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All opinions are subject to modification and technical correction prior to official publication in the North Carolina Reports and North Carolina Court of Appeals Reports. In the event of discrepancies between the electronic version of an opinion and the
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STATE OF NORTH CAROLINA v. KAWAME LLOYD MAYS, Defendant
NO. COA01-1387
Filed: 1 July 2003
1. Homicide_instructions_acquit first
An erroneous instruction that the jurors in a first-degree murder prosecution could
consider second-degree murder only after they unanimously acquitted defendant of first-degree
murder was harmless. The defendant in this case received the only relief to which he was entitled
when the jury failed to convict and the court ordered a new trial. It is suggested that
a jury expressing confusion be instructed to consider first the primary offense, then the lesser
offense if reasonable efforts do not produce a verdict, and that a unanimous not guilty verdict for
the primary offense is not required before consideration of the lesser offense.
2. Constitutional Law_double jeopardy_indictment after hung jury
A second indictment for murder did not violate double jeopardy where the first resulted in
a hung jury. Although defendant argued that the first jury sent a note to the court that indicated
unanimous agreement on second-degree murder, that note is open to interpretation and is not
equivalent to a verdict.
3. Criminal Law_self-defense instruction--not given_harmless error
Any error in the court not giving an imperfect self-defense instruction was harmless
where the court submitted first-degree murder based on both premeditation and deliberation and
felony murder, second-degree murder, or not guilty, and the jury convicted defendant of first-
degree murder based both on premeditation and deliberation and on felony murder.
4. Homicide_felony murder instruction_harmless error
Any error in submitting a felony murder instruction was harmless where defendant was
found guilty of first-degree murder based upon both felony murder and premeditation and
deliberation.
5. Evidence_motion in limine denied_no contemporaneous objection
The question of whether the State's cross-examination of a murder defendant was proper
was considered by the Court of Appeals in its discretion, even though defendant did not lodge
contemporaneous objections at trial after his motion in limine was denied.
6. Evidence_attack on correctional officers_admissible for willingness to attack
officers
The admission of defendant's attack on correction officers was not improper in a
prosecution for the first-degree murder of a police officer. The State was entitled to rebut
defendant's assertions that he would not knowingly harm an officer and that he shot the police
officer because he was mistaken about his identity.
7. Witnesses_defendant's witness called by State_not prejudicial
Any error in allowing the State to call an expert witness previously retained by defendant
was harmless where the witness's testimony was tangential.
8. Homicide_first-degree murder_short-form indictment
A first-degree murder indictment was sufficient even though it did not set forth all elements
of that crime.
Appeal by defendant from judgment entered 15 September 1998 by
Judge Donald W. Stephens in Wake County Superior Court. Heard in
the Court of Appeals 7 January 2003.
Attorney General Roy Cooper, by Assistant Attorney General
John G. Barnwell and Assistant Attorney General Robert C.
Montgomery, for the State.
Center for Death Penalty Litigation, by Robert Manner Hurley,
for defendant-appellant.
GEER, Judge.
A jury found defendant Kawame Lloyd Mays guilty of first
degree murder in a re-trial following the trial court's declaration
of a mistrial. Defendant appeals, arguing that the trial court
erred in various respects, including improperly instructing the
jury in the first trial that they could not consider the charge of
second degree murder unless they had unanimously acquitted
defendant of first degree murder, an instruction commonly called an
"acquit first" instruction. We agree that the trial court erred in
giving an "acquit first" instruction, but hold that defendant has
already received the appropriate relief: a new trial with a
properly instructed jury. As for defendant's other assignments of
error, we find no prejudicial error.
On 4 August 1997, defendant was indicted for the murder of
Raleigh Police Officer Paul Hale. On the same date, defendant wasalso separately indicted for the murder of Michael Walker. The two
cases were joined and tried together at the 4 May 1998 criminal
session of Wake County Superior Court with the Honorable Donald W.
Stephens presiding. In the Walker case, the jury found defendant
guilty of felony murder, but was unable to reach a unanimous
decision as to sentence. The court therefore imposed a sentence of
life without the possibility of parole. In the Hale case, Judge
Stephens declared a mistrial based on the jury's inability to reach
a unanimous verdict as to guilt or innocence.
The Hale case was re-tried at the 10 August 1998 criminal
session of Wake County Superior Court with Judge Stephens again
presiding. The jury found defendant guilty of first degree murder
based on both premeditation and deliberation and felony murder.
The jury was unable, however, to reach a unanimous verdict as to
the sentence. On 15 September 1998, the trial court imposed a
sentence of life without the possibility of parole.
From the judgment in the Hale case, defendant gave notice of
appeal on 25 September 1998. The Walker case was the subject of a
separate appeal in State v. Mays, 154 N.C. App. 572, 573 S.E.2d 202
(2002).
Facts
On 11 July 1997, defendant was sleeping at the apartment of an
acquaintance, Linda Bass. Michael Walker first came by the
apartment for a short time at 3:00 or 3:30 a.m. to smoke crack
cocaine. He returned at 5:00 a.m., but Bass would not let him in
because she was about to go to bed. Shortly afterwards, she heard
a fight outside her apartment. Defendant was awakened by the noiseand he and Bass went out onto her front porch.
Walker was being assaulted by a "couple of guys," but when
Bass yelled, they stopped and ran down the street. Walker asked
Bass to walk him to his truck. Bass told him, "they're gone,
you'll be all right." Walker stepped off Bass' porch and ran to
his truck.
As Walker drove off in his truck, defendant started shooting
at the back of the truck. Defendant testified that he did not have
a reason to fire the gun and that he was not trying to shoot
Walker. Bass testified that she asked defendant, "why did you do
that, you don't know him. He didn't do anything to you."
Defendant responded, "I'm sorry." Bass told defendant to go, but
recommended that he leave by way of State Street.
At 8:30 or 9:00 a.m., defendant spoke to Chris Sanders on
State Street. In response to defendant's question about the driver
of the truck, Sanders told him that the driver had been killed.
Defendant then got into a cab. Sanders walked to the crime scene,
where officers were investigating Walker's death, and threw a piece
of paper onto the ground in front of the officers. He had written
on the paper that the person the police were looking for had just
gotten into cab number 31.
When detectives interviewed the cab driver, he gave them a
description of his passenger and said that he had dropped him off
in the 700 block of East Lenoir Street. After learning that
defendant's girlfriend lived at 727 East Lenoir Street, the police
department set up surveillance around the apartments at that
address in an attempt to apprehend defendant. Raleigh Police Officers Paul Hale and Patrick Niemann, both
drug and vice squad officers dressed in plain clothing,
participated in the surveillance and were given a description of
defendant. No arrest warrant had been issued; they were supposed
to detain defendant in an investigative stop and call the officers
of the major crimes unit to interview him. The officers drove to
the surveillance area in an unmarked 1984 Subaru.
Defendant was in fact at his girlfriend's apartment. The
step-mother of defendant's girlfriend, Rosie Williams, testified
that at about 5:00 p.m., she was leaving the apartment and
defendant asked her for a ride to the store. They walked to the
parking lot with another daughter of Williams and got into a Suzuki
owned by that daughter. Defendant climbed into the back seat while
Williams sat in the driver's seat. The daughter went over to speak
to a friend. While they waited for Williams's daughter, they saw
another car drive into the parking lot and pull up behind them.
Defendant testified that he thought the men in the car were friends
of Walker. Williams, however, testified that she heard defendant
say, "[T]he police have just pulled up behind us."
The men in the car were Niemann and Hale. Niemann had spotted
defendant and thought he might be their suspect. As the officers
drove towards the parking lot, they saw defendant get into the
backseat of the Suzuki. According to Niemann's testimony, the
officers pulled into the parking lot behind the Suzuki, parked the
car, put on their police ballcaps, and exited the car. Hale's cap
had "police" written on it in big letters.
Niemann walked over to talk to two pedestrians (Williams'daughter and her friend). When Hale walked towards the Sukuzi,
Niemann then moved to the rear of the car. Neither officer had
drawn his gun. Niemann testified that he heard Hale tell
defendant, "put your hands where I can see them." Both Williams
and her daughter confirmed that they too heard Hale ask defendant
to step out of the car and put his hands where Hale could see them.
As Williams attempted to look out of her rear window, she saw
defendant pull a gun out from his pants. Then, as Hale approached
the door on defendant's side of the Sukuzi, defendant leaned
forward and shot him. The State's expert pathologist testified
that defendant's gun was fired at a distance of three to six inches
from Hale's face.
Defendant claimed that he shot Hale because he believed that
Hale had a gun in his hand and was going to shoot him. Hale
actually was holding a walkie-talkie. Defendant testified that he
would never have shot Hale had he known he was a police officer.
Niemann heard the shot and saw Hale fall to the ground. He
used the officers' Subaru for cover, fired several shots at
defendant, and radioed for help. He saw a hand fling a black
semiautomatic pistol, which had jammed, on the ground. Several
officers, who were also participating in the surveillance, pulled
defendant out of the Sukuzi. Various witnesses confirmed that
defendant, who had also been shot, stated that he did not know Hale
was a police officer. Both Hale and defendant were taken to Wake
Medical Hospital, where Hale died several hours later.
I
[1] Defendant argues that the trial court erred in instructingthe jurors that they could not consider whether defendant was
guilty of second degree murder unless they had first unanimously
decided to acquit defendant of first degree murder. We agree with
defendant, based on the plain language of N.C. Gen. Stat. § 15A-
1237 (2001) and prior decisions of the North Carolina appellate
courts. Nevertheless, defendant has already received the only
relief to which he would be entitled: a new trial with a properly
instructed jury.
During defendant's first trial, the jury foreman sent a note
to the trial court that stated, "If we cannot unanimously agree on
1
st degree murder under either legal theory, (for one of the cases)
[a]nd we can unanimously agree that
minimally the defendant is
guilty of 2
nd degree murder,
must we conclude that he is guilty of
2
nd degree murder." (Emphasis original)
After the note was
delivered to the trial court, but before the jury was brought back
to the courtroom, the following discussion occurred:
THE COURT: Of course as we all know and
understand the law the jurors must unanimously
agree on each potential verdict before they
can make a decision about that verdict. That
is to say, the jurors must unanimously agree
that the defendant is guilty of murder in the
first degree or they must unanimously agree
that he is not. And until such time as they
unanimously agree either way they do not
address whether or not he's guilty of second
degree murder.
. . . .
If my recollection of the legal
principles involved are contrary to yours you
need to tell me now. Mr. DA, is that your
understanding?
[PROSECUTOR]: That's my understanding of
the law, your Honor. They must agree
unanimously on the first charge before they
can address other offenses and they would have
to do it under both theories. . . . .
[DEFENSE COUNSEL]: Your Honor, our
position based on the note is that the Court
should instruct them that they should return a
verdict of second degree in the case, that
they can unanimously agree that this is a
second degree conviction and we request that
the Court instruct the jurors as to that if
they're unanimous on second degree.
The trial court denied defense counsel's request and instructed the
jury: "You would not reach the question of whether or not the
defendant is guilty of murder in the second degree until all twelve
of you agree and are so satisfied that the answer[s] to the first
two issues [whether defendant is guilty of premeditated murder or
felony murder] are no and the State has failed to prove beyond a
reasonable doubt the defendant is in fact guilty of murder in the
first degree."
After receiving the supplemental instructions, the jury
continued their deliberations, but subsequently sent a second note
to the trial court, which read: "Upon careful discussion, we cannot
unanimously agree yes to 1
st degree murder in one case. We also
cannot all 12 agree no to 1
st degree murder in the same case. We
do not believe that with any amount of further deliberation, this
will change." The jury again asked: "Do we need 12 unanimous no
votes to 1
st degree murder before we consider 2
nd degree murder?"
Based on the jury's inability to reach a unanimous decision, the
trial court declared a mistrial.
N.C. Gen. Stat. § 15A-1237 provides:
(b) The verdict must be unanimous, and
must be returned by the jury in open court.
. . .
(e) If there are two or more offenses for
which the jury could return a verdict, it may
return a verdict with respect to any offense,including a lesser included offense on which
the judge charged, as to which it agrees.
Since in this case, there were "two or more offenses" _
premeditated murder, felony murder, and second degree murder _ "for
which the jury could return a verdict," § 15A-1237(e) controls.
The trial court's instruction requiring that the jury first acquit
defendant of first degree murder before considering whether
defendant was guilty of second degree murder cannot be reconciled
with the plain language of
N.C. Gen. Stat. § 15A-1237(e).
Under § 15A-1237(e) (emphasis added), the jury was permitted
to "return a verdict with respect to
any offense, including a
lesser included offense on which the judge charged, as to which it
agree[d]." Necessarily, because of the statute's specific
reference to "a lesser included offense," the jury in this case was
entitled to return a verdict of second degree murder if they all
agreed. Nothing in the statute supports the trial court's added
limitation that the juror was first required to acquit defendant as
to first degree murder. The mandatory nature of the instruction is
inconsistent with the permissive language of the statute.
In addition, the trial court's instruction has already been
rejected by this Court in
State v. Sanders, 81 N.C. App. 438, 344
S.E.2d 592,
disc. review denied, 318 N.C. 419, 349 S.E.2d 604
(1986). In
Sanders, defendant argued that the trial court
improperly coerced the jury's verdict, pointing to the following
discussion between the trial court and the jury foreman:
COURT: Okay. I assume you have not
reached a verdict.
FOREMAN: Your Honor, we have a difference
of understanding on that matter. It is myinterpretation that we have but questions were
raised and I need a clarification from you at
that point and I had hoped before we came back
out.
. . . .
FOREMAN: Your Honor, I understood your
instructions to indicate that it was our task
to take these options and in the light of the
evidence presented in this Court and our
common sense understanding of that agree on
one of these four verdicts. There are several
specifications in there and we discussed this
in what we all thought was orderly manner and
we agree unanimously on one of these options.
Then there was the interpretation
advanced that we had to be unanimous in every
detail. Obviously we were not unanimous in
one of the details.
And so then there was the notion that we
were not unanimous in our agreement because we
choose _ we did not choose the first one, the
unanimity was on another option.
COURT: On the option that you ultimately
select, any one of the four, you must be
unanimous.
FOREMAN: Yes, sir. That was my
interpretation but I was not able to convince
all members that that was the end of it, that
any misgivings about any other point were
automatically dropped once you have unanimity
on that.
COURT: That's correct.
Sanders, 81 N.C. App. at 440-41, 344 S.E.2d at 593. In addressing
this colloquy, the Sanders Court stated:
It is readily apparent from the colloquy
between the court and the jury foreman in the
jury's presence that the jury was not
unanimous as to the "first option," the
indicted offense, and that some members of the
jury believed that to reject that "option"
required a unanimous vote. The court
correctly agreed with the foreman that this
was not a proper interpretation, and correctly
instructed the jury that its decision on anyone of the four options (including not guilty)
must be unanimous. . . . The jury had
already agreed unanimously on a lesser
offense, and simply was confused as to whether
their rejection of the greater offense had to
be unanimous. The court instructed them
correctly as to their duty.
Sanders, 81 N.C. App. at 442, 344 S.E.2d at 594. The reasoning
articulated in Sanders fits squarely within the language of N.C.
Gen. Stat. § 15A-1237(e).
In arguing that this Court should not follow Sanders, the
State relies on State v. Wall, 9 N.C. App. 22, 175 S.E.2d 310
(1970), State v. Wilkins, 34 N.C. App. 392, 238 S.E.2d 659, disc.
review denied, 294 N.C. 187, 241 S.E.2d 516 (1977), State v.
Booker, 306 N.C. 302, 293 S.E.2d 78 (1982), and State v. Felton,
330 N.C. 619, 412 S.E.2d 344 (1992), overruled on other grounds,
State v. Jackson, 348 N.C. 644, 503 S.E.2d 101 (1998), for the
proposition that North Carolina is an "acquittal first" state. We
disagree.
State v. Wall was authored prior to the adoption of N.C. Gen.
Stat. § 15A-1237(e) and, therefore, is not instructive on how this
Court should interpret and apply that statute. In fact, the Wall
decision was grounded on the lack of authority to support the
jury's having "the unbridled right to consider each offense
separately and in any order they see fit." Id. at 24, 175 S.E.2d
at 311. N.C. Gen. Stat. § 15A-1237(e) supplies that authority.
State v. Wilkins, while authored in the same year as the adoption
of the statute, relied solely on Wall and did not address the
language of the statute. Neither State v. Booker nor State v.
Felton addressed § 15A-1237(e) or specifically considered whethera trial court is required to instruct the jury that it must acquit
defendant of the indicted offense before considering the lesser
included offenses. None of these decisions require this Court to
disregard the plain language of N.C. Gen. Stat. § 15A-1237(e) or
Sanders.
In addition, the approach adopted here is consistent with
North Carolina Supreme Court decisions regarding instructions on
lesser included offenses. In State v. Thomas, 325 N.C. 583, 599,
386 S.E.2d 555, 564 (1989), the Supreme Court discussed the
importance "of permitting the jury to find a defendant guilty of a
lesser included offense supported by the evidence . . . ." As the
Court explained, "[i]t aids the prosecution when its proof may not
be persuasive on some element of the greater offense, and it is
beneficial to the defendant 'because it affords the jury a less
drastic alternative than the choice between conviction of the
offense charged and acquittal.'" Id. (quoting Beck v. Alabama, 447
U.S. 625, 633, 65 L. Ed. 2d 392, 400 (1980)). The Court expressed
its primary concern that
in a case in which "one of the elements of the
offense charged remains in doubt, but the
defendant is plainly guilty of some offense,
the jury is likely to resolve its doubts in
favor of conviction" despite the existing
doubt, because "the jury was presented with
only two options: convicting the defendant . .
. or acquitting him outright."
Id. (quoting Keeble v. United States, 412 U.S. 205, 212-13, 36 L.
Ed. 2d 844, 850 (1973)) (emphasis in Keeble).
In Thomas, the Court concluded that since the evidence all
pointed to some criminal culpability on defendant's part, "[i]t was
important, therefore, that the jury be permitted to considerwhether defendant was guilty of the lesser included offense of
involuntary manslaughter and not be forced to choose between guilty
as charged or not guilty." Id. The error in failing to instruct
on a lesser included offense is not cured by a unanimous verdict of
guilty on the greater charge because "the jury might well have
found the accused to be guilty of the lesser offense rather than
the greater." State v. Pearce, 296 N.C. 281, 294, 250 S.E.2d 640,
649 (1979).
These principles still have force when a jury is instructed in
how it should proceed in considering the offenses charged. While
in this case, the jury was not forced to choose between guilty or
not guilty, it was effectively restricted to a choice of guilty of
first degree murder or a hung jury, an equally unpalatable choice
for a jury convinced that the defendant is guilty of some criminal
conduct. The trial court's instruction below required a juror not
persuaded of first degree murder to choose between overriding his
or her own true beliefs or leaving the case unresolved with no
guarantee that the defendant will ultimately be punished.
Precisely in order to avoid such coercion, the Ohio Supreme Court
has rejected an "acquittal first" instruction:
Although the risk of coerced decisions may be
present in any jury deliberation, we agree
with the Oregon Supreme Court that the
"acquittal first" instruction exacerbates such
risk. "When the jury is instructed in
accordance with the 'acquittal first'
instruction, a juror voting in the minority
probably is limited to three options upon
deadlock: (1) try to persuade the majority to
change its opinion; (2) change his or her
vote; or (3) hold out and create a hung jury."
. . . Because of its potential for a coerced
verdict, the "acquittal first" instruction is
improper and may not be charged to a jury inthis state.
State v. Thomas, 40 Ohio St. 3d 213, 219-20, 533 N.E.2d 286, 292
(1988) (quoting State v. Allen, 301 Or. 35, 39, 717 P.2d 1178, 1180
(1986)), cert. denied, 493 U.S. 826, 107 L. Ed. 2d 54 (1989). See
also Allen, 301 Or. at 40, 717 P.2d at 1181 (noting that jury
studies "demonstrate that the 'acquittal first' instruction
exacerbates the risk of coerced decisions . . . ").
An "acquittal first" instruction, such as was used here, also
dilutes the jury's freedom of decision that our State's lesser-
included-offense jurisprudence has so carefully guarded. If, in
the face of a unanimous guilty verdict on the indicted offense, our
courts are still required to remand for a new trial simply so that
a jury will be able to consider all lesser included offenses
supported by the evidence, an instruction that then effectively
bars the jury from considering the lesser included offenses cannot
be permitted. See State v. Sawyer, 227 Conn. 566, 594, 630 A.2d
1064, 1078 (1993) (Katz, J., dissenting) ("Although juries are
often instructed on lesser included offenses, the majority's
imposition of the acquittal first rule effectively prohibits them
from actually considering the lesser included offenses.").
The appropriateness of an "acquittal first" instruction has
been debated across the country. Those states requiring such
instructions do so either because it is mandated by statute or
because of their fear that any other instruction could lead to
compromise verdicts. See, e.g., State v. Raudebaugh, 124 Idaho
758, 761, 864 P.2d 596, 599 (1993) (Idaho Code § 19-2132(c) forbids
a jury from considering lesser included offenses until after it hasfound the defendant not guilty of each greater offense); People v.
Boettcher, 69 N.Y.2d 174, 183, 505 N.E.2d 594, 597 (1987)
(expressing concern about compromise verdicts). Other states, as
a matter of policy, reject an "acquittal first" instruction because
they are more concerned about the instruction's coercive effect and
the possible increase in hung juries:
We believe the "reasonable efforts" procedure
is superior to the acquittal-first requirement
for a number of reasons. First, it reduces
the risks of false unanimity and coerced
verdicts. When jurors harbor a doubt as to
guilt on the greater offense but are convinced
the defendant is culpable to a lesser degree,
they may be more apt to vote for conviction on
the principal charge out of fear that to do
otherwise would permit a guilty person to go
free. The "reasonable efforts" approach also
diminishes the likelihood of a hung jury, and
the significant costs of retrial, by providing
options that enable the fact finder to better
gauge the fit between the state's proof and
the offenses being considered.
State v. LeBlanc, 186 Ariz. 437, 438-39, 924 P.2d 441, 442-43
(1996) (en banc) (citations omitted). Accord State v. Labanowski,
117 Wn. 2d 405, 420, 816 P.2d 26, 34 (1991) (en banc).
While the latter group of states' analysis fits more closely
with the jurisprudence of this State,
(See footnote 1)
we do not need to make that
policy determination. That decision was already made by our
General Assembly in adopting N.C. Gen. Stat. § 15A-1237(e) and we,
as a court, are not free to revisit the question.
The approach that we believe § 15A-1237(e) mandates isconsistent with the current pattern jury instructions. For
example, in 1 N.C.P.I. _ Crim. 206.11 (2002) (emphasis added), a
jury is instructed:
If you find from the evidence beyond a
reasonable doubt that on or about the alleged
date, the defendant intentionally but not in
self-defense, killed the victim thereby
proximately causing the victim's death and
that the defendant acted with malice, with
premeditation, and with deliberation, it would
be your duty to return a verdict of guilty of
first degree murder. 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 first degree murder.
If you do not find the defendant guilty
of first degree murder, you must determine
whether he is guilty of second degree murder.
This instruction simply directs a jury to consider the primary
charge first before continuing onto the lesser included offense.
It does not mandate that the jury unanimously find the defendant
not guilty with respect to first degree murder before turning to
second degree murder. See State v. Gardner, 789 P.2d 273, 284
(Utah 1989) (although rejecting an "acquittal first" instruction,
approving an instruction that permitted the jury to consider the
lesser included offenses "if they do not find the defendant guilty
of the charged offense"), cert. denied, 494 U.S. 1090, 108 L. Ed.
2d 965 (1990).
If, however, as occurred below and in Sanders, a jury
expresses confusion regarding its responsibilities, then we suggest
that the trial court give a "reasonable efforts" instruction
similar to the one that has been adopted in a number of other
jurisdictions: (1) that the jury should first consider the primary
offense, but it is not required to determine unanimously that thedefendant is not guilty of that offense before it may consider a
lesser included offense; and (2) that if the jury's verdict as to
the primary offense is not guilty, or if, after all reasonable
efforts, the jury is unable to reach a verdict as to that offense,
then it may consider whether the defendant is guilty of the lesser
included offense.
Although we agree with defendant that the trial court erred in
giving an "acquit first" instruction, this error was harmless.
When a trial court erroneously instructs a jury, the proper relief
on appeal is the granting of a new trial. State v. Millsaps, 356
N.C. 556, 569, 572 S.E.2d 767, 776 (2002) ("Ordinarily a trial
error committed in jury instructions would warrant a new trial on
the issue affected by the instructions.") (quoting State v.
Blakenship, 337 N.C. 543, 563, 447 S.E.2d 727, 739 (1994)). Here,
after the erroneous instruction, the jury failed to convict
defendant and the trial court ordered a new trial. Defendant has
not contended that the jury was improperly instructed on this issue
in the second trial. Defendant has thus already obtained the only
relief to which he is entitled.
Although defendant argues that an appropriate remedy would be
to mandate that the trial court accept the jury's verdict of second
degree murder, the jury never rendered a verdict of second degree
murder in the first trial. Defendant points to the jury's note
stating "we can unanimously agree that minimally the defendant is
guilty of 2nd degree murder . . . ." (Emphasis original) The
Supreme Court has already held that such a note does not constitute
a verdict. Booker, 306 N.C. at 304, 293 S.E.2d at 79. Inaddition, we stress that while the jury was permitted, under N.C.
Gen. Stat. § 15A-1237(e), to render a verdict as to second degree
murder, it was not required to do so. A properly instructed jury
might still have been unable to agree on a second degree murder
verdict.
We therefore hold that the trial court's erroneous
instructions have not harmed defendant as he has already received
relief in the form of a new trial with a properly instructed jury.
II
[2] Second, defendant argues that the trial court erred in
denying his motion to dismiss the second indictment based on double
jeopardy. Specifically, defendant argues that it was double
jeopardy to again indict defendant for first degree murder, when,
in light of the jury's note to the trial court, the jury in the
first trial must have found defendant guilty of second degree
murder for the same charge. We disagree.
As stated above, the jury in the first trial never rendered a
verdict of second degree murder. Defendant argues that the jury's
first note was indicative of their unanimous agreement on the
verdict of second degree murder. This note, however, is open to
various interpretations and is not equivalent to a verdict.
Because there was no final verdict, there can be no double
jeopardy. Booker, 306 N.C. at 307, 293 S.E.2d at 81 (because the
jury only sent a note, the jury did not return a final verdict and
there was no double jeopardy).
In addition, it is well-established that "[n]ormally, 'a
retrial following a "hung jury" does not violate the DoubleJeopardy Clause.'" Sattazahn v. Pennsylvania, 537 U.S. 101, 109,
154 L. Ed. 2d 588, 597 (2003) (quoting Richardson v. United States,
468 U.S. 317, 324, 82 L. Ed. 2d 242 (1984)). See also Booker, 306
N.C. at 304, 293 S.E.2d at 79 ("The general rule in North Carolina
is that an order of mistrial will not support a plea of former
jeopardy.") . Since only an order of mistrial exists and there was
no verdict, this assignment of error is overruled.
III
[3] Third, defendant argues that the trial court erred in
denying his request for an imperfect self-defense jury instruction.
As defendant acknowledges, the purpose of an instruction on
imperfect self-defense is to permit a jury to find the defendant
guilty of voluntary manslaughter. State v. Norris, 303 N.C. 526,
532, 279 S.E.2d 570, 574 (1981). Even if the evidence supported
the requested instruction, the failure of the trial court to give
the instruction was harmless.
In this case, the trial court instructed the jury that it had
three choices: first degree murder (including both felony murder
and premeditation and deliberation), second degree murder, or not
guilty. The jury found defendant guilty of first degree murder
based on both premeditation and deliberation and felony murder.
Our Supreme Court has held: "[W]hen the trial court submits to the
jury the possible verdicts of first-degree murder based on
premeditation and deliberation, second-degree murder, and not
guilty, a verdict of first-degree murder based on premeditation and
deliberation renders harmless the trial court's improper failure to
submit voluntary or involuntary manslaughter." State v. Price, 344N.C. 583, 590, 476 S.E.2d 317, 321 (1996) (emphasis added). See
also State v. Reid, 335 N.C. 647, 672-73, 440 S.E.2d 776, 790
(1994) (any error as to imperfect self-defense instruction was
harmless because jury found defendant guilty of first degree murder
based on premeditation and deliberation); State v. Potter, 295 N.C.
126, 145-46, 244 S.E.2d 397, 410 (1978) (same). This assignment of
error is overruled.
IV
[4] Defendant next argues that the trial court erred in
submitting a felony murder jury instruction when that instruction
was not supported by the evidence produced at trial. Even assuming
defendant is correct and felony murder should not have been
submitted to the jury, defendant suffered no harm.
The Supreme Court has held that any error in allowing a jury
to consider felony murder does not require a new trial if the jury
also found the defendant guilty based on premeditation and
deliberation. State v. McLemore, 343 N.C. 240, 249, 470 S.E.2d 2,
7 (1996) ("[Defendant] was found guilty based on the felony murder
rule and on the theory of premeditation and deliberation. . . .
Although the defendant should not have been convicted of felony
murder, the verdict cannot be disturbed if the evidence supports a
conviction based on premeditation and deliberation."). Since
defendant was found guilty of first degree murder based on both the
theories of premeditation and deliberation and felony murder, any
error in submitting the felony murder instruction was harmless.
V
[5] Fifth, defendant argues that the trial court erred indenying his motion
in limine to prohibit the State from cross-
examining defendant regarding disciplinary infractions arising out
of an alleged assault on correctional officers while he was
incarcerated. The actual issue to be decided is not whether the
motion
in limine should have been granted, but rather whether the
evidence was properly admitted at trial:
"[W]hen a party purports to appeal the
granting or denying of a motion
in limine
following the entry of a final judgment, the
issue on appeal is not actually whether the
granting or denying of the motion
in limine
was error, as that issue is not appealable,
but instead 'whether the evidentiary rulings
of the trial court, made during the trial, are
error.'"
State v. Gaither, 148 N.C. App. 534, 539, 559 S.E.2d 212, 215-16
(2002) (quoting
State v. Locklear, 145 N.C. App. 447, 452, 551
S.E.2d 196, 198-99 (2001)) (citations omitted). Defendant has not
properly preserved this issue for appeal.
When a motion
in limine has been denied and when the contested
evidence is then offered at trial, the party opposing admission of
the evidence must renew his objection at trial to preserve the
issue for appellate review. Even if the trial court allows the
party a standing objection, the party is not relieved of his
obligation to make a contemporaneous objection.
State v.
Gray, 137
N.C. App. 345, 348, 528 S.E.2d 46, 48 (issue of admissibility of
evidence not preserved for appeal even though trial court granted
defendant's motion for a standing objection),
disc. review denied,
352 N.C. 594, 544 S.E.2d 792 (2000). Because defendant did not
lodge contemporaneous objections, but relied upon a standing
objection,
Gray requires us to conclude that this issue was notpreserved for review. Additionally, defendant has not argued that
the admission constitutes plain error. We elect, however, to
exercise our discretionary powers under N.C.R. App. P. 2 and
address this issue.
[6] During the cross-examination, the prosecutor asked
defendant a series of questions regarding whether he had attempted
to assault correctional officers with a lock. In denying any
assault, defendant claimed that the correctional officers beat him
up and then fabricated the story that he had attempted to assault
them. Defendant argues that these questions were improper, relying
solely on Rules 608 and 609 of the North Carolina Rules of
Evidence. The State responds that the evidence was in any event
admissible under Rule 404(b).
It is well-established that evidence inadmissible under Rules
608 and 609 may still be admissible under Rule 404(b).
See, e.g.,
State v. Wilkerson, 148 N.C. App. 310, 323, 559 S.E.2d 5, 13 (Wynn,
J., dissenting),
adopted per curiam, 357 N.C. 418, 571 S.E.2d 583
(2002) ("Thus, evidence eliciting details of acts that formed the
basis of prior convictions may be elicited under Rule 404(b) even
though such evidence may be barred under Rule 609.")
;
State v.
Barnett, 141 N.C. App. 378, 389, 540 S.E.2d 423, 430 (2000)
("[T]hat the evidence could not be admitted pursuant to Rule 609(a)
does not preclude its admission under [Rule 404(b)]."),
aff'd, 354
N.C. 350, 554 S.E.2d 664 (2001); N.C. Gen. Stat. § 8C-1, Rule 608
Commentary (2001) ("Evidence of wrongful acts admissible under Rule
404(b) is not within this rule and is admissible by extrinsic
evidence or by cross-examination of any witness."). We believe theState's questions were proper under N.C. Gen. Stat. § 8C-1, Rule
404(b) (2001).
Under Rule 404(b) of the Rules of Evidence,
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.
As the Supreme Court has emphasized, Rule 404(b) is a "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) (emphasis original).
In this case, defendant testified repeatedly that he would not
have shot Hale if he had known that he was a police officer: "If
I would have known he was a police officer I never would have shot
the gun, sir." In other words, defendant contended he shot Hale
because he was mistaken about Hale's identity and that he would not
have knowingly harmed a law enforcement officer. The State was
entitled to rebut this claim by suggesting that defendant had
knowingly assaulted law enforcement officers on another occasion.
See Young v. Rabideau, 821 F.2d 373, 380 (7th Cir.) (evidence of
inmate's assaults on correctional officers admissible under Rule
404(b) to negate inmate's claim that he had acted accidentally or
in self-defense in confrontation with a correctional officer),
cert. denied, 484 U.S. 915, 98 L. Ed. 2d 221 (1987). Thisassignment of error is overruled.
VI
[7] In his next assignment of error, defendant contends that
the trial court erred in allowing the State to call as an expert
witness the same expert witness previously retained by defendant,
citing
State v. Dunn, 154 N.C. App. 1, 571 S.E.2d 650 (2002),
disc.
review denied, 356 N.C. 685, 578 S.E.2d 314 (2003). The State
argues that
Dunn is distinguishable. We do not need to reach this
issue since we find that any error was harmless beyond a reasonable
doubt.
Prior to trial, defendant obtained an
ex parte order from the
trial judge authorizing defense counsel to retain the expert
services of Anita Matthews, a serologist employed by Lab Corp, to
test Hale's police ballcap for blood. The presence or absence of
blood on the cap was relevant to the question whether Hale was
wearing his cap when shot. After consulting with Matthews,
defendant decided not to call her as a witness. Unbeknownst to
defendant, however, the State had subsequently also employed
Matthews to test the cap for blood.
The trial court allowed Matthews to testify over defendant's
objection on the grounds that she conducted separate tests for
defendant and the State and she had not disclosed the results of
the defense tests to the district attorney. The trial court
prohibited any testimony regarding Matthews' employment by
defendant or the tests she had conducted for defendant.
Matthews' testimony addressed an issue that ultimately provedto be tangential. She testified only that she had found the
presence of blood on Hale's police ballcap, thus suggesting that
Hale was wearing his police ballcap at the time he was shot. This
fact was relevant only to the question whether defendant knew that
Hale was a police officer when he shot him. That question in turn
relates only to the charge of felony murder. Since the jury also
found defendant guilty of first degree murder based on
premeditation and deliberation, and Hale's status as a police
officer was irrelevant to that charge, we believe the admission of
Matthews' testimony was harmless beyond a reasonable doubt.
(See footnote 2)
VII
[8] Finally, defendant argues that the trial court erred in
denying defendant's motion to dismiss the indictment on the grounds
that it failed to set forth each element of first degree murder.
Defendant's argument fails in light of our Supreme Court's ruling
in
State v. Braxton, 352 N.C. 158, 174, 531 S.E.2d 428, 437 (2000),
cert. denied, 531 U.S. 1130, 148 L. Ed. 2d 797, (2001).
See also
State v. Anderson, 355 N.C. 136, 148-49, 558 S.E.2d 87, 96 (2002);
State v. Long, 354 N.C. 534, 543, 557 S.E.2d 89, 95 (2001).
No Error.
Judges WYNN and BRYANT concur.
Footnote: 1See State v. Alston, 294 N.C. 577, 592-93, 243 S.E.2d 354, 364
(1978) ("[O]ur Court has solidly established certain rules for our
guidance,
e.g., a trial judge has no right to coerce a verdict, and
a charge which might reasonably be construed by a juror as
requiring him to surrender his well-founded convictions or judgment
to the views of the majority is erroneous.").
Footnote: 2 Additionally, the State presented testimony from a number of eye
witnesses that Hale was wearing a ballcap and the ballcap was
ultimately found next to Hale's head on the ground.
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