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**FINAL**
STATE OF NORTH CAROLINA v. FREDERICK L. WASHINGTON
No. COA99-1249
(Filed 29 December 2000)
1. Evidence--trajectory of bullet--cross-examination of lieutenant investigating scene of
crime--not expert testimony--not opinion testimony
The trial court did not abuse its discretion in a prosecution for first-degree murder, two
counts of attempted first-degree murder, and felonious assault by refusing to allow defense counsel
to cross-examine a lieutenant about the trajectory of a bullet fired from defendant's pistol because:
(1) the lieutenant's answers were not admissible under N.C.G.S. § 8C-1, Rule 702 based on the fact
that defendant did not attempt to qualify the lieutenant as an expert even though the trial court
advised defendant that the opinion may be considered if defendant provided a better foundation for
the witness's qualifications for giving such an opinion; (2) the lieutenant's answers were not
admissible under N.C.G.S. § 8C-1, Rule 701 based on the fact that defendant did not show that the
proffered opinion testimony was rationally based on the perception of the witness or that it would
be helpful to a determination of the distance between defendant and the victims at the time of the
shooting; and (3) the lieutenant did not observe the shooting but instead participated in the
subsequent investigation, meaning the jury had precisely the same information as the witness.
2. Witnesses--sequestration--no violation by witnesses traveling to and from court
together
The trial court did not abuse its discretion in a prosecution for first-degree murder, two
counts of attempted first-degree murder, and felonious assault by allowing two of the victims to
travel to and from court together while under a court order sequestering the State's witnesses,
because: (1) it appears from the transcript that the order only precludes the two victims from being
present while the other testifies; (2) defendant's written motion to sequester made no specific request
to prevent such contact, nor did the trial court prevent such travel; (3) the trial court instructed the
victim who had already testified not to discuss the case with the other victim who had yet to testify,
and the testifying victim agreed; (4) defendant did not object to the trial court's verbal instructions;
and (5) defendant offered no proof that the witnesses violated the trial court's order or verbal
instructions not to discuss the case.
3. Evidence--prior assaults on victim--admissible to show malice, premeditation,
deliberation, intent or ill-will--lack of mistake
The trial court did not abuse its discretion in a prosecution for first-degree murder, two
counts of attempted first-degree murder, and felonious assault by allowing the State to introduce
evidence through a witness that defendant had choked the murdered victim on an earlier occasion,
because: (1) a defendant's prior assaults on the victim, for whose murder defendant is presently
being tried, are admissible for the purpose of showing malice, premeditation, deliberation, intent or
ill-will; (2) the evidence was relevant to an issue other than defendant's character based on the fact
that defendant contended he shot this victim by mistake; and (3) the evidence was not unfairly
prejudicial under N.C.G.S. § 8C-1, Rule 403 when the trial court's procedure of conducting a voir
dire examination of the witness to determine the substance of her testimony demonstrated the trial
court conducted the balancing test under Rule 403.
4. Evidence--photograph of defendant taken shortly after arrest--relevant to theory of
self-defense--corroboration--no improper prejudice
The trial court did not abuse its discretion in a prosecution for first-degree murder, twocounts of attempted first
-degree murder, and felonious assault by admitting a photograph of
defendant taken shortly after his arrest even though defendant argues the photograph depicts him as
being mean, because: (1) the photograph was relevant to defendant's theory of self-defense to
demonstrate that defendant was neither injured or disheveled; (2) while defendant is unsmiling, he
does not appear either threatening or evil; (3) the photograph was admissible to corroborate the
testimony of a sergeant and a detective; and (4) defendant has failed to demonstrate any improper
prejudice resulting from admission of the photograph.
5. Constitutional Law--double jeopardy--charged with attempted murder and felonious
assault--no violation
Defendant's double jeopardy rights were not violated when the trial court submitted the
charges of attempted murder and felonious assault to the jury, because proof of a fact was necessary
for each conviction that was not necessary for the other.
6. Constitutional Law--double jeopardy--attempted murder--felonious assault--more than
one charge for same incident okay
Defendant's double jeopardy rights were not violated when the trial court charged both
felonious assault and attempted murder as to each victim even though defendant contends these
charges arose out of the same incident, because: (1) defendant has been charged with two separate
and distinct offenses which happen to grow out of the particular facts of this case; and (2) a
defendant may be charged with more than one offense based on a given course of conduct.
7. Homicide; Assault--attempted murder--felonious assault--motion to dismiss
The trial court did not err by denying defendant' motion to dismiss the felonious assault and
attempted murder charges even though defendant contends both charges were predicated on the same
evidence, because: (1) a defendant may be charged with more than one offense based on the same
course of conduct; and (2) the record reveals that there was substantial evidence against defendant
of every essential element of felonious assault and attempted murder.
8. Criminal Law--prosecutor's argument--defendant's failure to claim self-defense or
accident prior to trial
The trial court did not err by failing to intervene ex mero motu during the State's closing
argument using defendant's pretrial silence to show that defendant failed to claim self-defense or
accident prior to trial, because: (1) defendant made numerous spontaneous statements to
investigators acknowledging that he was in trouble prior to trial, and it would have been natural for
defendant to have added that he shot two of the victims in self-defense and a third victim by
accident; (2) defendant's pretrial silence was evidence of an inconsistent statement since defendant
had the opportunity during his trial testimony to justify his failure to claim self-defense earlier; and
(3) even though it was unclear at what point defendant was given his Miranda warnings, it was
defendant's burden to establish when he was given Miranda warnings and he could have done so
during his testimony or through cross-examination of various witnesses.
9. Constitutional Law--effective assistance of counsel--failure to object to portions of
State's closing argument
A defendant was not deprived of his right to effective assistance of counsel in a prosecution
for first-degree murder, two counts of attempted first-degree murder, and felonious assault based on
defense counsel's failure to object to portions of the State's closing argument referencing defendant's
failure to claim self-defense to investigators at the time of the offense, because: (1) there is no
reasonable probability that defense counsel's failure to object affected the outcome of the trial; (2)the evidence of defendant's guilt was
more than substantial; and (3) the State's evidence refuted
defendant's testimony that he fired at two of the victims only after they charged at him.
10. Criminal Law--bailiff entered jury room during deliberations--court's failure to
declare mistrial sua sponte not error
The trial court did not abuse its discretion in a prosecution for first-degree murder, two
counts of attempted first-degree murder, and felonious assault by failing to declare a mistrial under
N.C.G.S. § 15A-1061 sua sponte after a bailiff entered the jury room during deliberations, because:
(1) when the intrusion by the bailiff became known by the trial court, the judge put the bailiff under
oath and determined the bailiff had knocked on the door of the jury room without the authorization
of the court to retrieve some magazines for defendant at the request of another bailiff, that the bailiff
said nothing to the jurors and the jurors said nothing to him, and that the bailiff heard no
deliberations and had no other contact with the jurors; and (2) neither the State nor defendant
accepted the court's invitation to make further inquiry of the bailiff, and defendant did not then seek
a mistrial.
Appeal by defendant from judgments entered 14 December 1998 by
Judge Carl L. Tilghman in Carteret County Superior Court. Heard in
the Court of Appeals 19 September 2000.
Michael F. Easley, Attorney General, by A. Danielle Marquis,
Special Deputy Attorney General, for the State.
McCotter, McAfee & Ashton, PLLC, by Rudolph A. Ashton, III,
and Kirby H. Smith, III, for defendant-appellant.
EDMUNDS, Judge.
Defendant appeals from his convictions for first-degree
murder, two counts of attempted first-degree murder, and felonious
assault. We find no error.
The State's evidence tended to show that Eugene Holiday
(Holiday), a United States Marine Corps Sergeant, met Zesthima
Reels (Reels) in November or December 1996. He visited Reels at
her residence on eight to nine occasions prior to her death.
Although Holiday testified that initially there were some romantic
feelings between the two, the relationship turned platonic after he
learned of Reels' age.
Holiday began receiving telephone calls at his home and office
from an unidentified caller in July 1997, and on 16 July 1997,
Holiday received a message that a man by the name of Mr.
Washington called him at work. Holiday did not know anyone by
this name. Reels telephoned Holiday on the same day and asked if
he had been receiving calls from anyone. When Holiday responded
that he had received a telephone call from a Mr. Washington,
Reels said that the man calling was Pedro (hereinafter defendant)
and that Pedro had stolen her purse and taken Holiday's telephone
number.
After this conversation, Holiday went to football practice,
and upon returning to his barracks, he discovered that he had
another message on his answering machine from an unidentified
caller. Holiday called Reels and asked to speak with defendant.
After some hesitation, Reels eventually put defendant on the
telephone, and Holiday told him, We need to go ahead and get
together and talk. I don't understand why you are calling me
. . . . Defendant responded, Sure, come on down. Holiday
testified that defendant did not seem angry or upset; however, he
thought that defendant suspected him of being involved with Reels
and agreed to meet defendant because he wanted defendant to hear in
person that his interest in Reels was not romantic.
Holiday approached Gregory Williams (Williams), another Marine
Sergeant, and told him that he was getting a phone call from
[defendant] at work and [defendant was] leaving messages on his
answering machine saying that he needed to stay away from his
girlfriend. Williams agreed to accompany Holiday to seedefendant. Neither Holiday nor Williams carried a weapon.
Upon entering Reels' residence, Holiday and defendant shook
hands. Although defendant did not at first appear to be upset, an
argument quickly ensued between the two men. Holiday testified
that when Reels tried to leave the room during the argument,
defendant grabbed her shirt and began choking her. Williams
provided similar testimony, although he did not state that
defendant choked Reels. Reels then attempted to call the police,
and defendant pointed a gun at her head. Williams tried to push
Holiday out of the residence, but Holiday feared that he would be
shot if he turned his back to defendant. The argument between
defendant and Holiday escalated. Defendant shot Holiday in the
arm, and Holiday ran out of the residence. Williams testified that
he then said, What the f---?, at which point defendant shot him
in the chest, shot Reels, then shot Williams again, hitting him in
his arm and nose. Williams fell to the floor. He heard defendant
call the police and state that he had just shot two people.
Holiday corroborated Williams by testifying that after he ran
out of Reels' residence, he heard Williams say, What the f---?
followed by three shots. He ran to a neighbor's residence and
asked them to call the police. When he saw defendant open the door
to Reels' residence, he ran to a local movie theater where he
called the police himself.
Morehead City Police Officer Kelly Guthrie (Officer Guthrie)
was the first to arrive at the scene. Holiday told her that he had
been shot and that a friend who had also been shot was still in the
residence. Officer Guthrie handcuffed defendant, who wascooperative. She secured the crime scene and observed that Reels
had been fatally wounded. Officer Guthrie interviewed both Holiday
and Williams at the hospital within hours of the shootings. Police
Sergeant Donald Miller (Sergeant Miller) arrived at the scene
shortly after Officer Guthrie. While transporting defendant to the
Morehead City Police Department, defendant spontaneously told
Sergeant Miller, I have never been [in] this [much] trouble before
but I guess I'm really in a lot of trouble now. Defendant
repeated this statement three more times after he arrived at the
police department. In addition, defendant inquired as to the
extent of injuries suffered by the parties while in route to the
police department and again inquired as to the extent of injuries
two or three times at the police department. Sergeant Miller
photographed defendant at the police department and testified that
defendant did not have any physical injuries and that his clothing
was not damaged. Detective Mike Arter (Detective Arter) also
testified that defendant made the following spontaneous statements:
(1) I know I broke the law. You are not going to get any more
trouble out of me; and (2) I have never been in trouble in my
life, but I am certainly in a lot of trouble now. Both statements
were made after defendant was taken to an interview room at the
police department, and the second statement was repeated by
defendant several times. In addition, Detective Arter testified as
to the photograph Sergeant Miller took of defendant at the police
department and confirmed that defendant did not have injuries and
that his clothes were not torn.
Police Lieutenant Steve Sanders (Lieutenant Sanders)investigated the crime scene, where he found defendant's weapon
in
the front yard and four shell casings in Reels' residence. He
interviewed Holiday on 17 July 1997 and Williams on 21 July 1997.
Lieutenant Sanders testified that Williams' statement was
substantially similar to his testimony in court. On cross-
examination, the court sustained the State's objection to a
hypothetical question posed by defendant regarding the trajectory
of a bullet.
Dr. Paul Martinez, a medical examiner for Carteret County and
an emergency room physician for Carteret General Hospital, was
tendered as an expert in emergency room practice. He treated
Williams shortly after the shooting and testified that he did not
observe any gunshot residue on Williams' or Reels' entrance wounds.
A blood alcohol test of both Williams and Reels revealed no
presence of alcohol or drugs. Ronald Marrs, a special agent with
the State Bureau of Investigation, was tendered as an expert in the
field of firearms examination. He examined the weapon, four shell
casings, and two bullets retrieved from the crime scene. He
concluded that it took more than eleven and a half pounds for the
pistol to fire and that the trigger had to be pulled separately for
each firing. He further testified that the pistol would not leave
gunshot residue at distances of four feet or greater and that no
such residue was found on Williams' or Holiday's shirts.
Jacqueline Washington, defendant's first cousin and a long-time
friend of Reels, testified over objection that in January 1997 she
witnessed defendant choking Reels. Paula Clearwater, a daycare
center employee who worked with Reels, testified as to the victim'sgood character. Finally, the 911 audio tape was played for the
jury.
Eight witnesses testified for defendant. Rosa Langdon, a
friend and former guidance counselor of defendant, and Reverend
Shadrach Hugh Barrow, III testified as to defendant's good
character, reputation and veracity. Joseph Washington, Jr.,
defendant's first cousin and an officer with the Beaufort Police
Department, and Martin Jones, a friend of defendant and a shift
supervisor at the Carteret County Jail, testified as to defendant's
appearance after the shootings. Martin Jones stated that defendant
was quiet and that he cried when talking with his mother. Joseph
Washington stated that defendant seemed upset, sort of in a fog,
remorseful and sincere. John Cole, an emergency medical technician
with the Department of Emergency Medical Services for Morehead
City, and Officer Guthrie, who was recalled by defendant, testified
as to inconsistencies and contradictions in Williams' and Holiday's
testimony. Specifically, John Cole stated that at the scene of the
crime Williams told him that he fell to the floor after the first
bullet hit him. Officer Guthrie similarly testified that when she
interviewed Williams at the hospital, he told her that he fell
after the first bullet hit his chest; in addition, he did not
mention defendant choking the victim or pointing a gun to the
victim's head. Officer Guthrie also stated that when she spoke
with Holiday, he did not tell her anything about defendant choking
the victim.
Finally, defendant testified in his own behalf. He stated
that he began dating Reels in November 1996. On 4 July 1997, heaccidently found Reels' scheduling book and saw Holiday's telephone
number. He called Holiday the next morning but did not speak with
him. He did not have any further contact with Holiday until 16
July 1997, when he overheard Reels having a telephone conversation
with Holiday. At this time, Reels told defendant that Holiday
wanted to speak with him and was going to call back in five
minutes. When Holiday called, defendant told him, I just wanted
to know why you keep calling over here having someone to drop you
off. You are giving [Reels] flowers when she kick you to the curb
for me. Holiday responded, I will be over there in 15 minutes.
Defendant testified that Holiday became aggressive as soon as
he arrived at Reels' home, repeatedly telling defendant that he
wanted to take him outside and beat him up. Defendant stated that
he unholstered his gun because he feared Holiday and Williams, who
were young and physically fit, while he had a bad back. Williams
tried to persuade Holiday to leave, and Reels also tried to push
Holiday and Williams out of her home. When Holiday and Williams
charged him, he began firing. Holiday fell first, followed by
Williams. Defendant looked over the counter and could not see
Holiday. He felt something grab his arm, and accidentally shot
Reels. Defendant then called the police.
Defendant was arrested on 16 July 1997 and indicted on 4
August 1997 for the first-degree murder of Reels and for felonious
assaults on Williams and Holiday. On 2 February 1998, defendant
was also indicted for attempted murder of Williams and Holiday.
His trial began on 3 December 1998, and he was found guilty of all
charges on 11 December 1998. Thereafter, judgments and commitmentswere entered, and judgment was arrested for the felonious assault
charge of Holiday. Defendant appeals.
I.
[1]Defendant first assigns as error the trial court's refusal
to allow defense counsel to cross-examine Lieutenant Sanders about
the trajectory of a bullet fired from defendant's pistol. Rule 702
of the North Carolina Rules of Evidence controls the admissibility
of expert testimony:
If scientific, technical or other specialized
knowledge will assist the trier of fact to
understand the evidence or to determine a fact
in issue, a witness qualified as an expert by
knowledge, skill, experience, training, or
education, may testify thereto in the form of
an opinion.
N.C. Gen. Stat. § 8C-1, Rule 702(a) (1999). Testimony of a lay
witness, on the other hand, is limited to those opinions or
inferences which are (a) rationally based on the perception of the
witness and (b) helpful to a clear understanding of his testimony
or the determination of a fact in issue. N.C. Gen. Stat. § 8C-1,
Rule 701 (1999). A trial court has wide discretion in determining
whether expert testimony is admissible, and 'may be reversed for
an abuse of discretion only upon a showing that its ruling was so
arbitrary that it could not have been the result of a reasoned
decision.'
State v. Owen, 133 N.C. App. 543, 549, 516 S.E.2d 159,
164 (citations omitted),
disc. review denied, 351 N.C. 117, 540
S.E.2d 744 (1999). Similarly, whether a lay witness may testify as
to an opinion is reviewed for abuse of discretion.
See State v.
Wilson, 322 N.C. 117, 367 S.E.2d 589 (1988).
Lieutenant Sanders was neither tendered nor recognized as anexpert during defendant's trial. Rather, he testified
that he had
been employed with the Morehead City Police Department for eighteen
years, was currently serving as supervisor of the traffic division,
and had assisted in the investigation of the present case. Our
courts have previously found that it is not error to exclude a
witnesses' testimony where the witness was not tendered as an
expert. Specifically, in
State v. Shuford, 337 N.C. 641, 447
S.E.2d 742 (1994), our Supreme Court held that the trial court did
not err in denying a murder defendant's request to have an
ambulance driver give opinion testimony as to the distance from
which the victim was shot unless he was qualified as an expert.
Although the court indicated that it would allow the defendant to
attempt to qualify the driver as an expert, the defendant declined.
Accordingly, the court held:
Defendant made no showing that the proffered
opinion testimony was rationally based on the
perception of the witness or that it would be
helpful to a determination of the issue of the
distance from which the victim was shot. In
fact, as noted above, defense counsel candidly
admitted to the court that he knew nothing
about the witness' qualifications, except the
witness' place of employment and that he
signed the ambulance call report.
At oral argument, defendant acknowledged
that a layperson could provide this type of
opinion testimony if he was familiar with
guns and gunshot wounds. Yet, no such
information regarding the qualifications of
the witness to provide this opinion testimony
was presented to the trial court. Further,
defendant declined an invitation by the trial
court to locate the witness and obtain some
information that would support his
qualification to testify on this
subject. . . . [D]efendant certainly had the
opportunity to provide support for the witness
testifying as a lay witness or as an
expert. . . . Defendant has failed todemonstrate that the trial court abused its
discretion by refusing to admit this testimony
without some showing that the witness was
qualified to testify, either as a lay witness
or as an expert.
Id. at 649-50, 447 S.E.2d at 747.
Similarly, in the case at bar, defendant did not attempt to
qualify Lieutenant Sanders as an expert, even though the court
advised defendant in ruling on the State's objection that [a]t
this point I'm going to still sustain the objection. If you can
lay a better foundation to this witness's qualifications for giving
such an opinion I may reconsider it. Defendant made no further
effort to qualify the witness. Accordingly, the testimony was not
admissible under Rule 702.
As to defendant's argument that the investigator's answers
were admissible under Rule 701, defendant did not show that the
proffered opinion testimony was rationally based on the perception
of the witness or that it would be helpful to a determination of
the distance between defendant and the victims at the time of the
shooting. Lieutenant Sanders did not observe the shooting; instead
he participated in the subsequent investigation. Defendant's
questions sought an opinion about the path of a bullet premised
upon: (1) a diagram that was not to scale; and (2) a resolution of
conflicting testimony in defendant's favor. The jury had precisely
the same information as did the witness. Any lay opinion by an
investigator based upon such a problematic foundation would not
have been helpful to a determination of a fact in issue.
Accordingly, the trial court did not err in sustaining the State's
objection.
II.
[2]Defendant next argues that the trial court erred in
allowing Williams and Holiday to travel to and from court together
while under a court order sequestering the State's witnesses. On
3 September 1998, defendant filed a motion to sequester the
witnesses for the State and allow them to come into the courtroom
to testify as they are called to the witness stand. Although the
order granting defendant's motion is not included in the record on
appeal, both parties agree and the transcript reflects that the
motion was granted. It appears from the transcript that the order
only precludes Williams and Holiday from being present while the
other testifies.
However, after Williams had testified but before Holiday was
called as a witness, defendant became concerned that the two
witnesses would have contact with each other before Holiday would
testify. Defendant noted:
Judge, the defense has a concern an order has
been entered sequestering Gregory Williams and
Jonathan Holiday. Greg Williams has
testified. Have a weekend before us. I would
ask that the court order Gregory Williams not
to have any contact with Jonathan [Holiday].
After both witnesses stated that they traveled to court together
that day, the court denied defendant's request, but instructed
Williams:
THE COURT: Is there any response to the
sequestration by the defendant concerning
sequestration order Mr. Williams, or excuse
me, Sergeant Williams, I apologize, your
testimony in that of Sergeant Holiday is
subject to a sequestration order by the court
which means that during the trial of this case
neither of you are to discuss what your
testimony would be with the other. Do youunderstand what that means?
A: Yes, sir.
THE COURT: So that on your way home this
afternoon and throughout the weekend you are
not to discuss the substance of your testimony
here in court with Sergeant Holiday, and he is
not to discuss what he will testify to with
you. And probably the better practice is for
neither of you to talk about this case at all
during this weekend. You understand?
A: Yes, sir.
THE COURT: And will you comply with that
order of the court?
A: Yes, sir.
The reason behind sequestration is two-fold.
See State v.
Harrell, 67 N.C. App. 57, 64, 312 S.E.2d 230, 236 (1984).
Sequestration acts as a restraint on witnesses tailoring their
testimony to that of earlier witnesses, and it aids in detecting
testimony that is less than candid.
Id. (citing
Geders v. United
States, 425 U.S. 80, 47 L. Ed. 2d 592 (1976)). However,
[t]he separation of witnesses . . . is not
founded on the idea of keeping the witnesses
from intercourse with each other. That would
be a vain attempt. The expectation is not to
prevent the fabrication of false stories, but
by separate cross-examination to detect them.
State v. Jackson, 309 N.C. 26, 32, 305 S.E.2d 703, 709 (1983)
(citation omitted).
Although defendant argues that Williams and Holiday disobeyed
the court's order by traveling to and from court together,
defendant's written motion to sequester made no specific request to
prevent such contact. Nor did the court forbid such travel in
granting defendant's motion or in its verbal instructions. Rather,
the court instructed Williams, who had already testified, not todiscuss the case with Holiday, who had yet to testify, and Williams
agreed. The court's order and instructions were not an abuse of
discretion.
See State v. Young, 312 N.C. 669, 677, 325 S.E.2d 181,
186 (1985) (stating [a] motion to sequester witnesses is addressed
to the sound discretion of the trial judge and is not reviewable on
appeal absent a showing of an abuse of discretion). In addition,
defendant did not object to the trial court's verbal instructions.
See State v. Carson, 46 N.C. App. 99, 102, 264 S.E.2d 404, 406
(1980) (holding that defendant, by failing to object to the trial
court's failure to sequester witnesses, waived his right to raise
the propriety of the trial court's failure to order
sequestration).
Moreover, defendant offered no proof that the witnesses
violated the trial court's order or verbal instructions not to
discuss the case. Instead, defendant alleges only general
concerns, stating that the witnesses in all likelihood were
discussing the case and that it is foolhardy to believe that they
did not discuss the case. We decline to speculate that the
witnesses violated the court's order in the absence of any evidence
to the contrary. Accordingly, this assignment of error is
overruled.
III.
[3]Defendant also argues that the trial court erred by
allowing the State to introduce evidence through Jacqueline
Washington that defendant had choked the victim on an earlier
occasion. In the alternative, defendant argues that even if this
evidence were relevant, its probative value was substantiallyoutweighed by the danger of unfair prejudice.
This issue is governed by Rule 404(b) of the North Carolina
Rules of Evidence, which provides:
Evidence of other crimes, wrongs, or acts is
not admissible to prove the character of a
person in order to show that he acted in
conformity therewith. It may, however, be
admissible for other purposes, such as proof
of motive, opportunity, intent, preparation,
plan, knowledge, identity, or absence of
mistake, entrapment or accident.
N.C. Gen. Stat. § 8C-1, Rule 404(b) (1999). This rule is
a clear general rule of
inclusion of relevant
evidence of other crimes, wrongs or acts by a
defendant, subject to but
one exception
requiring its exclusion if its
only probative
value is to show that the defendant has the
propensity or disposition to commit an offense
of the nature of the crime charged.
State v. Coffey, 326 N.C. 268, 278-79, 389 S.E.2d 48, 54 (1990).
Moreover, this Court has consistently held that a defendant's
prior assaults on the victim, for whose murder defendant is
presently being tried, are admissible for the purpose of showing
malice, premeditation, deliberation, intent or ill will against the
victim.
State v. Alston, 341 N.C. 198, 229, 461 S.E.2d 687, 703
(1995) (citations omitted);
see also State v. Gary, 348 N.C. 510,
520, 501 S.E.2d 57, 64 (1998);
State v. Cox, 344 N.C. 184, 188, 472
S.E.2d 760, 762 (1996) (evidence of previous threats against victim
also admissible);
State v. Kyle, 333 N.C. 687, 697, 430 S.E.2d 412,
417 (1993).
In the case at bar, evidence of defendant's prior assault on
the victim tended to establish not only malice, intent,
premeditation and deliberation, all elements of first-degree
murder, but more importantly, it tended to establish ill-willagainst the victim and lack of accident. Because defendant
contended that he shot Reels by mistake, this evidence was relevant
to an issue other than defendant's character.
Next, we must determine if this relevant evidence was unfairly
prejudicial to defendant and inadmissible under Rule 403 of the
North Carolina Rules of Evidence. Rule 403 provides:
Although relevant, evidence may be
excluded if its probative value is
substantially outweighed by the danger of
unfair prejudice, confusion of the issues, or
misleading the jury, or by consideration of
undue delay, waste of time, or needless
presentation of cumulative evidence.
N.C. Gen. Stat. § 8C-1, Rule 403 (1999). Our courts have
previously held that [n]ecessarily, evidence which is probative in
the State's case will have a prejudicial effect on the defendant;
the question is one of degree.
State v. Weathers, 339 N.C. 441,
449, 451 S.E.2d 266, 270 (1994). Moreover, exclusion of evidence
under Rule 403 is a matter generally left to the sound discretion
of the trial court.
Alston, 341 N.C. at 229, 461 S.E.2d at 703
(citation omitted). Here, when defendant objected, the trial court
excused the jury, conducted a
voir dire examination of Jacqueline
Washington to determine the substance of her testimony, and then
considered arguments of counsel before overruling defendant and
permitting the jury to hear the testimony. Although the trial
court did not make a specific finding that the probative value of
the evidence outweighed its prejudicial effect, the procedure that
was followed demonstrated that the trial court conducted the
balancing test under Rule 403. We cannot say that the trial court
abused its discretion in admitting the evidence. Accordingly, thisassignment of error is overruled.
IV.
[4]Defendant next contends that the court erred in admitting
a photograph of him taken shortly after his arrest. The photograph
was introduced during the testimony of Sergeant Miller and
Detective Arter, and the State thereafter moved to publish the
photograph to the jury. Defendant objected, arguing that the
photograph only illustrated his facial features and showed that he
looked like a mean kind of fellow. The court overruled
defendant's objection, noting that the photograph demonstrated that
defendant was neither injured or disheveled, which was relevant to
his theory of self-defense discussed in his opening statement.
The admissibility of photographs is governed by Rule 403 of
the North Carolina Rules of Evidence, and whether a photograph is
more probative than prejudicial is a matter within the discretion
of the trial court.
See State v. Hennis, 323 N.C. 279, 285, 372
S.E.2d 523, 527 (1988). Defendant argues that the photograph
depicted him as mean and that as a result the jury may have been
predisposed to discount his later testimony. However, we have
examined the photograph in question and observe that, while
defendant is unsmiling, he does not appear either threatening or
evil. Moreover, the court allowed the introduction of defendant's
photograph into evidence to corroborate the testimony of Sergeant
Miller and Detective Arter. Defendant has failed to demonstrate
any improper prejudice resulting from admission of the photograph.
In light of the forecast of a self-defense argument, we hold that
the trial court did not abuse its discretion in admitting thephotograph taken of defendant at the police station. This
assignment of error is overruled.
V.
[5]Defendant next raises several related assignments of error
pertaining to the court's submission of two counts of attempted
murder and two counts of felonious assault to the jury, contending
that these charges as to both Williams and Holiday arose out of a
single incident and are duplicative. Accordingly, defendant
contends that his constitutional right to be free from double
jeopardy has been violated, tainting the entire trial.
We first address defendant's contention that the offenses of
attempted murder and felonious assault are duplicitous. The Double
Jeopardy Clause of the Fifth Amendment to the United States
Constitution protects against multiple punishments for the same
offense.
See U.S. Const. amend. V. The North Carolina
Constitution provides similar protection.
See N.C. Const. art. I,
§ 19. However, double jeopardy does not occur unless the evidence
required to support the two convictions is identical.
State v.
Murray, 310 N.C. 541, 548, 313 S.E.2d 523, 529 (1984),
overruled on
other grounds by State v. White, 322 N.C. 506, 369 S.E.2d 813
(1988). Where 'proof of an additional fact is required for each
conviction which is not required for the other, even though some of
the same acts must be proved in the trial of each, the offenses are
not the same.'
State v. Fernandez, 346 N.C. 1, 19, 484 S.E.2d
350, 361 (1997) (citation omitted).
Our Supreme Court recently analyzed the elements of both
attempted murder and felonious assault and held that [b]ecauseassault with a deadly weapon with intent to kill requires proof of
an element not required for attempted murder -- use of a deadly
weapon -- it is not a lesser-included offense of attempted murder.
State v. Coble, 351 N.C. 448, 453, 527 S.E.2d 45, 49 (2000)
(citation omitted). Similarly, malice is an element of attempted
murder but not of felonious assault with a deadly weapon with
intent to kill.
See State v. Hall, 59 N.C. App. 567, 297 S.E.2d
614 (1982). Because proof of a fact was necessary for each
conviction that was not necessary for the other, defendant was
charged with two separate and distinct offenses. Accordingly, he
was not subjected to double jeopardy.
[6]Defendant next argues that charging both felonious assault
and attempted murder as to each victim was error because these
charges arose out of the same incident. Defendant cites
State v.
Dilldine, 22 N.C. App. 229, 206 S.E.2d 364 (1974), in which the
defendant shot the victim three times in the front and twice in the
back. The defendant was charged with one count of felonious
assault with intent to kill for the three bullets in front and
another count of felonious assault with intent to kill for the two
bullets in back. This Court held that [i]t was improper to have
two bills of indictment and two offenses growing out of this one
episode.
Id. at 231, 206 S.E.2d at 366.
However, the Supreme Court later distinguished
Dilldine in
State v. Ward, 301 N.C. 469, 272 S.E.2d 84 (1980), noting that:
Defendant's reliance on
Dilldine is misplaced.
There, the defendant was charged on two counts
of the
same offense, felonious assault with
intent to kill, on the basis of what can only
be characterized as one assault, or one
continuous transaction. In the case at bar,defendant has been charged with two separate
and distinct offenses which happen to grow out
of the particular facts of this case. It is
elementary that a defendant may be charged
with more than one offense based on a given
course of conduct.
Id. at 475-76, 272 S.E.2d at 88 (citation omitted). Likewise, in
the case at bar, defendant was properly charged with two separate
and distinct offenses as to each victim, felonious assault and
attempted murder, even though the offenses both arose out of a
single course of conduct.
[7]Defendant also makes the related argument that the trial
court erred in denying his motion to dismiss the felonious assault
and attempted murder charges, because both charges were predicated
on the same evidence. However, as discussed above, a defendant may
be charged with more than one offense based on the same course of
conduct. Moreover,
[i]n ruling upon defendants' motion to
dismiss, the trial court is required to
interpret the evidence in the light most
favorable to the State, drawing all reasonable
inferences in the State's favor. The
defendants' motion must be denied if the State
has offered substantial evidence against
defendant of every essential element of the
crime charged. Substantial evidence is
defined as that amount of relevant evidence
that a reasonable mind might accept as
adequate to support a conclusion. The test of
the sufficiency of evidence to withstand
dismissal is the same whether the State's
evidence is direct, circumstantial, or a
combination of the two.
State v. Porter, 303 N.C. 680, 685-86, 281 S.E.2d 377, 381-82
(1981) (internal citations omitted). The record reveals that there
was substantial evidence against defendant of every essential
element of felonious assault and attempted murder. Therefore,these assignments of error are overruled.
VI.
[8]Defendant next argues that in the State's closing
argument, the State improperly called the jury's attention to his
failure to claim self-defense or accident prior to trial. Examples
of the prosecutor's argument include the following:
The defendant had the opportunity to sit in
this courtroom all week, hear what all of the
State's witnesses said, and then and only
then, did he first reveal to you his version
of what happened that night.
But what did the defendant have to say that
night? Did he ever say to the police: I
didn't have a choice. I shot them in self-
defense.
When was the first time he said it? After he
heard all of the State's evidence from that
witness stand. So, let's compare statements
with testimony, let's compare Mr. Washington's
statement the night of the shooting and Mr.
Williams and Holiday's statement the night of
the shooting to the testimony in the
courtroom. No self-defense that night. No
they were rushing him and I know I broke the
law. You won't have anymore trouble out of
me. If it would have happened the way he says
it happened, he would have been breaking the
door down to tell somebody that he shot
[Reels] accidently; that they were rushing him
and it was self-defense.
Defendant did not object to these and other similar arguments
made by the State. Accordingly,
[t]he standard of review when a defendant
fails to object at trial is whether the
argument complained of was so grossly improper
that the trial court erred in failing to
intervene
ex mero motu. '[T]he impropriety
of the argument must be gross indeed in order
for this Court to hold that a trial judge
abused his discretion in not recognizing and
correcting
ex mero motu an argument which
defense counsel apparently did not believe was
prejudicial when he heard it.'
State v. Trull, 349 N.C. 428, 451, 509 S.E.2d 178, 193 (1998)
(citations omitted),
cert. denied, 528 U.S. 835, 145 L. Ed. 2d 80
(1999);
see also State v. McNeil, 350 N.C. 657, 684, 518 S.E.2d
486, 503 (1999) (noting that the argument must stray[] so far from
the bounds of propriety as to impede defendant's right to a fair
trial before a trial court will be required to intervene),
cert.
denied, 529 U.S. 1024, 146 L. Ed. 2d 321 (2000);
State v. Davis,
349 N.C. 1, 23, 506 S.E.2d 455, 467 (1998) (stating that defendant
must show that the prosecutor's comments so infected the trial with
unfairness that they rendered the conviction fundamentally
unfair),
cert. denied, 526 U.S. 1161, 144 L. Ed. 2d 219 (1999).
Moreover, [a]rguments of counsel are left largely to the control
and discretion of the trial judge, and counsel is allowed wide
latitude in the argument of hotly contested cases.
Davis, 349
N.C. at 22, 506 S.E.2d at 466-67 (citation omitted). In
determining whether [an argument] was grossly improper, we must
examine the context in which it was given and the circumstances to
which it refers.
Trull, 349 N.C. at 451, 509 S.E.2d at 193
(citations omitted).
A defendant's exercise of his right to remain silent is
guaranteed by Article I, Section 23 of the North Carolina
Constitution and by the Fifth and Fourteenth Amendments to the
Constitution of the United States.
See Doyle v. Ohio, 426 U.S.
610, 49 L. Ed. 2d 91 (1976). Accordingly, we will analyze
defendant's argument under both the Fifth and Fourteenth
Amendments. We first address whether defendant's rights were
violated by use of his pre-arrest silence for impeachment purposes.
A. Pre-Arrest Silence
In
Doyle, the United States Supreme Court held that it is a
violation of a defendant's right under the Due Process Clause to
use his silence for impeachment purposes after he has been advised
of his rights pursuant to
Miranda v. Arizona, 384 U.S. 436, 16 L.
Ed. 2d 694 (1966). Subsequent decisions by the Court, however,
have placed limitations on
Doyle. For instance, in
Jenkins v.
Anderson, 447 U.S. 231, 65 L. Ed. 2d 86 (1980), the Supreme Court
held that the use of a defendant's pre-arrest silence to impeach
his credibility on cross-examination does not violate the Fifth or
Fourteenth Amendments.
In the present case, defendant acknowledges in his appellate
brief that it is unclear when he was read his
Miranda rights.
There is no evidence that defendant had been read his
Miranda
rights at the time of his pre-arrest silence and inaction referred
to by the State in closing arguments. Instead, it appears that
defendant was arrested at the scene of the crime and then given
Miranda warnings sometime later at the police station.
Consequently, defendant's federal constitutional rights were not
violated by the use of his pre-arrest silence regarding self-
defense and accident.
However, the analysis does not end here. Indeed, in
Jenkins,
the Supreme Court stated:
Common law traditionally has allowed witnesses
to be impeached by their previous failure to
state a fact in circumstances in which that
fact naturally would have been asserted. Each
jurisdiction may formulate its own rules of
evidence to determine when prior silence is so
inconsistent with present statements that
impeachment by reference to such silence isprobative.
Id. at 239, 65 L. Ed. 2d at 95 (citations omitted). Accordingly,
we look to the North Carolina Supreme Court's opinion in
State v.
Lane, 301 N.C. 382, 271 S.E.2d 273 (1980) to analyze defendant's
contention that his rights were violated by the use of any pre-
arrest silence in accordance with the rules of evidence formulated
by our jurisdiction.
See State v. Westbrooks, 345 N.C. 43, 64, 478
S.E.2d 483, 496 (1996). In
Lane, the Supreme Court stated:
Prior statements of a witness which are
inconsistent with his present testimony are
not admissible as substantive evidence because
of their hearsay nature. Even so, such prior
inconsistent statements are admissible for the
purpose of impeachment. . . .
'. . . [I]f the former statement fails to
mention a material circumstance presently
testified to,
which it would have been natural
to mention in the prior statement, the prior
statement is sufficiently inconsistent.'
Id. at 386, 271 S.E.2d at 276 (internal citation omitted).
In the present case, defendant made a number of spontaneous
statements to investigators acknowledging that he was in trouble.
It would have been natural for defendant to have added that he shot
Williams and Holiday in self-defense and Reels by accident.
Although defendant agrees with this analysis, he argues that it is
not applicable to his case because the State never attempted to
impeach him while he testified, but instead raised this issue for
the first time in its closing argument when defendant could not
explain. However, our Supreme Court has considered this particular
issue and resolved it contrary to defendant's position.
See State
v. Buckner, 342 N.C. 198, 223, 464 S.E.2d 414, 428 (1995) (stating
we conclude that defendant's silence about Bivens' guilt, prior totaking the stand, was evidence of an inconsistent statement in this
particular case; and it was not error for the prosecutor to make
the arguments impeaching defendant's testimony at trial).
Although defendant argues that the State's argument amounted
to a violation of constitutional magnitude, we do not agree. In
light of
Lane, Buckner and their progeny, there is no question that
a defendant who takes the stand relinquishes some constitutional
rights. Defendant had the opportunity during his trial testimony
to justify his failure to claim self-defense earlier. We cannot
hold the trial court's failure to intervene during the State's
closing argument
ex mero motu was grossly improper.
B. Post-Arrest Silence
As stated above, it is unclear at what point defendant was
given
Miranda warnings. The burden of demonstrating error rests
upon the appealing party.
State v. McGinnis, 70 N.C. App. 421,
423-24, 320 S.E.2d 297, 300 (1984). Moreover, when a defendant
does not exercise his right to remain silent after receiving
Miranda warnings, he does not rely on the implicit assurances
embodied in the
Miranda warnings and has not been induced to remain
silent.
See State v. Mitchell, 317 N.C. 661, 346 S.E.2d 458
(1986).
Here, defendant repeatedly made spontaneous statements which
were inconsistent with statements he made at trial. Defendant had
the burden of establishing when he was given
Miranda warnings and
could have done so during his testimony or through cross-
examination of various State witnesses. He failed to meet his
burden. Accordingly, defendant could be impeached during theState's closing arguments with inconsistent statements and silence
prior to trial. This assignment of error is overruled.
VII.
[9]Defendant makes the related argument that his trial
counsel's failure to object to those portions of the State's
closing argument referencing defendant's failure to claim self-
defense to investigators at the time of the offense deprived him of
effective assistance of counsel. A defendant's right to counsel
includes the right to the effective assistance of counsel.
State
v. Braswell, 312 N.C. 553, 561, 324 S.E.2d 241, 247-48 (1985)
(citing
McMann v. Richardson, 397 U.S. 759, 771, 25 L. Ed. 2d 763,
773 (1970)). However, a defendant alleging ineffective assistance
of counsel must meet a high standard. When a defendant attacks
his conviction on the basis that counsel was ineffective, he must
show that his counsel's conduct fell below an objective standard of
reasonableness.
Id. (quoting
Strickland v. Washington, 466 U.S.
668, 687, 80 L. Ed. 2d 674, 693 (1984)). Specifically, defendant
must satisfy a two-part test in order to meet this burden:
First, the defendant must show that counsel's
performance was deficient. This requires
showing that counsel made errors so serious
that counsel was not functioning as the
counsel guaranteed the defendant by the
Sixth Amendment. Second, the defendant must
show that the deficient performance prejudiced
the defense. This requires showing that
counsel's errors were so serious as to deprive
the defendant of a fair trial, a trial whose
result is reliable.
Id. (quoting
Strickland, 466 U.S. at 687, 80 L. Ed. 2d at 693).
Even if counsel was deficient, [t]he fact that counsel made
an error, even an unreasonable error, does not warrant reversal ofa conviction unless there is a reasonable probability that, but for
counsel's errors, there would have been a different result in the
proceedings.
Braswell, 312 N.C. at 563, 324 S.E.2d at 248
(citations omitted).
This determination must be based on the
totality of the evidence before the finder of
fact. . . . [I]f a reviewing court can
determine at the outset that there is no
reasonable probability that in the absence of
counsel's alleged errors the result of the
proceeding would have been different, then the
court need not determine whether counsel's
performance was actually deficient.
Id. at 563, 324 S.E.2d at 248-49.
In the case at bar, our examination of the record convinces us
that there is no reasonable probability that defense counsel's
failure to object to comments made by the prosecuting attorney
affected the outcome of the trial. The evidence of defendant's
guilt was more than substantial. Although defendant argues that
credibility was the central issue in the case, the State's evidence
refuted defendant's testimony that he fired at Holiday and Williams
only after they charged at him. An expert for the State Bureau of
Investigation testified that while defendant's pistol would leave
gunshot residue on an object located four feet or less away when
fired, he found no residue on either Williams or Holiday.
Defendant admitted on cross-examination that he never saw Holiday
or Williams with a weapon. Finally, there was a back door in close
proximity to where defendant was standing at the time of the
shooting, through which he could have retreated if attacked. In
light of this and other evidence of guilt, we are unable to hold
that there was a reasonable probability that a different outcomewould have followed an objection by defendant's trial counsel.
This assignment of error is overruled.
VIII.
[10]Finally, defendant claims that the trial court erred by
not declaring a mistrial
sua sponte after a bailiff entered the
jury room during deliberations.
(See footnote 1)
Although defendant acknowledges
in his appellate brief that the trial court examined the bailiff
and determined that he had not communicated with the jury,
defendant argues that despite these determinations the bailiff's
actions constituted an improper external influence on the jury
requiring the trial court to declare a mistrial.
This issue is controlled by section 15A-1061 of the North
Carolina General Statutes, which states:
Upon motion of a defendant or with his
concurrence the judge may declare a mistrial
at any time during the trial. The judge must
declare a mistrial upon the defendant's motion
if there occurs during the trial an error or
legal defect in the proceedings, or conduct
inside or outside the courtroom, resulting in
substantial and irreparable prejudice to the
defendant's case.
N.C. Gen. Stat. § 15A-1061 (1999). A motion for a mistrial lies
within the discretion of the trial court.
See State v. Billups,
301 N.C. 607, 272 S.E.2d 842 (1981). Unless its rulings thereon
are clearly erroneous or amount to a manifest abuse of discretion,
they will not be disturbed.
State v. Sneeden, 274 N.C. 498, 504,
164 S.E.2d 190, 195 (1968) (citations omitted). This is so evenwhen the basis of the motion for mistrial is misconduct affecting
the jury.
State v. Gardner, 322 N.C. 591, 593, 369 S.E.2d 593,
595 (1988);
see also State v. Shedd, 274 N.C. 95, 161 S.E.2d 471
(1968). Appellate courts are deferential to the trial court's
exercise of discretion in this area because a 'trial judge is in
a better position to investigate any allegations of misconduct,
question witnesses and observe their demeanor and make appropriate
findings.'
State v. Rutherford, 70 N.C. App. 674, 677, 320 S.E.2d
916, 919 (1984) (citation omitted).
Misconduct must be determined by the facts and circumstances
of each case . . . .
Id. 'The circumstances must be such as not
merely to put suspicion on the verdict, because there was
opportunity and a chance for misconduct, but that there was in fact
misconduct. When there is merely matter of suspicion, it is purely
a matter in the discretion of the presiding judge.'
Sneeden, 274
N.C. at 504, 164 S.E.2d at 195 (quoting
Lewis v. Fountain, 168 N.C.
277, 279, 84 S.E.2d 278, 279 (1915)).
The great weight of authority sustains
the rule that . . . a verdict will not be
disturbed because of a conversation between a
juror and a stranger when it does not appear
that such conversation was prompted by a
party, or that any injustice was done to the
person complaining, and he is not shown to
have been prejudiced thereby, and this is true
of applications for new trial by the accused
in a criminal case as well as of applications
made in civil actions. . . . [A]nd if a trial
is really fair and proper, it should not be
set aside because of mere suspicion or
appearance of irregularity which is shown to
have done no actual injury. Generally
speaking, neither the common law nor statutes
contemplate as ground for a new trial a
conversation between a juror and a third
person unless it is of such a character as is
calculated to impress the case upon the mindof the juror in a different aspect than was
presented by the evidence in the courtroom, or
is of such a nature as is calculated to result
in harm to a party on trial. The matter is
one resting largely within the discretion of
the trial judge.
Id. (alteration in original) (citation omitted).
In the case at bar, there was no misconduct affecting the
jury. Rather, the evidence showed that when the intrusion by the
bailiff became known to the court, the trial judge put the bailiff
under oath, determined that the bailiff had, without authorization
of the court, knocked on the door of the jury room, that he did so
because another bailiff had asked him to retrieve some magazines
for defendant, that the bailiff said nothing to the jurors and the
jurors said nothing to him, and that he heard no deliberations and
had no other contact with the jurors. Neither the State nor
defendant accepted the court's invitation to make further inquiry
of the bailiff, and defendant did not then seek a mistrial. In
light of this investigation and the circumstances surrounding the
bailiff's entry, the trial court did not abuse its discretion in
failing to declare a mistrial
sua sponte.
See, e.g., Gardner, 322
N.C. 591, 369 S.E.2d 593 (finding no error where trial court denied
defendant's motion for a mistrial based upon a colloquy that took
place between the bailiff and the jury foreman after the verdict
was reached but before it was announced in open court);
Billups,
301 N.C. 607, 272 S.E.2d 842 (finding that denial of defendant's
motion for mistrial was proper where prosecuting witness entered
the jury room during a recess at the conclusion of trial but prior
to the charge of the court to use the bathroom and did not
communicate with any of the jurors);
Sneeden, 274 N.C. 498, 164S.E.2d 190 (holding that trial court did not err in denying
defendant's motion for mistrial where jury foreman asked bailiff
how quickly a parole was possible, bailiff replied that it had
nothing to do with the evidence, and bailiff reported the
communication to the trial judge);
Shedd, 274 N.C. 95, 161 S.E.2d
471 (finding no abuse of discretion in denying defendant's motion
for mistrial where witness entered into a discussion with other
witnesses and spectators regarding the incidents concerning the
charges against defendants in the hearing of the jurors);
Rutherford, 70 N.C. App. 674, 320 S.E.2d 916 (determining no abuse
of discretion in denying defendant's motion for mistrial where
juror had a conversation with plaintiff's witness during lunch
recess about whether juror correctly understood witness' testimony
that he was retired from the military and whether they knew some of
the same people). Accordingly, this assignment of error is
overruled.
No error.
Judges GREENE and MARTIN concur.
Footnote: 1 Defendant also
states in his appellate brief that the bailiff
entered the jury room at another time during trial. However,
whether the bailiff entered the jury room at this time is unclear
from the transcript, and defendant did not make an objection.
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