshs then four-year-old daughter, S.M. Marsh was given
a one-year sentence, with ten months suspended to probation. On November 25,
2003, the Jackson County Probation Department filed a petition to revoke Marshs probation,
alleging he had struck S.M. in the mouth sometime during the first week
of November 2003. The blow had caused S.M.s lip to swell and
bleed. A revocation hearing was held on February 11, 2004, after which
the court determined that the allegation was true and revoked Marshs probation.
Marsh challenges the probation courts ruling.
We review a decision to revoke probation for an abuse of discretion.
Pugh v. State, 804 N.E.2d 202 (Ind. Ct. App. 2004). An abuse
of discretion occurs if the decision is against the logic and effect of
the facts and circumstances before the court. Id.
1. & 2.
Marsh contends the trial court erred in considering hearsay evidence in revoking his
probation, thereby challenging a portion of the testimony of Robin Bolte, a case
manager for the Jackson County Division of Family and Children. Specifically, Bolte
testified that Child Protective Services in North Vernon, Indiana notified her that S.M.
had told someone at school that her daddy had got mad at her
and hit her in the mouth and bloodied her lip. Transcript at
13. Marsh contends Boltes testimony constitutes inadmissible hearsay.
We note Marsh failed to object to the testimony in question. Generally,
the failure to object, and thereby properly preserve an issue for appeal, results
in waiver. Brabandt v. State, 797 N.E.2d 855 (Ind. Ct. App. 2003).
Therefore, the issue is waived. Marsh seeks reversal upon the hearsay
issue through another avenue a claim of ineffective assistance of counsel.
He claims counsel was ineffective for failing to object to Boltes testimony on
hearsay grounds.
To succeed on a claim of ineffective assistance of counsel, a defendant must
prove by a preponderance of the evidence that counsels representation fell below an
objective standard of reasonableness, and that counsels errors were so serious as to
deprive the defendant of a fair trial because of a reasonable probability that,
but for counsels unprofessional errors, the result would have been different. Strickland
v. Washington, 466 U.S. 668 (1984); Stevens v. State, 770 N.E.2d 739 (Ind.
2002), cert. denied, 124 S.Ct. 69 (2003). A reasonable probability in this
context is a probability sufficient to undermine our confidence in the outcome.
Stevens v. State, 770 N.E.2d 739.
In order to establish that trial counsels failure to object to Boltes testimony
constituted ineffective assistance, Marsh must first prove that a proper objection would have
been sustained. Dawson v. State, 810 N.E.2d 1165 (Ind. Ct. App. 2004),
trans. denied. A probation revocation hearing is not the equivalent of an
adversarial criminal proceeding. Black v. State, 794 N.E.2d 561 (Ind. Ct. App.
2003). Instead, a revocation hearing is a narrow inquiry, and its procedures
are more flexible than those of a criminal proceeding. Id. at 564.
In Isaac v. State, 605 N.E.2d 144 (Ind. 1992), cert. denied, 508 U.S.
922 (1998), our supreme court held that a defendant at a probation revocation
hearing does not have all the same rights he or she possessed prior
to his conviction. The court determined that, among other things, formal evidentiary
rules are not observed at probation revocation hearings. Id. That ruling
was later codified in Ind. Evidence Rule 101(c), which states, in pertinent part:
[t]he rules, other than those with respect to privileges, do not apply in
... [p]roceedings relating to ... sentencing, probation, or parole. The court later
expanded on that principle as it relates to hearsay rules, as reflected in
the following: In particular, we hold that the evidence rules implicated in
this case--the rule against hearsay and the definitions and exceptions with respect thereto--do
not apply in proceedings relating to sentencing, probation, or parole. Cox v.
State, 706 N.E.2d 547, 550 (Ind. 1999). The court held that in
probation revocation hearings, judges may consider any relevant evidence bearing some substantial indicia
of reliability. This includes reliable hearsay. Id. at 551 (footnote omitted).
The absence of strict evidentiary rules in this context places particular importance
on the fact-finding role of judges in assessing the weight, sufficiency, and reliability
of proffered evidence. This assessment
carries with it a special level
of judicial responsibility and is subject to appellate review. Nevertheless, it is
not subject to the Rules of Evidence (nor to the common law rules
of evidence in effect prior to the Rules of Evidence). Id.
Consistent with the foregoing principles, our task here is not to consider the
hearsay statement pursuant to traditional rules of evidence, but instead to determine whether
it was reliable enough to have been admitted over objection. Id.
The record in this case indicates that S.M. told someone at her school
that her father struck her in the mouth, causing injury. Someone from
the school contacted the county Child Protective Services office and reported the incident.
That officer in turn contacted Boltes office when it discovered that S.M.
was a ward of the Jackson County Division of Family and Children.
In the course of her investigation of the incident, Bolte spoke with Marsh.
She also met with S.M. and was able to view her mouth.
Although it had been several days since S.M. had made the statement
about her father striking her in the mouth, the wounds were still visible.
In view of these circumstances, we are satisfied that, consistent with the
special level of responsibility, see Cox v. State, 706 N.E.2d at 551, placed
upon it in evaluating hearsay evidence in a revocation proceeding, the revocation court
could have overruled an objection to the testimony in question. Because Marsh
cannot demonstrate that a timely objection would have been sustained, his claim of
ineffective assistance of counsel premised upon the failure to interpose such an objection
must fail. See Dawson v. State, 810 N.E.2d 1165.
Notwithstanding that the disputed hearsay evidence was admissible under Isaac, Marsh contends admission
of the evidence violated the Confrontation Clause of the United States Constitution, pursuant
to a recent decision by the Supreme Court. In Crawford v. Washington,
124 S.Ct. 1354 (2004), the Court undertook a detailed examination of the historical
roots and development of the Confrontation Clause before reaching the following conclusion: Where
testimonial [hearsay] evidence is at issue, however, the Sixth Amendment demands that the
common law required: unavailability and a prior opportunity for cross-examination. Id. at
1374. In so holding, the Court rejected a line of cases that
allowed courts to admit hearsay evidence pursuant to evidentiary rules, and based solely
upon a trial courts assessment of the reliability of the statement. Crawford
arose from an attempted murder conviction and addressed the introduction at trial of
an out-of-court statement made by the defendants wife to police officers investigating the
incident. Acknowledging that Crawford was decided in the context of a criminal
trial, Marsh nevertheless asks this court to hold that the Crawford rule concerning
the admissibility of hearsay should be extended to probation revocation proceedings.
This court has noted on several occasions that defendants are not entitled to
serve their sentences in a probation program. See, e.g., Brabandt v. State,
797 N.E.2d 855. To the contrary, the ability to serve a sentence
on probation has been variously described as a matter of grace and
a conditional liberty that is a favor, not a right. Cox v.
State, 706 N.E.2d at 549. For this reason and others, a probationer
faced with a petition to revoke his probation in not entitled to the
full panoply of rights he enjoyed prior to the conviction. Grubb v.
State, 734 N.E.2d 589 (Ind. Ct. App. 2000), trans. denied. Those differences
include, for instance, and as noted above, that the rules of evidence do
not apply in a revocation proceeding. Also, the States burden of proof
is lower in a revocation proceeding, as the State need prove an alleged
violation of probation only by a preponderance of the evidence, see Ind. Code
Ann. § 35-38-2-3(e) (West, PREMISE through 2003 1st Regular Sess.). We make
these observations to illustrate the point that probation revocation proceedings are not the
equivalent of traditional criminal proceedings and the rules for the latter do not
necessarily apply to the former. This principle was implicit in our supreme
courts ruling in Isaac.
It is still unclear to this court what effect the rule announced in
Crawford will have on evidentiary questions in Indiana criminal proceedings. We need
not resolve those matters here, because they are not before us.
The only question before us is whether the Crawford rule applies in a
probation revocation proceeding. Our supreme courts holding in Isaac was premised upon
the fact that revocation proceedings are different from the underlying criminal proceedings, and
thus implicate different rights. This, in turn, triggers different procedural requirements and
safeguards, which might fairly be characterized as less stringent in revocation proceedings.
As we interpret Isaac, the rationale underlying that decision was not affected by
Crawford. Thus, Isaac is still binding authority on this court and we
decline Marshs invitation to extend the holding in Crawford to probation revocation proceedings.
We pause to make one final observation regarding the application of the Crawford
holding in this case. Even if Crawford applied in probation revocation proceedings,
Marsh has not demonstrated that he would be entitled to reversal thereby.
It appears to us more likely than not that the principles announced in
Crawford were limited to testimonial statements, as indicated in the following excerpt discussing
one of two proposals for determining the admissibility of hearsay evidence under the
Confrontation Clause:
[The first proposal is] that we apply the Confrontation Clause only to testimonial
statements, leaving the remainder to regulation by hearsay law thus eliminating the
overbreadth referred to above.
In [White v. Illinois, 502 U.S. 346
(1992)], we considered the first proposal and rejected it. Although our analysis
in this case casts doubt on that holding, we need not definitely resolve
whether it survives our decision today, because Sylvia Crawfords statement is testimonial under
any definition.
Crawford v. Washington, 124 S.Ct. at 1370 (emphasis supplied).
Assuming Crawford applies only to testimonial statements, Marsh must show that the statement
about which he complains was testimonial in nature. As Chief Justice
Rehnquist lamented in his separate concurrence in Crawford,
See footnote the majority did not provide
a definition of testimonial in this context. Rather, the Court went only
so far as to provide several examples of statements that clearly constitute testimonial
statements. (Viz., Whatever else the term covers, it applies at a minimum to
prior testimony at a preliminary hearing, before a grand jury, or at a
former trial; and to police interrogations.
Id. at 1374.) It does
not appear from the face of the record that S.M.s statement fits within
the clearly delineated examples cited by the Crawford Court. Regardless, Marsh did
not provide enough details about the statement at issue here to permit an
evaluation of whether it could be classified as testimonial within the meaning of
Crawford.
3.
Marsh contends the evidence was insufficient to support the decision to revoke probation.
As framed and argued by Marsh, the success of this issue depends
entirely upon the resolution of Issues 1 and 2 above, to wit: Marsh
contends that, had the inadmissible hearsay statement made by the States witness not
come into evidence, there would be insufficient evidence to support a finding of
probation revocation. Appellants Brief at 7. Of course, Marsh did not
prevail on those issues. Nevertheless, we will review the sufficiency of the
evidence supporting revocation.
Probation revocation proceedings are civil in nature. Thornton v. State, 792 N.E.2d
94 (Ind. Ct. App. 2003). Therefore, the State is required to prove
a violation by only a preponderance of the evidence. I.C. § 35-38-2-3(e);
Thornton v. State, 792 N.E.2d 94. When reviewing the determination that a
probation violation occurred, we neither reweigh the evidence nor reassess witness credibility.
Thornton v. State, 792 N.E.2d 94. Instead, we look at the evidence
most favorable to the probation courts judgment and determine whether there is substantial
evidence of probative value supporting revocation. Id. If so, we will
affirm. Id. The probation court may revoke probation if the probationer
commits another crime. I.C. § 35-38-2-1(b).
A person who knowingly or intentionally touches a person less than fourteen years
of age in a rude, insolent, or angry manner, and causes bodily injury
thereby commits battery as a class D felony. Ind. Code Ann. §
35-42-2-1(a)(2)(B) (West, PREMISE through 2003 1st Regular Sess.). There was evidence that
Marsh struck S.M. in the mouth with enough force to cause swelling and
bleeding. The trial court found that Marshs action constituted battery as alleged
by the State in its revocation petition, and revoked probation on that basis.
That judgment was supported by Boltes testimony.
Judgment affirmed.
MATHIAS, J., and DARDEN, J., concur.
Footnote:
Chief Justice Rehnquist stated it thus:
The Court grandly declares that [w]e leave for another day any effort
to spell out a comprehensive definition of testimonial[.] But the thousands of
federal prosecutors and the tens of thousands of state prosecutors need answers as
to what beyond the specific kinds of testimony the Court lists is covered
by the new rule.
Id. at 1378 (Rehnquist, C.J., concurring in result) (citations omitted).