1. Criminal Law--guilty plea--incomplete inquiry by judge
There was no prejudicial error in a prosecution for larceny and other offenses where the
trial judge did not personally address defendant for all of the statutorily required inquiries and the
prosecutor covered the areas omitted by the judge. Defendant did not argue that he would have
changed his plea had the judge strictly complied with the procedural requirements or that his plea
was not made knowingly, voluntarily, and with understanding. However, this is not the most
desirable method of adjudicating a plea. N.C.G.S. § 15A-1022.
2. Evidence--sentencing--victim impact statement--unsworn
There was no error in a sentencing hearing for felonious larceny and other offenses where
the trial court permitted an unsworn victim impact statement. The rules of evidence to not apply
for purposes of sentencing hearings and defendant never objected to the testimony at the hearing.
3. Criminal Law--sentencing--judge's statement--not a pro-victim bias
A trial court judge did not exhibit a pro-victim bias during a sentencing hearing when he
said, at the conclusion of a victim impact statement, Today is a classic example of why victims
need to be recognized and the court system needs to become their friends, not their enemy. At
most, the statement illustrates an affinity for victim impact statements, which are specifically
endorsed by statute.
4. Sentencing--aggravating factor--property taken of great monetary value
There was sufficient evidence in a sentencing hearing for felonious larceny to find the
aggravating factor that the larceny involved taking property of great monetary value.
Defendant's indictment listed the value of the property taken as $17,000 and his guilty plea served
as an admission of guilt to all facts listed in the indictment. Moreover, during the plea hearing,
the prosecutor's summary of the facts included the statement that at least $17,000 was gone and
defendant did nothing to rebut the evidence.
Appeal by defendant from judgments entered 4 May 1999 by Judge
G.K. Butterfield in Wake County Superior Court. Heard in the Court
of Appeals 15 May 2000.
Attorney General Michael F. Easley, by Associate Attorney
General Vandana Shah, for the State.
John T. Hall for defendant-appellant.
LEWIS, Judge.
Defendant was indicted for one count of felonious larceny, one
count of felonious breaking and entering, and one count of
felonious possession of stolen property. On 4 May 1999, defendant
pled guilty to all three offenses. He was sentenced to consecutive
sentences for the larceny and breaking and entering offenses, but
judgment was arrested as to the possession offense. Defendant now
appeals, asserting errors at both his plea hearing and his
sentencing hearing.
Before a judge can accept a guilty plea, our statutes
explicitly mandate that the judge must address the defendant
personally and inform him of several things, including his right to
remain silent and his maximum possible sentence. N.C. Gen. Stat.
§ 15A-1022(a)(1), (6) (1999). The trial judge also must determine
whether defendant understands the nature of the charges against him
and whether his plea is the product of any threats or improper
pressure. N.C. Gen. Stat. § 15A-1022(a)(2), (b).
[1]Here, there is no question that the trial judge failed to
comply with the procedural requirements outlined above. He did
make some of the statutorily-required inquiries, but he never
personally addressed defendant on any of the above matters.
Although the transcript of plea entered into between defendant and
the prosecutor covered all the areas omitted by the trial judge,
our legislature's explicit reference to the trial judge addressing
the defendant personally and informing him of his rights illustrates that reliance on the transcript of plea alone (with
which the judge has no involvement in the first place) is
insufficient to meet section 15A-1022's procedural requirements.
This is not the most desirable method of adjudicating a plea.
As previously stated by this Court, "We recognize the potential for
harm that is present if this method of taking a plea of guilty
becomes vogue." State v. Williams, 65 N.C. App. 472, 481, 310
S.E.2d 83, 88 (1983). That sentiment bears repeating here.
Nonetheless, just because the trial court failed to comply with the
strict statutory requirements does not entitle defendant to have
his plea vacated. Defendant must still show that he was prejudiced
as a result. N.C. Gen. Stat. § 15A-1443(a). Defendant has not met
that burden here. He has not argued that he would have changed his
plea had the judge complied strictly with the procedural
requirements, nor has he asserted that his plea was not in factknowingly, voluntarily, and with understanding, made. In sum,
defendant simply points out the court's non-compliance and contends
that he is entitled to replead as a result. A similar argument was
made to this Court in Williams. We rejected the argument there, as
do we here. Williams, 65 N.C. App. at 480-81, 310 S.E.2d at 83.
In analyzing the prejudicial error standard, our courts have
"refuse[d] to adopt a technical, ritualistic approach" in the
context of section 15A-1022 violations. State v. Richardon, 61
N.C. App. 284, 289, 300 S.E.2d 826, 829 (1983). Instead, we must
look to the totality of the circumstances and determine whether
non-compliance with the statute either affected defendant's
decision to plead or undermined the plea's validity. Williams, 65
N.C. App. at 481, 310 S.E.2d at 83. In this regard, the transcript
of plea signed by defendant, along with what questions the trial
court did ask of him, are particularly relevant. In the transcript
of plea, the question was posed to defendant whether he understood
that he had a right to remain silent and whether he understood the
nature of the charges against him. To both of these questions,
defendant answered, "Yes." The transcript of plea also includes
the question whether defendant's plea is the result of any threats
or improper promises, to which he responded, "No." Finally, the
worksheet attached to the transcript of plea listed the maximum
possible punishment for each offense as being thirty months. In
light of these circumstances, we hold that the trial court's
failure to strictly follow the statute resulted in no prejudice to
defendant. See also State v. Crain, 73 N.C. App. 269, 271-72, 326S.E.2d 120, 122 (1985) ("The State's evidence from the plea
transcript, the court's questions to defendant and the testimony of
defendant's attorney all tend to support the State's contention
that defendant was properly and adequately informed of the
consequence of his plea and that he entered into the plea
arrangement freely, knowingly and voluntarily."); State v.
Thompson, 16 N.C. App. 62, 63, 190 S.E.2d 877, 878 ("The record
reveals that the defendant signed the 'transcript of plea'
contained in the record and that the trial judge, after the
defendant was sworn to tell the truth, made careful inquiry of the
defendant regarding his pleas of guilty. The record is replete
with evidence to support the adjudication that the defendant's
pleas of guilty were in fact freely, understandingly, and
voluntarily given."), cert. denied, 282 N.C. 155, 191 S.E.2d 604
(1972).
[2]Next, defendant contends that he received an unfair
sentencing hearing. He points to the fact that Mrs. Gardner, one
of the larceny victims here, spoke at the sentencing hearing
without ever being sworn in. The requirement that a witness be
sworn in is contained within our rules of evidence. N.C.R. Evid.
603. For purposes of sentencing hearings, however, the rules of
evidence do not apply. N.C. Gen. Stat. § 15A-1334(b) (1999).
Thus, the trial court committed no error by allowing Mrs. Gardner's
unsworn victim impact statement. Cf. State v. Jackson, 302 N.C.
101, 111, 273 S.E.2d 666, 673 (1981) (emphasizing that the rules of
evidence do not apply at sentencing hearings in holding that it wasnot error to allow a witness to testify even though her testimony
would not have been admissible at trial). Furthermore, defendant
never objected at the hearing to Mrs. Gardner's unsworn testimony.
He has thus waived any such argument for purposes of appeal. Cf.
State v. Robinson, 310 N.C. 530, 539-40, 313 S.E.2d 571, 577-78
(1984) (holding that the defendant's failure to object to a witness
not being sworn in at trial prevented him from arguing it on
appeal).
[3]Defendant also contends that his sentencing hearing was
unfair in that the judge exhibited a pro-victim bias that unfairly
prejudiced him. Specifically, defendant cites the following
statement made by the judge after the conclusion of Mrs. Gardner's
victim impact statement: "Today is a classic example of why victims
need to be recognized and the court system needs to become their
friends, not their enemy." (Tr. at 13). We do not feel the above
statement manifests a bias against defendant. At most, it only
illustrates an affinity for the use of victim impact statements, a
procedure that is specifically endorsed by our statutes. N.C. Gen.
Stat. § 15A-825(9).
[4]Finally, defendant contends there was insufficient
evidence to support the trial court's finding of an aggravating
factor. In particular, he attacks the evidentiary basis for the
aggravating factor that his larceny involved the "taking of
property of great monetary value." N.C. Gen. Stat. § 15A-
1340.16(d)(14). We find there was sufficient evidence, both in the
indictment and at the plea hearing, to support this factor. Defendant's indictment listed the value of the property
taken
as $17,000. When defendant pled guilty to larceny, his plea served
as an admission of guilt as to all facts listed in the indictment.
State v. Thompson, 314 N.C. 618, 624, 336 S.E.2d 78, 81 (1985).
Thus, defendant admitted to taking $17,000 in property. This alone
is sufficient to support the trial court's finding of great
monetary value. See generally State v. Barts, 316 N.C. 666, 695,
343 S.E.2d 828, 846-47 (1986) (upholding finding of great value
based upon evidence of $3200 in property taken); Thompson, 314 N.C.
at 623-24, 336 S.E.2d at 81 ($3177.40); State v. Coleman, 80 N.C.
App. 271, 277, 341 S.E.2d 750, 753-54 ($3000), disc. review denied,
318 N.C. 285, 347 S.E.2d 466 (1986).
There was also sufficient evidence adduced during the plea
hearing to support the finding of this aggravating factor. In
summarizing the facts for the judge so that he could determine
whether a factual basis for the guilty plea existed, the prosecutor
pointed out that "the house had been ransacked" and that "at least
$17,000 was gone." (Tr. at 6). Defendant did nothing to rebut
this evidence and it therefore was sufficient to substantiate the
trial court's finding. See generally Thompson, 314 N.C. at 624-25,
336 S.E.2d at 81-82 (stating that the trial court may rely on any
evidence adduced that is not rebutted or otherwise challenged by
defendant).
In closing, we note that there is a clerical error in one of
the judgments. The judge sentenced defendant to two consecutive
sentences of twelve-to-fifteen months' imprisonment on the larcenyand breaking and entering charges. The judge then arrested
judgment on the charge of possession of stolen property because all
its elements were contained within the larceny charge. However,
the court inadvertently listed larceny as the offense for which it
was arresting judgment, as opposed to the possession offense. The
result is that defendant has two judgments as to the larceny
offense (one sentencing him and one arresting judgment) and no
judgment as to the possession offense. We therefore remand to the
trial court for entry of a corrected judgment.
No prejudicial error, but remanded for correction of judgment.
Chief Judge EAGLES concurs.
Judge EDMUNDS concurs with separate opinion.
*** Converted from WordPerfect ***