FOR PUBLICATION
ATTORNEY FOR APPELLANT: ATTORNEYS FOR APPELLEE:
WILLIAM F. THOMS, JR. JEFFREY A. MODISETT
Indianapolis, Indiana Attorney General of Indiana
CAROL A. NEMETH
Deputy Attorney General
Indianapolis, Indiana
SETH STEVENS, )
)
Appellant-Defendant, )
)
vs. ) No. 49A02-9703-CR-130
)
STATE OF INDIANA, )
)
Appellee-Plaintiff. )
APPEAL FROM THE MARION SUPERIOR COURT
The Honorable Clarence D. Bolden, Judge
Cause No. 49F05-9605-CM-68032
OPINION - FOR PUBLICATION
Following a bench trial, Seth Stevens was convicted of criminal trespass,
See footnote
1
a Class A
misdemeanor, and disorderly conduct,
See footnote
2
a Class B misdemeanor.
See footnote
3
Both convictions were
based upon Stevens' demonstration against the sale of animal furs at a regional mall.
Although Stevens informed his counsel that he wanted to exercise his right to a jury trial, the
attorneys failed to file the necessary request
as required by the Indiana Rules of Criminal
Procedure. We consolidate the issues presented and consider: Whether trial counsel's failure
to preserve Stevens' right to a jury trial denied him the effective assistance of counsel.
We reverse and remand.
At an initial hearing on May 24, 1996, Stevens executed a document entitled "Initial
Hearing Rights" which informed Stevens of his right to a trial by jury and advised Stevens
that, if he wished to have a jury trial, he had to request one at least ten days prior to his trial
date. The form warned that failure to file the request would result in waiver of the right.
Although Stevens notified his attorney that he desired to exercise his right to a jury trial,
counsel did not file a request in the trial court. Thereafter, counsel withdrew, and a new
attorney appeared on Stevens' behalf.
On August 20, 1996, the scheduled trial date for Stevens and his co-defendant,
Stevens' new attorney explained to the court before trial that Stevens had requested a jury
trial. Counsel specifically indicated that she had spoken with the original attorney assigned
to the case who told her that Stevens was to have a jury trial. Counsel further stated that
"Mr. Stevens should have been set for a pretrial today." Record at 55-56.
The trial court responded that, because Stevens had not filed a timely request, he had
waived his right. The court continued:
"Jury trials take considerable preparation, we've got to have a Courtroom
available, and you must be notified, and that's the reason for the rule. The
Court certainly wouldn't deprive you of a jury trial cause it's no problem for
the Court to have a jury trial when it's timely requested. Now you've waited
until you got every one of the State's witnesses subpoenaed here and they
knew that they were to be here for a trial and also you knew. So the question
is whether you want a trial by Court this morning because I believe that's the
only trial you're entitled to have."
Record at 57-58. Thereafter, the court provided time for Stevens to consult with his
attorney.See footnote
4
In their private meeting, defense counsel informed Stevens that the jury trial issue
had already been decided by the trial court and, if Stevens were to have a trial, it would be
a bench trial. Stevens reiterated that he did not want
a bench trial but "he was not interested
in pleading guilty" and, therefore, decided to proceed. Record at 123-24.
During Stevens' direct examination, Stevens took the stand and gave his name but
refused to testify, claiming, "I believe my right to a Jury Trial still hasn't been waived and
I still would like a Jury Trial . . . ." Record at 112-13. The court noted the objection for the
record and, after some discussion, the bench trial continued. The court found Stevens guilty
of criminal trespass and of disorderly conduct. At the October 11, 1996 sentencing hearing,
Stevens again asserted that he was denied his constitutional right to a jury trial.
prosecuting attorney, with the assent of the court, may submit the trial to the court. All other
trials must be by jury.").
Nevertheless, a defendant charged with a felony has an automatic right to a jury trial
unless he affirmatively waives the right, but misdemeanor charges, governed by Indiana
Criminal Rule 22, are tried to the bench unless the defendant demands a jury trial in a timely
manner.
Eldridge v. State, 627 N.E.2d 844, 847-48 (Ind. Ct. App. 1994), trans. denied
.
Criminal Rule 22 reads:
"A defendant charged with a misdemeanor may demand a trial by jury by
filing a written demand therefor not later than ten (10) days before his first
scheduled trial date. The failure of a defendant to demand a trial by jury as
required by this rule shall constitute a waiver by him of trial by jury unless the
defendant has not had at least fifteen (15) days advance notice of his scheduled
trial date and of the consequences of his failure to demand a trial by jury.
The trial court shall not grant a demand for a trial by jury filed after the time
fixed has elapsed except upon the written agreement of the state and
defendant, which agreement shall be filed with the court and made a part of the
record. If such agreement is filed, then the trial court may, in its discretion,
grant a trial by jury."
Our court has consistently held that, under the rule, a misdemeanant waives his right to a jury trial by not making the proper request after having been duly advised of his rights and the consequences for failure to make a timely demand. See, e.g., Greene v. State, 670 N.E.2d 38, 39-40 (Ind. Ct. App. 1996), trans. denied; Jackson v. State, 644 N.E.2d 595, 596- 97 (Ind. Ct. App. 1994); Hadley v. State, 636 N.E.2d 173, 175-76 (Ind. Ct. App. 1994), trans. denied; Eldridge, 627 N.E.2d at 847-48. In this case, however, our inquiry focuses on
whether counsel's failure to file the required request when the defendant has expressed a
personal desire to be tried by a jury constitutes ineffective assistance of counsel.
To prevail in an ineffective assistance of counsel claim, a defendant must show
(1)
counsel's performance fell below an objective standard of reasonableness under prevailing
norms, and (2) counsel's substandard performance denied the defendant a fair trial. Meredith
v. State, 679 N.E.2d 1309, 1312 (Ind. 1997). There is a presumption that counsel is
competent which must be rebutted with strong and convincing evidence in order to succeed
on an ineffective assistance of counsel claim. Fugate v. State, 608 N.E.2d 1370, 1372 (Ind.
1993)
. Isolated poor strategy, inexperience, or bad tactics do not necessarily demonstrate
ineffective assistance of counsel. Meredith, 679 N.E.2d at 1312.
In regard to counsel's performance, we initially acknowledge that
the right to a jury
trial is of "fundamental dimension." Eldridge, 627 N.E.2d at 849 (quoting Hutchins v. State,
493 N.E.2d 444, 445 (Ind. 1986)). Thus,
an "accused must be given every reasonable
opportunity to procure a fair and impartial jury." Hicks v. State, 199 Ind. 401, 402, 156 N.E.
548, 548 (1927).
While Criminal Rule 22 alters the manner of preserving the right to a jury
trial in misdemeanor cases, the rule cannot diminish Stevens' fundamental right. See State
ex rel. Rose v. Hoffman, 227 Ind. 256, 260, 85 N.E.2d 486, 487-88 (1949)
(quoting Graves
v. State, 103 Ind. 1, 178 N.E. 233 (1931) for proposition that "any rule which assumes to take
away the right of a defendant in a criminal case to a jury trial is repugnant to the laws of the
state").
Stevens expressed a conscious choice to exercise his right to a trial by jury, and he
relied upon his counsel to file the necessary document to preserve that right. Before and
during the bench trial and, again at sentencing, Stevens insisted that his constitutional right
to trial by jury was being violated. Cf.
Lucas v. State, 227 Ind. 486, 86 N.E.2d 682 (1949)
(failure of accused, represented by competent counsel, to assert right to or insist upon jury
trial could be treated as waiver of right to jury trial). It was only after Stevens was told he
would either have a bench trial or no trial that he decided to proceed.
Lawyers in criminal cases are "the means through which the other rights of the person
on trial are secured." United States v. Cronic, 466 U.S. 648, 653, 104 S. Ct. 2039, 2043, 80
L. Ed. 2d 657, 664 (1984). Stevens' trial counsel stated that both attorneys knew of Stevens'
desire for a jury trial. Record at 55. Yet neither filed the necessary request in a timely
manner. The Record does not support an inference that the omission was due to trial
strategy; rather it shows that the failure to file the request resulted from a combination of a
change in representation, a burdensome case load, and confusion
over the trial date. Cf.
Johnson v. State, 251 Ind. 17, 24, 238 N.E.2d 651, 655 (1968) (
absent evidence in record to
contrary, it is presumed that trial counsel's waiver of jury trial was strategy move).
Stevens had a fundamental, legal right to have a jury determine his innocence or guilt.
Further, all citizens have a "profound interest in protecting the constitutional right to a jury
trial in that 'no other institution of government rivals the jury in placing power so directly
in the hands of citizens.'" Hamlin v. Sourwine, 666 N.E.2d 404, 410 (Ind. Ct. App. 1996)
(quoting Jeffrey Abramson, We, The Jury: The Jury System and The Ideal of
Democracy 1 (1994)). Counsel was obliged to protect and preserve Stevens' constitutional
right to trial by jury but failed to do so.
We must conclude that, in failing to preserve this
fundamental right, counsel's performance fell below the range of professionally competent
representation.
However, this is not the end of our inquiry. To show ineffective assistance of counsel,
Stevens must also demonstrate that counsel's substandard performance denied him a fair
trial. See Meredith, 679 N.E.2d at 1312.
Typically, this requires the defendant to show a
reasonable probability that, but for counsel's errors, the result of the proceedings would have
been different. Pannell v. State, No. 49S00-9607-CR-505, slip op. at 5 (Ind. Oct. 23, 1997);
Lawrence v. State, 464 N.E.2d 1291, 1294 (Ind. 1984). However, in certain instances,
prejudice from defense counsel's performance will be presumed for purposes of ineffective
assistance of counsel claims. Butler v. State, 668 N.E.2d 266, 268 (Ind. Ct. App. 1996)
(prejudice presumed where defendant represented by attorney not licensed or otherwise
admitted to practice in Indiana).
The right to a trial by jury is an essential element of a criminal defendant's right to
due process of law. Shady v. State, 524 N.E.2d 44, 45 (Ind. Ct. App. 1988).
It is of no
consequence that, in this case, the trial court may have reached a correct result. As our
supreme court stated some one hundred and forty years ago:
"[A]lthough we might be satisfied that a full and fair trial was had, and that
full and ample justice had been done by the Court in reference to the merits of
the case, this would not authorize us to affirm the judgment. The right of a
trial by jury is guaranteed to parties by the constitution and laws of the state,
and of this right they cannot be deprived in any case, upon the ground that the
Court fairly tried and correctly determined it."
Shaw v. Kent, 11 Ind. 80, 83 (1858); see also United States v. Nazon, 936 F. Supp. 563, 570
(N.D. Ind. 1996) (basic purpose of right to trial by jury is vesting power over life and liberty
in randomly chosen citizen juries rather than in static group of judges and prosecutors who,
if so inclined, can abuse their power).
Stevens was denied his constitutional right to have a jury determine his guilt or
innocence, and was prejudiced thereby.
See Eldridge, 627 N.E.2d at 849 (right to jury trial
is fundamental right and denial of that right necessarily affects defendant's substantial
rights). The Indiana Constitution requires that we find prejudice under Stevens' claim.
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