Appeal by defendant from judgments dated 26 May 2000 by Judge
Michael E. Beale in Superior Court, Union County. Heard in the
Court of Appeals 10 October 2001.
Attorney General Roy Cooper, by Assistant Attorney General
Robert M. Curran, for the State.
Marjorie S. Canaday for defendant-appellant.
McGEE, Judge.
Dulaine Lotharp (defendant) was indicted for robbery with a
dangerous weapon and assault with a deadly weapon inflicting
serious injury while occupying the status of habitual felon.
Evidence at trial tended to show that Terry Barrett (Barrett) moved
into a new apartment in Monroe, North Carolina on or about 22
February 1999 and met defendant shortly thereafter. Defendant,
Barrett, and Chris Craig (Craig) drank alcohol and smoked crack
cocaine off and on at Barrett's apartment from the evening of 24
February through the early evening of 25 February. During the
afternoon of 25 February, Craig and defendant had a confrontation
about defendant borrowing money from Craig and Barrett. Both Craig
and defendant left Barrett's apartment between 5:30 p.m. and 6:00
p.m. Barrett testified that he was awakened later that evening by
a knock at his door. Barrett stated that someone outside the door
identified himself as "Laine," the name by which Barrett knew
defendant. When Barrett opened the door, defendant kicked him in
the face, knocking him to the floor. Defendant repeatedly kicked
and punched Barrett about the head saying, "This is for Chris."
Barrett lost consciousness. Barrett testified he kept a metal
five-pound chain wrapped in duct tape on his night stand and when
he regained consciousness, the chain was on the floor near his
feet. Barrett also testified that his wallet with about $300.00 in
it was missing.
As a result of the attack, Barrett suffered a broken cheek
bone, broken upper jaw bones on both sides of his face, and bruises
on his lower back and shoulder. Dr. William McClelland testified
he performed reconstructive surgery on Barrett's face, and that as
a result of the attack, Barrett lost a significant amount of blood
and also suffered temporary minor memory loss. Dr. McClelland
further testified that the injuries to Barrett's face could have
been caused by hands and feet, or by a blunt object. He testified
that the bruises on Barrett's back were likely not caused by hands
or feet but could have been caused by "the chain."
A jury convicted defendant of assault with a deadly weapon
inflicting serious injury, robbery with a dangerous weapon and
being an habitual felon. The trial court sentenced defendant to a
minimum of 151 months and a maximum of 191 months for each of the
two convictions, with the sentences to run consecutively. Defendant appeals.
I.
In his first assignment of error, defendant argues that the
trial court erred in giving a disjunctive instruction to the jury,
raising the possibility that the jury's verdict was not unanimous
on the issue of assault with a deadly weapon inflicting serious
injury. Under the North Carolina Constitution, "[n]o person shall
be convicted of any crime but by the unanimous verdict of a jury in
open court." N.C. Const., art. 1, § 24;
see also, N.C. Gen. Stat.
§ 15A-1237(b) (1999). A person is guilty of felonious assault with
a deadly weapon inflicting serious injury if he "assaults another
person with a deadly weapon and inflicts serious injury." N.C.
Gen. Stat. § 14-32(b) (1999). The trial court instructed the jury
as follows:
I charge that if you find from the evidence
beyond a reasonable doubt that . . . the
defendant intentionally beat the victim with
his hands and feet, and/or with a chain and
that the defendant's hands and feet and/or the
chain were deadly weapons, thereby inflicting
serious injury upon the victim, it would be
your duty to return a verdict of guilty of
assault with a deadly weapon inflicting
serious injury. However, if you do not so
find or have a reasonable doubt as to one or
more of these things, you will not return a
verdict of guilty of assault with a deadly
weapon inflicting serious injury, but would
consider whether the defendant is guilty of
assault inflicting serious injury.
Two lines of cases have developed addressing the question of
whether submission of an issue to the jury in the disjunctive is
reversible error and are based upon
State v. Hartness, 326 N.C.561, 391 S.E.2d 177 (1990) and
State v. Diaz, 317 N.C. 545, 346
S.E.2d 488 (1986).
Two early cases in the
Hartness line follow the same general
proposition that some statutes allow for a "single wrong" to be
"established by a finding of various alternative elements" and thus
a disjunctive instruction is not a basis for reversal.
Hartness,
326 N.C. at 566, 391 S.E.2d at 180. In
Jones v. All American Life
Ins. Co, 312 N.C. 725, 325 S.E.2d 237 (1985), a plaintiff-
beneficiary attempted to recover life insurance proceeds. The
common law "slayer" doctrine was raised as a defense to the
plaintiff's recovery of the proceeds because the evidence tended to
show that the plaintiff "killed or procured the killing" of the
insured.
Id. at 733, 325 S.E.2d at 241. The jury instruction in
Jones asked, "Did . . . plaintiff[] willfully and unlawfully
kill
[the insured]
or procure his killing?"
Id. at 737, 325 S.E.2d at
243. The plaintiff argued that this disjunctive instruction was
ambiguous and thus prevented the jury from reaching a unanimous
verdict because "the disjunctive issue left open the possibility
that less than all the jurors could agree on whether plaintiff
herself killed [the insured], or had him killed by her sons or some
other party."
Id. Our Supreme Court disagreed and held that the
disjunctive instruction was not fatally ambiguous because the jury
only needed to find that the plaintiff had participated in the
death of the insured by either alternative method to bar theplaintiff's recovery of the proceeds.
Id. at 738, 325 S.E.2d at
244.
The defendant in
State v. Creason, 313 N.C. 122, 326 S.E.2d 24
(1985) was convicted of possession with intent to sell and deliver
a controlled substance in violation of N.C. Gen. Stat. § 90-
95(a)(1), stating that it is unlawful to "manufacture, sell or
deliver, or possess with intent to manufacture, sell or deliver, a
controlled substance."
Id. at 129, 326 S.E.2d at 28. The
defendant argued that the use of a disjunctive jury form in this
case resulted in a non-unanimous verdict. Our Supreme Court held
that unanimity was satisfied because "[i]t is the
intent of the
defendant that is the gravaman of the offense."
Id. It was
therefore immaterial whether the jury found the crime was committed
by sale or delivery of a controlled substance, as long as all the
jurors found that the defendant possessed the controlled substance
and had the requisite intent, through either the sale
or delivery
of the controlled substance.
Id. The requirement of unanimity was
therefore satisfied.
Id. at 131, 326 S.E.2d at 29.
At issue in
Hartness was the defendant's conviction for taking
indecent liberties with a minor in violation of N.C. Gen. Stat. §
14-202.1, which states that a person is guilty of the crime if he
"[w]illfully takes or attempts to take any immoral, improper, or
indecent liberties with any child . . . for the purpose of arousing
or gratifying sexual desire."
Hartness, 326 N.C. at 567, 392S.E.2d at 180. The trial court instructed the jury according to
the pattern jury instructions which read in part, "[t]hat the
defendant wilfully took an indecent liberty with a child for the
purpose of arousing or gratifying sexual desire."
Id. at 563, 392
S.E.2d at 178. The defendant contended that this instruction
improperly permitted the jury to convict him by a less than
unanimous verdict because "the jury could have split in its
decision regarding which act constituted the offense, making it
impossible for the court to determine whether the jury was
unanimous in its verdict."
Id. Our Supreme Court disagreed and
found that the General Assembly intended that the single offense of
taking indecent liberties with a minor could be satisfied by "any
one of a number of acts."
Id. at 567, 391 S.E.2d at 180. The
Court reasoned that because the gravaman of the offense is the
defendant's
purpose for committing the act, the particular act
performed is tangential.
Id.
Our Supreme Court found
Hartness controlling in the 1996 case
of
State v. Oliver, 343 N.C. 202, 215, 470 S.E.2d 16, 24 (1996).
The defendant was charged and convicted of driving while impaired
in violation of N.C. Gen. Stat. § 20-138.1. The trial court
charged the jury in part:
So . . . I charge you that if you find from
the evidence beyond a reasonable doubt that
. . . defendant . . . drove a vehicle on a
highway within the [S]tate and that when he
did so he was under the influence of an
impairing substance
or had consumed sufficient
alcohol that at any relevant time after thedriving the defendant had an alcohol
concentration of [0.08] or more it would be
your duty to return a verdict of guilty of
impaired driving.
Id. at 214, 470 S.E.2d at 23-24. On appeal, the defendant argued
that the disjunctive instruction given to the jury allowed for a
non-unanimous verdict in violation of our state constitution and
statutes. Our Supreme Court stated that the plain language of the
statute proscribes a single wrong which can be proven by
alternative means. The Court thus found that the disjunctive
phrasing of the jury instructions was not fatal because regardless
of whether some jurors found the defendant under the influence of
an impairing substance, and others found the defendant's alcohol
concentration at the prescribed statutory level, a unanimous jury
found the defendant guilty of the single offense of driving while
impaired.
In contrast to the
Hartness line of cases, decisions under
Diaz have stated that a disjunctive jury instruction is "ambiguous
and fatally defective" where the instructions allow the jury to
convict the defendant of "two or more possible crimes in a single
issue."
State v. Lyons, 330 N.C. 298, 303, 412 S.E.2d, 308, 312
(1991);
see also,
Diaz, 317 N.C. at 553, 346 S.E.2d at 494.
In
State v. Albarty, 238 N.C. 130, 132, 76 S.E.2d 381, 382-83
(1953), a warrant was issued for the defendant for violation of
N.C. Gen. Stat. § 14-291.1 which "makes it a misdemeanor for any
person to 'sell, barter or cause to be sold or bartered, anyticket, . . . for any number or shares in any lottery . . . to be
drawn or paid within or without the State.'"
Id. at 133, 76 S.E.2d
at 383. A jury found the defendant guilty as charged in the
warrant. Our Supreme Court stated that in the context of N.C. Gen.
Stat. § 14-291.1, "sell" and "barter" are not synonyms.
Id. at
132, 76 S.E.2d at 383. Accordingly, a defendant can violate the
statute "in four distinct ways. He may sell the illegal articles,
or he may barter them, or he may cause another to sell them, or he
may cause another to barter them."
Id. Because the warrant was
issued in the disjunctive, the verdict was "invalid for
uncertainty" as to which crime the defendant was charged with.
Id.
at 132-33, 76 S.E.2d at 383.
In
State v. McLamb, 313 N.C. 572, 577-78, 330 S.E.2d 476, 480
(1985), our Supreme Court found a single set of jury instructions
to be fatally ambiguous in part. In
McLamb, the defendant was
charged with both "the sale
or delivery of cocaine, and the
possession of cocaine with intent to 'sell or deliver.'"
Id. at
577, 330 S.E.2d at 479. Because the sale and delivery of
controlled substances are distinct offenses, the Supreme Court held
that the charge of "sale or delivery of cocaine" was fatally
defective and ambiguous.
Id. at 577, 330 S.E.2d at 480. However,
under
Creason, the verdict of "possession with intent to 'sell or
deliver'" cocaine was found not to be fatally ambiguous.
Id. at
577-78, 330 S.E.2d at 480. In
Diaz, the defendant was charged in an indictment with
trafficking in marijuana in an amount in excess of 10,000 pounds.
Diaz, 317 N.C. at 546, 346 S.E.2d at 490. The trial court charged
the jury that "if you find from the evidence and beyond a
reasonable doubt that . . . the defendant . . . knowingly possessed
or knowingly transported marijuana . . . it would be your duty to
return a verdict of guilty as charged.
Id. at 553, 346 S.E.2d at
493-94. Our Supreme Court stated that under N.C. Gen. Stat. § 90-
95(h)(1), "[s]ale, manufacture, delivery, transportation, and
possession of 50 pounds or more of marijuana are separate
trafficking offenses for which a defendant may be separately
convicted and punished."
Id. at 554, 346 S.E.2d at 494. The Court
held that because the disjunctive instructions made it impossible
to tell what charge, if any, the jury unanimously found the
defendant guilty of, the instructions were fatally defective
because they were ambiguous.
Id. Consistent with
Hartness,
however, the Court also noted that, "[t]he disjunctive will [not]
always be fatally ambiguous. An examination of the verdict, the
charge, the initial instructions by the trial judge to the jury
. . . and the evidence in a case may remove any ambiguity created
by the charge."
Id. However, the defendant in
Diaz was deprived
of his constitutional and statutory right to a unanimous jury
verdict.
Our Supreme Court distinguished the
Hartness and
Diaz
decisions: There is a critical difference between
the lines of cases represented by
Diaz and
Hartness. The former line establishes that a
disjunctive instruction, which allows the jury
to find a defendant guilty if he commits
either of two underlying acts,
either of which
is in itself a separate offense, is fatally
ambiguous because it is impossible to
determine whether the jury unanimously found
that the defendant committed one particular
offense. The latter line establishes that if
the trial court merely instructs the jury
disjunctively as to various alternative acts
which will establish an element of the
offense, the requirement of unanimity is
satisfied.
Lyons, 330 N.C. at 302-03, 412 S.E.2d at 312.
Defendant argues that the
Diaz line of cases controls here in
that the disjunctive jury instruction was ambiguous and fatally
defective because it raised the possibility of a non-unanimous jury
verdict. Defendant argues that some jurors could have found that
Barrett suffered a serious facial injury, but that it was inflicted
with the non-deadly use of hands and feet; or that the chain was a
deadly weapon, that it inflicted the back injury, but that the back
injury was not a serious injury. Defendant also argues that since
the jury was not required to specify what deadly weapon or what
serious injury was involved, if any, it is impossible to determine
from the verdict what the jury decided.
In contrast, the State contends that the
Hartness line of
cases controls and the disjunctive instruction was not fatally
defective. Because all of Barrett's injuries occurred during one
assault, the State argues that the jury need only have found that
a deadly weapon was used and that a serious injury occurred. A careful review of the underlying statute, N.C. Gen. Stat. §
14-32(b) (1999), aids us in determining which line of cases
controls in this case. First, where "the language of a statute is
clear, the court must implement the statute according to the plain
meaning of its terms so long as it is reasonable to do so."
Lenox,
Inc. v. Tolson, 353 N.C. 659, 664, 548 S.E.2d 513, 517 (2001). The
language in N.C.G.S. § 14-32(b) that "[a]ny person who assaults
another person with a deadly weapon" plainly states that the
gravaman of the offense is the assault of another with a deadly
weapon. The plain meaning of "inflicts serious injury" is that if
a person commits an assault with a deadly weapon and serious injury
results
from that assault, the person is guilty of felonious
assault under N.C.G.S. § 14-32(b).
Second, if a person merely assaults another with a deadly
weapon, then the person is guilty of a Class A1 misdemeanor assault
under N.C. Gen. Stat. § 14-33(c) (1999) if the person "commits any
assault" and "in the course of the assault . . . he or she . . .
[i]nflicts serious injury upon another person
or uses a deadly
weapon." (emphasis added). Under the State's interpretation of
N.C.G.S. § 14-32(b), we could not determine when a defendant has
met all the elements of felonious assault with a deadly weapon
inflicting serious injury or when he has merely satisfied either
element required for misdemeanor assault.
The State argues that under
State v. Rhyne, 39 N.C. App. 319,
250 S.E.2d 102 (1979), "[w]here multiple weapons are used during analtercation to produce multiple injuries, a defendant is rightfully
charged with only a single assault when the assault occurred at a
single time and against a single victim."
Rhyne is distinguishable
from this case, however, because in
Ryhne our Court allowed the use
of multiple weapons to be incorporated into one charge to prevent
the defendant from being subject to double jeopardy and to protect
the defendant from being charged with a separate count of assault
for each blow struck.
Id. at 324-25, 250 S.E.2d at 106. Neither
double jeopardy nor multiple counts of assault are at issue in the
case before us.
Third, the disjunctive jury instruction in this case did not
require the jury to determine whether the weapon inflicting serious
injury was a deadly weapon as N.C.G.S. § 14-32(b) requires. Under
our case law, an object can be found to be a "deadly weapon" if it
is an instrument which is likely to produce death or great bodily
harm "according to the manner of its use or the part of the body at
which the blow is aimed."
State v. Joyner, 295 N.C. 55, 64-65, 243
S.E.2d 367, 373 (1978). When a weapon may or may not be likely to
produce fatal results due to its use, a jury's role as finder of
fact is to determine whether the object was used as a deadly
weapon.
Id. Because the jury instructions at issue did not
require the jury to specify whether it found the chain or
defendant's hands and feet, or all three, to be deadly weapons, the
instructions are ambiguous.
We are persuaded that the
Diaz line of cases controls the casebefore us and that under N.C.G.S. § 14-32(b) an assault must have
been committed with a deadly weapon and serious injury resulted
from the use of that deadly weapon. The disjunctive jury
instructions in this case made it impossible to tell whether the
jury unanimously found that defendant used a specific deadly weapon
to cause a specific serious injury. Thus, the disjunctive jury
instructions are ambiguous and fatally defective, requiring that
defendant receive a new trial, which is hereby granted.
II.
Because the error argued in defendant's second assignment of
error may occur at retrial of defendant's case, we address
defendant's contention that the trial court erred in admitting
evidence that was unfairly prejudicial to defendant in the habitual
felon proceeding. In North Carolina an habitual felon is defined
as "[a]ny person who has been convicted of or pled guilty to three
felony offenses in any federal or state court in the United States
or combination thereof." N.C. Gen. Stat. § 14-7.1 (1999). The
second and third felonies must have been committed after the
conviction or guilty plea of the felony preceding it.
Id.
During the habitual felon proceeding in this case, the State
introduced into evidence the records of defendant's prior
convictions, as evidence of the three convictions upon which the
State relied for the habitual felon indictment. Defendant argues
admission of these documents was in error because each of these
exhibits contained not only the felonies the State relied on to
support the habitual felon indictment, but also three additionalfelony pleas which the State was not seeking to prove and which
were not listed in the habitual felon indictment. Defendant argues
these additional felonies were not relevant and their admission was
unfairly prejudicial.
Relevant evidence is admissible; relevant evidence is defined
as evidence "having any tendency to make the existence of any fact
that is of consequence to the determination of the action more
probable or less probable than it would be without the evidence."
N.C. Gen. Stat. § 8C-1, Rule 401 and Rule 402 (1999). Relevant
evidence, however, "may be excluded if its probative value is
substantially outweighed by the danger of unfair prejudice." N.C.
Gen. Stat. § 8C-1, Rule 403. "[E]ven though a trial court's
rulings on relevancy technically are not discretionary and
therefore are not reviewed under the abuse of discretion standard
applicable to Rule 403, such rulings are given great deference on
appeal."
State v. Wallace, 104 N.C. App. 498, 502, 410 S.E.2d 226,
228 (1991),
disc. review denied, 331 N.C. 290, 416 S.E.2d 398,
cert. denied, 506 U.S. 915, 121 L. Ed. 2d 241 (1992).
In the present case, evidence of defendant's three felony
convictions which were in addition to the convictions the State was
attempting to prove, is not relevant evidence and is inadmissible.
Thus, the trial court should have redacted the irrelevant felonies
to ensure that the jury would not improperly consider them. The
trial court, however, did issue a limiting instruction for all
three convictions directing the jury to consider only theconvictions relating to the habitual felon proceeding. Defendant
has failed to show that the admission of the irrelevant felonies
unfairly prejudiced the outcome such that a different result would
have been reached by the jury had the evidence not been admitted.
Defendant's second assignment of error is dismissed.
III.
In his third assignment of error, defendant contends that the
trial court erred in denying his
Batson motion because the
prosecution impermissibly used a peremptory challenge to excuse a
potential juror solely on the basis of her race, thereby violating
defendant's rights under the Fourteenth Amendment of the United
States Constitution and Art. I, Sec. 26 of the North Carolina
Constitution. Since a different jury will be empaneled for
defendant's new trial, we need not address this issue.
IV.
By his fourth assignment of error, defendant contends that the
trial court erred in denying his motion that he be allowed to argue
the North Carolina impaired driving statute as a comprehensible
standard by which the jury could determine how intoxicated Barrett
was at the time of the assault. We will address defendant's fourth
assignment of error because this alleged error could occur at
retrial of defendant's case.
At trial, defendant argued that Barrett lacked credibility
because he was intoxicated at the time the attack occurred.
Although Dr. McClelland testified that Barrett had 298 milligrams
of alcohol per deciliter of blood, he was unable to convert thatnumber into a standard commonly recognized by lay persons. To make
the level of intoxication more clear to the jurors, defendant
sought to address the North Carolina standard for intoxication
while driving a motor vehicle in his closing statement.
See N.C.
Gen. Stat. §§ 20-4.01 and 20-138.1 (1999). The State objected and
the trial court subsequently denied defendant's motion, stating
that the driving while impaired statute was irrelevant because
Barrett was not operating a vehicle at the time he was attacked.
Our Supreme Court has stated that
[w]hile it is clear that 'the whole case
as well of law as of fact may be argued to the
jury' [citation omitted], and that 'counsel is
given wide latitude to argue the facts and all
reasonable inferences which may be drawn
therefrom,' [citation omitted] nevertheless
the conduct of arguments of counsel to the
jury must necessarily be left largely to the
sound discretion of the trial judge.
State v. Whiteside, 325 N.C. 389, 398-99, 383 S.E.2d 911, 916
(1989) (citing
State v. Britt, 291 N.C. 528, 537, 231 S.E.2d 644,
651 (1977)). Absent a gross abuse of discretion, a trial court's
determination on the scope of jury arguments should not be
disturbed.
State v. Woods, 56 N.C. App. 193, 196, 287 S.E.2d 431,
433,
cert. denied, 305 N.C. 592, 292 S.E.2d 13 (1982).
Defendant argues that N.C. Gen. Stat. § 15A-1230(a) permits an
attorney, during closing argument, "on the basis of his analysis of
the evidence to argue any position or conclusion with respect to a
matter in issue." While it is true that this statute allows an
argument of any relevant point that is supported by the evidence,the trial court must not permit an improper application of a
statute to the evidence.
Moreover, although defendant was not allowed to argue to the
jury the intoxication standard from the impaired driving statute,
he was permitted to convey the point that Barrett was intoxicated
at the time of the attack. Dr. McClelland testified that Barrett
reported drinking six beers the night he was attacked, and in his
closing argument defendant's attorney stated that Barrett's blood
alcohol concentration was, "[p]ut simply, .29" and repeated this
statement several times. Also, defendant fails to show why a
standard developed to show impaired driving of a vehicle is
relevant as to what constitutes intoxication in other situations.
The trial court did not abuse its discretion in denying
defendant's request to argue to the jury the standard for
intoxication while driving a vehicle. Defendant's fourth
assignment of error is dismissed.
New trial.
Judge BIGGS concurs.
Judge TIMMONS-GOODSON dissents with separate opinion.
============================
TIMMONS-GOODSON, Judge, dissenting.
Because I disagree with the majority that the jury
instructions given in the present case were fatally ambiguous, I
respectfully dissent. I detect no reversible error by the trial
court. The majority states that, "[b]ecause the jury instructions at
issue do not require the jury to specify whether they found the
chain or defendant's hands and feet, or all three, to be deadly
weapons, the instructions are ambiguous." I disagree. The trial
court instructed the jury in pertinent part as follows:
I charge that if you find from the evidence
beyond a reasonable doubt that . . . the
defendant intentionally beat the victim with
his hands and feet, and/or with a chain
and
that the defendant's hands and feet and/or the
chain were deadly weapons, thereby inflicting
serious injury upon the victim, it would be
your duty to return a verdict of guilty of
assault with a deadly weapon inflicting
serious injury.
(emphasis added). The above-stated instruction requires the jury
to find that (1) the defendant intentionally beat the victim with
his hands and feet and/or a chain
and (2) that the defendant's
hands and feet and/or the chain was a deadly weapon that inflicted
serious injury. The disjunctive used in the instructions did not
create fatal ambiguity; rather, it allowed the jury to choose
between two alternative instrumentalities as the deadly weapon
inflicting serious injury. Thus, the jury could find that
defendant inflicted serious injury upon the victim by assaulting
him with either his hands and feet
or the chain. The instructions
clearly required the jury to find that defendant assaulted the
victim using a deadly weapon, thereby inflicting serious injury.
Accordingly, there was no ambiguity as to whether or not the jury
unanimously found each necessary element for the crime of assault
with a deadly weapon inflicting serious injury under N.C. Gen.
Stat. § 14-32(b). Because the instructions in the instant caseallowed the jury to convict defendant of a single wrong by
alternative means as approved of in the
Hartness line of cases, I
conclude that the instructions were not fatally ambiguous, and I
would therefore hold that the trial court committed no error.
*** Converted from WordPerfect ***