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STATE OF NORTH CAROLINA v. LATON SHARMALE CUNNINGHAM
No. COA99-1016
(Filed 17 October 2000)
1. Appeal and Error--memorandum of additional authority--failure to comply with
appellate rules
The Court of Appeals struck the State's memorandum of additional authority ex mero
motu based on a failure to follow N.C. R. App. P. 28(g), because: (1) two of the five cases cited
are not additional authorities since they were cited in the State's original brief; (2) the only
material that can be included is the citation to a new case and the section of the brief to which that
case is relevant; and (3) parenthetical summaries or quotes from the cases are not permissible.
2. Robbery--attempted armed--jury instruction--using terms robbery and larceny
interchangeably
The trial court did not err by using the terms robbery and larceny interchangeably
while instructing the jury on the fourth element of attempted armed robbery with a dangerous
weapon, because: (1) N.C.G.S. § 14-87(a) only refers to attempting to take personal property
from another and does not even mention robbery or larceny; and (2) robbery and larceny both
involve the deprivation of property, and that deprivation is the primary focus on the fourth
element.
3. Robbery--attempted armed--no merger with burglary conviction
Although defendant contends his conviction for attempted armed robbery must be arrested
since it allegedly merged with his burglary conviction when robbery was submitted as the intended
felony for purposes of burglary, the conviction is upheld because: (1) the attempted robbery
offense was not committed until defendant took some further action apart from the alleged
burglary; and (2) the crimes did not merge since they were separate offenses.
4. Burglary and Unlawful Breaking or Entering--first-degree burglary--breaking--
sufficiency of evidence
The trial court erred by denying defendant's motion to dismiss the charge of first-degree
burglary based on insufficient evidence of a breaking, because: (1) defendant was one of several
individuals involved in the alleged burglary, warranting a jury instruction on constructive breaking
or acting in concert; (2) the trial court did not instruct the jury as to acting in concert but only on
a theory of actual breaking; (3) defendant's confession did not include an admission that he broke
down or otherwise opened any of the exterior or interior doors; and (4) a witness's testimony
used to establish that defendant committed a breaking was based on the theory of a constructive
breaking, and a defendant may not be convicted of burglary under a constructive breaking theory
unless that instruction is given.
5. Homicide--felony murder--underlying felony vacated--new trial
Defendant must receive a new trial for the offense of felony murder with the limitation that
only felonious breaking or entering may serve as the underlying felony on retrial, because the
underlying felony of burglary was vacated and the underlying felony of the lesser-included offense
of felonious breaking or entering was never submitted to the jury for consideration.
6. Homicide--felony murder--instructions on lesser-included offenses not required
The trial court was not required to submit second-degree murder or involuntary
manslaughter for the jury's consideration when the evidence reveals that the victim was killed
during the perpetration of a felony.
Appeal by defendant from judgments entered 7 April 1997 and 10
April 1997 by Judge Julius A. Rousseau, Jr. in Cabarrus County
Superior Court. Heard in the Court of Appeals 16 August 2000.
Attorney General Michael F. Easley, by Assistant Attorney
General Daniel P. O'Brien, for the State.
Appellate Defender Malcolm Ray Hunter, Jr., by Assistant
Appellate Defender Daniel R. Pollitt, for defendant-appellant.
LEWIS, Judge.
Defendant was tried at the 31 March 1997 Session of Cabarrus
County Superior Court on one count of first-degree murder of
Loudeal Isom, one count of first-degree burglary, and one count of
attempted armed robbery with a dangerous weapon. The State
submitted two theories of first-degree murder to the jury: (1)
premeditation and deliberation and (2) felony murder, with burglary
as the underlying felony. (The State did not try to use the
attempted robbery charge as an alternative underlying felony.) On
3 April 1997, the jury returned a verdict finding defendant guilty
of first-degree murder under the felony murder rule, not guilty of
first-degree murder based upon premeditation and deliberation,
guilty of first-degree burglary, and guilty of attempted armed
robbery with a dangerous weapon. Judgment was arrested on the
burglary charge, and defendant was thereafter sentenced to life
imprisonment plus a term of 77 to 102 months, to be served
consecutively. Defendant appeals all three convictions.
[1]At the outset, we note that the State submitted aMemorandum of Additional Authority to this Court on 14 August
2000.
We strike this memorandum ex mero motu, as it does not comply with
our appellate rules of procedure. Rule 28(g) of the Appellate
Rules states:
Additional authorities discovered by a party
after filing his brief may be brought to the
attention of the court by filing a memorandum
thereof with the clerk of the court and
serving copies upon all other parties. The
memorandum may not be used as a reply brief or
for additional argument, but shall simply
state the issue to which the additional
authority applies and provide a full citation
of the authority.
N.C.R. App. P. 28(g) (emphasis added). In its memorandum, the
State has cited five cases. Of these, two are not even additional
authorities, as they were cited in the State's original brief to
this Court. Furthermore, after each citation, the State has
included a lengthy parenthetical summary of the case's relevance on
a particular issue. Indeed, after one citation, the State even
included a lengthy quote from that case. The Appellate Rules are
quite clear: the only material that can be included within a
memorandum of additional authority is the citation to a new case
(i.e., one not previously cited) and the section of its brief to
which that case is relevant. Parenthetical summaries of, or quotes
from, the cases are not permissible, as they tend to constitute
arguments or rebuttals, which should be done in briefs and oralarguments. Because the State has violated Rule 28(g), we strike
its memorandum and will not consider it.
I. Defendant's Attempted Armed Robbery Conviction
[2]We begin with a consideration of defendant's conviction
for attempted armed robbery with a dangerous weapon. Defendant
alleges error in the court's jury instructions as to the fourth
element of that offense, namely "that the defendant's use of the
firearm was calculated and designed to bring about the robbery, and
came so close to bringing it about that, in the ordinary and likely
course of things, the robbery would have been completed had it not
been stopped or thwarted." N.C.P.I., Crim. 217.25. The first time
the trial judge instructed the jury, he basically quoted the above
pattern jury instruction. The second time, the trial judge added
the words "or larceny" after the term "robbery" such that his
charge then read:
I charge that if you find from the evidence
beyond a reasonable doubt . . . that this was
an act designed to bring about the robbery
or
the larceny, and which, in the ordinary course
of things, would have resulted in the robbery
or larceny had it not been stopped by reason
of her being shot, . . . it would be your duty
to return a verdict of guilty as charged to
attempted armed robbery.
(3 Tr. at 82-83) (emphasis added). The trial judge then instructed
the jury a third time by way of a handwritten summary of the
elements. In this handwritten instruction, the trial judge
instructed the jury largely as he had the first time, omitting any
reference to larceny. Defendant claims the trial court's secondinstruction was error because it allowed defendant to be convicted
of attempted robbery based upon a jury finding of only attempted
larceny. We disagree.
Our courts have previously pointed out the special
relationship between robbery and larceny. In particular, both
offenses involve an unlawful taking of another's personal property.
State v. White, 322 N.C. 506, 516, 369 S.E.2d 813, 818 (1988). In
fact, the armed robbery statute involved here, section 14-87, does
not even mention "robbery" or "larceny"; it only refers to
"attempt[ing] to take personal property from another." N.C. Gen.
Stat. § 14-87(a) (1999). Thus, the focus of the fourth element of
attempted armed robbery is not on whether defendant's overt act was
designed to carry out a robbery or a larceny specifically, but
whether it was designed to deprive a person of his or her property
in general.
Cf. State v. Irwin, 304 N.C. 93, 99, 282 S.E.2d 439,
444 (1981) ("An attempted robbery occurs when a person with the
requisite intent does some overt act
calculated to unlawfully
deprive another of personal property by endangering or threatening
his life with a firearm.") (emphasis added). Because robbery and
larceny both involve the deprivation of property and that
deprivation is the primary focus of the fourth element of attempted
armed robbery, the trial judge did not err by using the terms
"robbery" and "larceny" interchangeably.
[3]Defendant also contends that judgment on his attempted
armed robbery conviction must be arrested because it merged with
his felony murder conviction pursuant to
State v. Rinck, 303 N.C.551, 280 S.E.2d 912 (1981). In
Rinck, the defendant was pro
secuted
for felony murder with the underlying felony being burglary.
Id.
at 566, 280 S.E.2d at 923. Furthermore, robbery was submitted as
the intended felony for purposes of the burglary offense.
Id. at
567, 280 S.E.2d at 924. The jury was thus instructed on felony
murder, burglary, and robbery.
Id. The defendant, however,
claimed the jury should have been instructed on certain lesser-
included offenses as well.
Id. at 566, 280 S.E.2d at 923. Our
Supreme Court disagreed, reasoning as follows:
[T]he instructions on both burglary and armed
robbery were submitted to the jury as part of
the murder charge. Under such circumstances,
the underlying felonies became part of the
first-degree murder charge, prohibiting a
further prosecution of the defendant for the
underlying felonies. Defendant McMurry could
not have been lawfully convicted of robbery
upon his indictment for first-degree murder.
The court was therefore not required to
instruct the jury as to the lesser included
offenses of robbery.
Id. at 567, 280 S.E.2d at 924 (emphasis added) (citation omitted).
Defendant maintains that the above language controls in this case.
Specifically, because robbery was also submitted here as the
intended felony for purposes of burglary, according to defendant,
his conviction for attempted robbery must necessarily merge with
his felony murder conviction. We conclude that his reliance upon
Rinck is misplaced.
First and foremost, the issue before the
Rinck Court involved
instructing on lesser-included offenses, not the merger doctrine.
Furthermore, the defendant in
Rinck was not even indicted for any
offenses other than felony murder. Accordingly, any statement from
Rinck with respect to the merging of separate offenses amounts to
pure
dicta.
In reality, defendant has mischaracterized the issue. He
speaks of the attempted robbery offense merging into the felony
murder conviction. Technically this is not correct; it is the
underlying
substantive felony (i.e., burglary) that merges into
felony murder because that felony becomes "[i]n this sense" a
lesser-included offense of felony murder.
State v. Thompson, 280
N.C. 202, 215-16, 185 S.E.2d 666, 675 (1972). Defendant's argument
more properly deals with whether the
intended felony merges with
the
substantive felony. Stated more precisely, the issue here is
whether defendant's armed robbery conviction merges with his
burglary conviction because robbery was submitted as the intended
felony for purposes of burglary.
In
State v. Brady, 299 N.C. 547, 264 S.E.2d 66 (1980), the
defendant was convicted both of burglary with the intent to commit
rape and of rape. Our Supreme Court upheld the convictions for
both, reasoning:
The offense of burglary is completed by the
breaking and entering of the occupied dwelling
of another, in the nighttime, with the intent
to commit the designated felony therein. The
crime has been committed even though, after
entering the house, the accused abandons his
intent to commit the designated felony.
Consequently, the felonious intent required as
an element of burglary cannot be equated with
the commission of the underlying felony. If a
burglar after breaking and entering proceeds
to commit the underlying felony inside the
dwelling, he can be convicted of both crimes.
Id. at 564, 264 S.E.2d at 75 (citations omitted);
see also State v.Dammons, 293 N.C. 263, 275-76, 237 S.E.2d 834, 842-43 (197
7)
(upholding convictions for both kidnapping with intent to assault
and felonious assault). Thus, the attempted robbery offense here
was not committed until defendant took some further action apart
from the alleged burglary. Because the crimes of attempted armed
robbery and burglary were thus separate offenses, the former did
not merge into the latter. We therefore uphold defendant's
conviction for attempted armed robbery.
II. Defendant's Burglary Conviction
[4]Next we consider defendant's conviction for first-degree
burglary. Defendant argues that there was insufficient evidence as
to this charge. "In ruling upon defendant['s] motion to dismiss on
the grounds of insufficient evidence, the trial court is required
to interpret the evidence in the light most favorable to the State,
drawing all inferences in the State's favor."
State v. Cox, 303
N.C. 75, 87, 277 S.E.2d 376, 384 (1981). To withstand this motion,
the State must have presented substantial evidence of defendant's
guilt as to each element of the offense charged.
Id. The elements
of first-degree burglary are five-fold: (1) breaking and
entering
(2) at night (3) into the dwelling of another (4) that is occupied
at that time (5) with the intent to commit a felony therein.
State
v. Simpson, 303 N.C. 439, 449, 279 S.E.2d 542, 548 (1981). We
conclude there was insufficient evidence of a breaking here and
therefore vacate his conviction with respect to first-degree
burglary.
A breaking is defined as any act of force, however slight,"'employed to effect an entrance through any usual o
r unusual place
of ingress, whether open, partly open, or closed.'"
State v.
Wilson, 289 N.C. 531, 539, 223 S.E.2d 311, 316 (1976) (quoting 13
Am. Jur. 2d
Burglary § 8 (1964)). The place of ingress may be an
exterior door or an interior door.
State v. Freeman, 313 N.C. 539,
549, 330 S.E.2d 465, 474 (1985). Generally speaking, the breaking
may be actual or constructive.
State v. Helton, 79 N.C. App. 566,
568, 339 S.E.2d 814, 816 (1986). A constructive breaking is
defined as one in which "the opening is made by a person other than
the defendant, if that person is acting at the direction of, or in
concert with, the defendant."
Id. Here, the evidence showed that
defendant was one of several individuals involved in the alleged
burglary, thereby warranting a jury instruction on constructive
breaking or acting in concert.
See State v. Mitchell, 24 N.C. App.
484, 486, 211 S.E.2d 645, 647 (1975) ("If the defendant is present
with another and with a common purpose does some act which forms
part of the offense charged, the judge must explain and apply the
law of 'acting in concert.'")
However, here, the trial judge did not instruct the jury as to
acting in concert; he only instructed them under a theory of actual
breaking. When no such instruction is submitted to the jury, a
defendant may not be convicted under a theory of constructive
breaking.
Helton, 79 N.C. App. at 568, 339 S.E.2d at 816
.
Instead, the State is required to prove that the defendant
personally committed the breaking.
Id.;
see also State v. McCoy,
79 N.C. App. 273, 274, 339 S.E.2d 419, 420 (1986) ("The courtfailed to instruct on acting in concert. Accordingly, defendant's
conviction may be upheld only if the evidence supports a finding
that he personally committed each element of the offense."). Even
so, the State still contends that the evidence, when viewed in the
light most favorable to the State, was sufficient to show defendant
personally broke into one of the exterior or interior doors of the
house. We disagree.
The only evidence with regard to the alleged burglary came
from two sources: (1) defendant's own confession, as read into
evidence by Officer Vann Shaw, Jr., and (2) the testimony of Sherry
Atwell, the owner of the house and daughter of the victim in this
case. Defendant's confession read as follows:
We walked up behind the house beside the
graveyard and came up behind the house. We
stood at the door and somebody turned the
doorknob, but I don't remember who it was.
Lawrence kicked the door twice, and it opened
up. Everybody went in and I was the third or
fourth one in the house. . . .
I stood at the back of the house with the
shotgun. I saw the bed was broke. I heard
the door knob turn on the bathroom door. I
didn't know who was in there or if they had a
gun. I don't remember anybody saying
anything. I was saying, "Get down. Get
down." I was motioning with the gun when I
was saying this. The second time I said that,
the gun went off. That's when I heard the gun
go off. That's when I saw the lady fall to
the floor.
Lawrence was standing beside me, next to
the back door. Lawrence had opened the closet
door and was looking for the safe.
(1 Tr. at 163.) This confession nowhere includes an admission by
defendant that he broke down or otherwise opened any of the
exterior or interior doors. Nonetheless, the State argues, becausedefendant was the individual carrying the shotgun, this confession
establishes that defendant was the "strong man" of the operation.
As such, the State contends the jury could have reasonably
concluded that he was the one who broke down the outside door,
notwithstanding the fact that his confession stated otherwise. We
reject this argument. The State's theory asks us to adopt portions
of defendant's confession but reject other parts and substitute
inferences. We cannot do this in the absence of any evidence
tending to support the inference that defendant was the one who
knocked down the door.
The State also maintains that the testimony of Sherry Atwell
established defendant committed a breaking. Ms. Atwell testified
that she was hiding in her bedroom at the time of the alleged
burglary but still heard the events transpire. Specifically, Ms.
Atwell testified:
Q: And then what happened, ma'am?
A: I heard in my mot
her's room I heard them
say, I just heard one voice, he said,
"Open the door. Where's the safe?"
Q: And you heard tha
t voice earlier in this
series of events?
A: Yes.
Q: And what had you
heard that same voice
say earlier?
A: "Where's the safe?"
Q: So it was the same voice both times?
A: Yes.
. . . .
Q:  
;And then you heard that person say what
about the door?
A: "Open the do
or. Where's the safe?" Then
I heard a sound. Sounded like a shot.
Q: . . . What was th
e time period between
that, "Open the door. Where's the safe?"
and when you heard the shot? What was
the time span, if you know?
A: A couple of minutes.
&
nbsp; . . . .
Q:  
;What was it you heard right before your
mother was shot?
A: "No."
(1 Tr. at 55-58.) The State offers the following theory to suggest
this testimony establishes that defendant committed a breaking:
The individual who said "Open the door. Where's the safe?" was
speaking to the victim, Ms. Isom, at the time. By commanding her
to open the door (presumably the closet door, behind which the safe
was thought to be), that individual committed a constructive
breaking. The State then contends that defendant was the one who
issued that command, because the gunshot came shortly after this
command and defendant had the shotgun.
This theory fails for two reasons. First, it makes several
unwarranted, or at best, tenuous, assumptions. For instance, it
automatically assumes that the words "Open the door. Where's the
safe?" were being uttered to Ms. Isom and not to one of defendant's
cohorts. It also assumes that the person issuing the command was
necessarily the same person who shot Ms. Isom, a weak assumption
considering "[a] couple of minutes" elapsed between the time of the
command and the gunshot. Second, and more important, the State's
theory fails because it is a theory of constructive breaking, not
actual breaking, because it requires the assumption that defendant
forced Ms. Isom to open the closet door. As stated earlier, a
defendant may not be convicted of burglary under a constructive
breaking theory unless an instruction to that effect is given, and
no such instruction was given here.
We therefore conclude that the State presented insufficientevidence of an actual breaking to withstand defendant's
motion to
dismiss. See also Helton, 79 N.C. at 567, 339 S.E.2d at 815
(dismissing burglary charge where evidence showed defendant's
cohort broke down the door, defendant and his cohort went back and
forth through the broken door, but "there was no evidence as to who
opened the door on the subsequent occasions . . ., or as to whether
the door had even been closed between entries"); McCoy, 79 N.C.
App. at 275, 339 S.E.2d at 421 (dismissing burglary charge where
evidence showed window screen had been removed but there was no
specific evidence establishing that defendant, as opposed to his
cohort, had been the one to remove it). Defendant's first-degree
burglary conviction is hereby vacated. In light of our
disposition, we need not address defendant's remaining arguments on
appeal relative to the burglary conviction.
III. Defendant's Felony Murder Conviction
[5]Next, we must address the affect of this disposition on
defendant's felony murder conviction, since the now-vacated
burglary charge served as the only underlying felony for purposes
of his felony murder charge. Our research has disclosed no cases
in North Carolina or elsewhere involving this precise issue. The
State argues the felony murder conviction should be upheld because
a lesser-included felony of burglary can be substituted to meet the
predicate felony requirement. Defendant, on the other hand,
contends the conviction must be vacated, because there was
insufficient evidence of one of the elements, namely the predicate
felony. We find both positions unpersuasive. When there is insufficient evidence of an actual breaking for
purposes of burglary, a jury's conviction for burglary can
automatically be reduced to one for the lesser-included offense of
felonious breaking or entering, which only requires proof of a
breaking
or an entering, not both.
See, e.g.,
Helton, 79 N.C. App.
at 569, 339 S.E.2d at 816 ("Since there was insufficient evidence
from which the jury could find that defendant committed an actual
breaking under the court's instructions, the verdicts returned by
the jury must be considered verdicts of guilty of felonious
breaking or entering.") Furthermore, felonious breaking or
entering can serve as an underlying felony for purposes of felony
murder, so long as it was done with the use of a deadly weapon.
N.C. Gen. Stat. § 14-17 (1999). Because the jury, in essence, did
find defendant guilty of felonious breaking or entering, and
because, in finding defendant guilty of attempted armed robbery
with a dangerous weapon, the jury necessarily concluded that
defendant was using a deadly weapon, the State contends felonious
breaking or entering can substitute for burglary as the predicate
felony, thereby preserving defendant's conviction for felony
murder. We disagree.
"The Due Process Clause of the United States Constitution
requires that the sufficiency of the evidence to support a
conviction be reviewed
with respect to the theory of guilt upon
which the jury was instructed."
State v. Wilson, 345 N.C. 119,
123, 478 S.E.2d 507, 511 (1996) (emphasis added) (citing
Presnell
v. Georgia, 439 U.S. 14, 16, 58 L. Ed. 2d 207, 211 (1978)). Byadopting the State's argument, we would be upholding defendant's
conviction for felony murder on a theory never submitted to the
jury. The fact that this theory is a lesser-included offense of
the theory that was submitted to the jury in no way entitles us to
circumvent the Due Process Clause. We cannot uphold defendant's
conviction for felony murder when the underlying felony now relied
upon by the State was never submitted to the jury for
consideration.
Defendant's position is equally unavailing. He argues the
felony murder conviction must be vacated altogether because there
was insufficient evidence of the underlying felony of burglary.
However, there was sufficient evidence of a lesser-included felony.
Had the trial judge dismissed the burglary offense at the
conclusion of the State's case, the State would have then been able
to submit to the jury the lesser-included offense of felonious
breaking or entering as the predicate felony for felony murder.
Because the trial court erroneously refused to dismiss the burglary
charges, the State never had that opportunity.
Accordingly, we believe justice requires that defendant
receive a new trial as to the offense of felony murder, with the
limitation that
only felonious breaking or entering may serve as
the underlying felony on re-trial, since we have found no error in
the attempted robbery conviction. Upholding defendant's conviction
here would force us to play fast and loose with the Due Process
Clause. Instead, granting a new trial places the State and
defendant in the place in which they would have been had the trialjudge properly dismissed the burglary charge.
[6]Although we have granted defendant a new trial as to the
charge of felony murder, we address one additional argument by
defendant that may come up on re-trial. Defendant contends the
trial court should have submitted either second-degree murder or
involuntary manslaughter, or both, for the jury's consideration.
"[W]here the law and the evidence justify the use of the felony
murder rule, the State is not required to prove premeditation and
deliberation, and neither is the court required to submit the
offenses of second-degree murder or manslaughter unless there is
evidence to support it."
Rinck, 303 N.C. at 565, 280 S.E.2d at
923. Here, all the evidence showed that Ms. Isom was killed during
the perpetration of a felony, namely felonious breaking or
entering. Even if defendant did not intend to kill Ms. Isom, or
the gun went off accidentally (as defendant claims), this is
irrelevant for purposes of felony murder.
Thompson, 280 N.C. at
213, 185 S.E.2d at 673. Accordingly, the trial court was not
required to submit second-degree murder or involuntary manslaughter
for the jury's consideration.
See also State v. Quick, 329 N.C. 1,
28-29, 405 S.E.2d 179, 195-96 (1991) (holding that the trial judge
was not required to instruct on second-degree murder because all
the evidence showed the killing happened during the commission of
a robbery);
State v. Covington, 290 N.C. 313, 226, 346 S.E.2d 629,
651 (1976) (holding that the trial judge was not required to submit
lesser-included offenses for the jury's consideration when all the
evidence reflected the killing occurred during the perpetration ofan armed robbery).
We uphold defendant's conviction of attempted armed robbery
with a dangerous weapon, but vacate his conviction of first-degree
burglary. As to the offense of felony murder, we grant defendant
a new trial, but limit the State solely to the use of felonious
breaking or entering as the predicate felony for that offense.
Although, as pointed out earlier, we could also remand for entry of
judgment as to felonious breaking or entering, we expressly decline
to do so here so that the State will not be barred by Double
Jeopardy principles from employing that theory on re-trial.
See
generally State v. Williams, 295 N.C. 655, 659, 249 S.E.2d 709, 713
(1978) ("[W]hen a criminal offense in its entirety is an essential
element of another offense a defendant may not be punished for both
offenses . . . .").
No error in part, vacated in part, and new trial in part.
Judges WALKER and HUNTER concur.
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