1. Constitutional Law--self-incrimination--codefendant not required to testify--offer of
proof not submitted
The trial court did not abuse its discretion in a robbery with a dangerous weapon and first-
degree murder case by ruling that the codefendants could not be called to testify based on their
invocation of their Fifth Amendment privilege against self-incrimination, because: (1) defendant
did not submit an offer of proof of the codefendants' testimony outside the presence of the jury so
that the Court of Appeals could rule on the significance of the codefendants' testimony or the
significance of their invocation of the privilege; and (2) defendant's testimony on his own behalf
indicating his version of the incidents does not qualify as an offer of proof.
2. Evidence--hearsay--unavailable witness--untrustworthy
The trial court did not abuse its discretion in a robbery with a dangerous weapon and first-
degree murder case by failing to conduct the six-part inquiry for the admission of hearsay
statements as required by N.C.G.S. § 8C-1, Rule 804(b)(5) based on a codefendant's invocation
of his Fifth Amendment privilege making him unavailable to testify, because the trial transcript
reveals the trial court found the hearsay at issue to be untrustworthy under the third step of the
required analysis, meaning failure to conduct further analysis under the other factors was not
prejudicial.
Attorney General Michael F. Easley, by Special Deputy Attorney
General James Peeler Smith, for the State.
Paul Pooley for defendant-appellant.
HUNTER, Judge.
Jerold Alan Harris (defendant) appeals his convictions for
robbery with a dangerous weapon and first degree murder of Jimmy
Andreson (Andreson). In his brief before this Court, defendant
contends that the trial court abused its discretion in ruling that
David Foreman (Foreman) and Tyrone Dukes (Dukes), his co-
defendants, would not be called to testify without conducting thebalancing test required by Evidence Rule 403, and in failing to
conduct inquiry into hearsay statements which were excluded after
the co-defendants became unavailable. Defendant argues that these
alleged errors require that he be given a new trial. We hold that
defendant has failed to show prejudicial error by the trial court.
The State's evidence at trial relevant to the present appeal
indicated that this case stems from incidents occurring the night
of 20 December 1996. That evening, defendant, his neighbor Buddy,
Pamela Jacobs, Kelvin Futrell, Alicia Eason, Dukes and Foreman were
at defendant's home. When Dukes told Foreman that he had seen
Andreson at the store earlier in the evening, defendant proceeded
to ask them if they wanted to get Andreson. Later in the evening,
Andreson came to defendant's home and asked if Tim Baker lived
there. Defendant came to the door and asked what Andreson needed.
When Andreson responded that he wanted crack, defendant invited
him in, saying he had what Andreson wanted. Defendant called Dukes
and Foreman to the back of the house for a discussion, and then
told Andreson to come into defendant's bedroom.
While Andreson was in defendant's bedroom, Dukes took
Andreson's car. He drove it down the road and left it. When Dukes
returned to the house, Andreson was just coming out of defendant's
bedroom. Looking out the front door, Andreson noticed his car was
missing and asked where it was. Dukes and defendant told him they
did not know about the car. Andreson continued to ask them wherehis car was located, and defendant then asked Andreson to leave the
house. Defendant then struck Andreson in the face and Andreson
fell to the floor. Defendant and Dukes searched Andreson's
pockets, took his wallet, and then dragged him by his hair out of
the house and down the front steps of the house and into the yard.
When Andreson was lying in the front yard of the house, defendant,
Dukes and Foreman kicked him and struck him with yard ornaments.
Kelvin Futrell prevented defendant from beating Andreson with abaseball bat, but defendant did beat Andreson with an iron rod.
When defendant's uncle came to the house, someone dragged Andreson
to the side of the house. Andreson was moaning, falling against
the side of the house, asking for help.
After defendant's uncle left, defendant, Dukes, Foreman and
Kelvin Futrell went back outside. Dukes struck Andreson on the
head with a broom handle. When Andreson passed out, defendant went
into the house, got a five-gallon bucket of hot water, threw the
water on Andreson to revive him, and continued to beat him. Later
on, after the beating had subsided, Andreson tried to re-enter the
house. Pamela Jacobs told Andreson to leave, that his car was down
the road. Defendant and Foreman then ran out of the house and
knocked Andreson off the steps and onto the ground. While Foreman
held Andreson's head, defendant hit Andreson three times with a gin
bottle. Defendant, Foreman and Dukes returned inside the house.
Defendant went outside a few moments later, and then returned,
reporting that Andreson was dead. The testimony of Pamela Jacobs
and Alicia Eason revealed that defendant remarked that he did not
like white people, and Alicia Eason testified that defendant
decided to kill Andreson for that reason. Both testified that all
co-defendants took part in beating and robbing Andreson, but that
defendant committed the final blows to Andreson, causing his death.
Contrary to the evidence presented by the State, defendant
testified that when Andreson came to his home asking for drugs,
defendant told him he could take Andreson to get some, but Andreson
said that he had no money. Andreson started to leave, but cameback and instigated a fight with defendant after he discovered his
car was missing. Defendant further testified that Dukes then
entered the house and told Andreson where his car was located, and
that Dukes had taken the car and left it two miles from defendant's
house, although defendant did not know why Dukes had done so.
Andreson would not leave and continued fighting all three
defendants. Defendant testified that in total, he hit Andreson
once with his fist, twice with a bottle, twice with a long rod, and
kicked him several times. However, defendant testified that co-
defendant Foreman struck Andreson with a final blow to the head
just before he died. A forensic pathologist testified that
Andreson died of blunt trauma to the head.
Defendant was tried at the 22 June 1998 Criminal Session of
Superior Court in Hertford County. He was convicted of robbery
with a dangerous weapon and first degree murder. For the robbery
conviction, defendant was sentenced to a term of 95 to 123 months,
consecutive to life imprisonment without parole, his sentence for
first degree murder. Defendant appeals.
[1]Defendant first contends that the trial court erred and
abused its discretion in ruling that the co-defendants would not be
called to testify due to the fact that they would invoke their
Fifth Amendment privilege, without conducting the balancing inquiry
required by Rule 403 of the North Carolina Rules of Evidence. Our
Supreme Court has stated:
[T]here are two difficulties that may arise
when a witness is presented and then refuses
to testify by asserting his Fifth Amendment
privilege. The first is that it permits theparty calling the witness to build or support
his case out of improper speculation or
inferences that the jury may draw from the
witness' exercise of the privilege, which
cannot be adequately corrected by trial court
instruction. The second concern is that it
encroaches upon the constitutional right to
confrontation because the presentation of the
exercise of the privilege cannot be tested for
relevance or value through cross-examination.
As a result of these difficulties, the trial
judge must weigh a number of factors in
striking a balance between the competing
interests. Such a balancing will be left to
the discretion of the trial court in
determining whether the probative value of the
proffered evidence is substantially outweighed
by the danger of unfair prejudice in
accordance with Rule 403 of the Rules of
Evidence.
State v. Pickens, 346 N.C. 628, 639, 488 S.E.2d 162, 168 (1997)
(citations omitted) (quoting United States v. Vandetti, 623 F.2d
1144, 1149 (6th Cir. 1980)). In Pickens, the defendant wanted to
call his co-defendant and show that the co-defendant fired the
weapon that caused the victim's death. Outside the jury's
presence, the co-defendant had exercised his Fifth Amendment
privilege against self-incrimination. The Court held that the co-
defendant's assertion of his Fifth Amendment privilege before the
jury was immaterial because the defendant in Pickens was not
tried for murder, but under a theory of acting in concert. Id. at
640, 488 S.E.2d at 168. Defendant argues that he should at least
have been able to compel his co-defendants to take the witness
stand and assert their Fifth Amendment privileges in front of the
jury. He contends the purpose of doing this would be to attempt
to elicit testimony concerning material facts, or, if the witnesses
refused to testify, it would avoid prejudice to his case as heoffered the co-defendants as witnesses in light of their roles in
the incident.
Our Supreme Court has held that whether an objection be to
the admissibility of testimony or to the competency of a witness to
give that, or any, testimony, the significance of the excluded
evidence must be made to appear in the record if the matter is to
be heard on review. Currence v. Hardin, 296 N.C. 95, 99, 249
S.E.2d 387, 390 (1978). An offer of proof under Rule 43(c) [now
Rule 103(b)] must be specific and must indicate what testimony the
excluded witness would give. Id. at 100, 240 S.E.2d at 390. In
the present case, both co-defendants had been subpoenaed by the
State and by defendant. The court had been advised by their
counsel that they would refuse to testify, invoking their Fifth
Amendment privilege. However, defendant did not submit an offer of
proof as to their testimony outside the presence of the jury.
Therefore, we cannot rule as to the significance of their
testimony, or the significance of their invocation of their Fifth
Amendment privilege, without an offer of the testimony defendant
hoped to elicit. While defendant's testimony on his own behalf
indicates his version of the incident, it does not qualify as an
offer of proof as to his co-defendants' testimony. Accordingly,
this assignment of error is overruled.
[2]Next, defendant contends that the trial court erred and
abused its discretion in failing to conduct the required inquiry
into certain hearsay, and thereby excluding that hearsay which
defendant sought to introduce after the co-defendants becameunavailable by their exercise of their privilege against self-
incrimination. The hearsay at issue is that which defendant
proposed to introduce through Jacqueline Harris (Harris) and
Gilbert Ivey (Ivey). No offer of proof was made as to Harris's
testimony; therefore, based on foregoing authority, we will only
consider Ivey's testimony in this assignment of error. An offer of
proof of Ivey's testimony indicated that he would testify that co-
defendant Dukes had said that he, Dukes, took Andreson's car and
went joy riding when the car broke down and that when he came back
to defendant's house to get some help fixing the car, he found
defendant, Foreman and Andreson in a fight, and
the next thing he know [sic] they were all
beating up on [Andreson].
And he said that they were jumping on
[Andreson] and stuff and that he kept telling
me how they had that broom, big thick broom,
not the little skinny ones, but the big ones.
He kept telling me how David [Foreman] was
hitting [Andreson] with the broom and stuff
and making all kinds of sounds and faces.
Defendant argues that the trial court failed to make required
findings and conclusions concerning this hearsay testimony.
Defendant in the present case submitted to the trial court and
to the State a written notice of his intent to present hearsay
substantially in the form required by Evidence Rule 804(b)(5). To
admit testimony under this rule, the trial court must first
determine that the witness is unavailable. State v. Triplett, 316
N.C. 1, 8, 340 S.E.2d 736, 740 (1986). Where a witness is
physically present at the trial, but asserts his Fifth Amendment
right not to testify, he is considered unavailable for thepurpose of determining whether his prior recorded testimony may be
admitted into evidence. State v. Graham, 303 N.C. 521, 523, 279
S.E.2d 588, 590 (1981). After determining that the witness is
unavailable, the trial court must undertake the following six-step
inquiry required for the admission of the testimony: Whether (1)
proper notice has been given; (2) the hearsay is not specifically
covered elsewhere; (3) the hearsay is trustworthy; (4) the hearsay
statement is material; (5) the hearsay statement is more probative
on the issue than any other evidence which the proponent can
procure through reasonable efforts; (6) the interests of justice
will be served by the admission. Phillips & Jordan Investment
Corp. v. Ashblue Co., 86 N.C. App. 186, 190, 357 S.E.2d 1, 3, disc.
review denied, 320 N.C. 633, 360 S.E.2d 92 (1987). In Phillips v.
Ashblue, this Court held:
The six-part inquiry is very useful when
an appellate court reviews the admission of
hearsay under Rule 804(b)(5) or 803(24).
However, its utility is diminished when an
appellate court reviews the exclusion of
hearsay. Common sense dictates that if
proffered evidence fails to meet the
requirements of one of the inquiry steps, the
trial judge's findings concerning the
preceding steps are unnecessary.
Although we are compelled to hold that
the trial court erred by not making specific
findings for each step in the six-part
inquiry, the error did not prejudice defendant
because the evidence would still have been
excluded.
Id. at 191, 357 S.E.2d at 3-4 (emphasis added).
The trial transcript shows that the trial court found the
hearsay at issue to be untrustworthy under step (3) of the requiredanalysis. Therefore, error in failing to conduct further analysis
under the other factors is not prejudicial. Id. Defendant does
not assign error to the finding that the hearsay in question was
untrustworthy. Accordingly, this assignment of error is overruled.
We have reviewed defendant's remaining assignment of error
which he has presented in his brief and find it to be without
merit. No other assignments of error were argued and are therefore
deemed abandoned under N.C.R. App. P. 28, and we will not consider
them.
No prejudicial error.
Judges GREENE and HORTON concur.
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