Link to original WordPerfect file
How to access the above link?
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
print version appearing in the North Carolina Reports and North Carolina Court of Appeals Reports, the latest print version is to be considered authoritative.
STATE OF NORTH CAROLINA v. DWAYNE ANTHONY SMITH, Defendant
NO. COA02-1363
Filed: 6 January 2004
1. Kidnapping_indictment_unlawful removal_instruction too broad_plain error
There was plain error where a kidnapping indictment alleged unlawful removal but the
court's instructions were that the jury could find defendant guilty if he unlawfully confined,
restrained, or removed the victim. The error likely tilted the scale in light of the jury's request
for more instructions on kidnapping, the conflicting evidence on unlawful removal, and the
stronger evidence of confinement or restraint.
2. Kidnapping_indictment and instruction_begun in one county, ended in another
There was no error in the denial of a kidnapping victim's request for an instruction that
the State was required to prove that the kidnapping occurred in Wilson County, as alleged in the
indictment. Kidnapping is an ongoing offense; while the State's evidence may have suggested
that the offense began in Wake County, it ended in Wilson County when the victim regained her
freedom. There was no risk that the jury could convict defendant of a different kidnapping.
3. Criminal Law_absence of judge_harm must be shown
The absence of the trial judge from the proceedings will not constitute reversible error
unless the record shows harm to defendant.
Appeal by defendant from judgment entered 13 March 2002 by
Judge Cy A. Grant, Sr. in Wilson County Superior Court. Heard in
the Court of Appeals 21 August 2003.
Attorney General Roy Cooper, by Assistant Attorney General
Thomas B. Wood, for the State.
Daniel Shatz, for defendant-appellant.
GEER, Judge
Defendant Dwayne Anthony Smith appeals from his convictions
for second-degree kidnapping, assault inflicting serious injury,
and communicating threats. Because the trial court instructed the
jury as to kidnapping theories not included in the indictment, we
vacate defendant's second-degree kidnapping conviction and remandfor a new trial. We find defendant's remaining assignments of
error to be without merit.
Facts
A. The State's Evidence.
The State's evidence tended to show the following. Kimberly
Hare had been living with defendant since February 2000. On 14
January 2001, at approximately 6:00 p.m., defendant and Hare met
three male friends at a bar called the Sports Page in Knightdale,
North Carolina. Hare had already drunk four or five beers that
afternoon and probably drank another four beers at the bar. When
Hare and defendant left the bar at 11:00 p.m., they had an argument
in the parking lot about whether defendant was too drunk to drive.
During the argument, defendant hit Hare in the face with his fist.
Hare returned to the bar, told their friends and the bartender what
had happened, and the bartender called the police. Defendant
attempted to drag Hare out of the bar, but the police arrived,
arrested him, and transported him to jail.
Hare decided not to return to defendant's house in Wilson, but
instead went with their friends, including a man named Nick, to a
house on Hodge Road in Wake County. After about thirty minutes,
Hare went to bed. She was awakened by defendant who picked her up,
despite her requests that he put her back down, and carried her
naked to his truck. Hare admitted that she did not scream or try
to rouse her friends to help her, even though they passed a man on
the couch while defendant was carrying her to the truck. In the
truck, defendant punched her in the face, called her a slut, andsaid that "[she] was going to die [that day] because he was going
to kill [her]."
Defendant began driving towards their home in Wilson,
repeatedly threatening to kill Hare. Defendant stopped at a
convenience store and told Hare to call Nick to tell him that she
was pressing rape charges against him the next day. When Hare
hesitated to make the call, defendant struck her again. After the
call, he pulled her back in the truck, started driving again, and
hit her repeatedly in the face, causing her to bleed all over the
seats of defendant's truck.
Defendant then drove the truck to another location where there
was a path. He stopped the truck and sexually assaulted Hare with
a capped beer bottle while threatening to bury her at the end of
the path. During the entire truck drive, Hare was forced to remain
unclothed. At some point, Hare falsely told defendant that she was
pregnant hoping that he would stop hitting her.
When they finally reached their home in Wilson, defendant
demanded that Hare take a shower to wash off the blood and sexually
assaulted her again. Defendant left to get a pregnancy test and
swore that he would kill her if it came back negative. When
defendant was gone, Hare got dressed, ran to a neighbor's house,
and called 911. Defendant was arrested when he returned from the
store.
Hare's sister-in-law, Jennifer Wilson, picked Hare up at the
Wilson County magistrate's office. Wilson testified at trial that
Hare had cuts, marks, and bruises all over her face and that she
could hardly walk. Wilson also testified that when she sawdefendant's truck, there was blood "everywhere," including on the
windshield, door, door handle, seats, and steering wheel. A deputy
sheriff photographed and also testified about Hare's injuries.
B. Defendant's Evidence.
Defendant and his mother both testified. Defendant agreed
that he and Hare had an argument in the parking lot of the Sports
Page. Defendant claimed that he lightly pushed Hare and she went
back into the bar. After he waited in the truck for a while and
she did not return, he started to go back into the bar, but the
police arrived and arrested him.
Defendant's mother, Diana Smith, testified that she received
a call from Hare at about midnight, telling her that defendant was
in the Wake County jail because they had been fighting. At
approximately 3:00 a.m., defendant's mother bailed defendant out of
jail. Defendant and his mother both testified that while she was
driving him back to his truck, he "beeped" Hare on his Nextel two-
way radio. Defendant's mother heard Hare respond and ask defendant
to pick Hare up on Hodge Road. Defendant's mother testified that
she told him that he should just go home and stay away from Hare.
Defendant had his mother take him to his truck at the Sports Page
and follow him to the house on Hodge Road.
Defendant testified that he knocked on the Hodge Road door,
but got no answer. He entered the unlocked house and found Hare
naked in bed with Nick. He picked her up, stood her on the floor,
gathered her clothes off the floor, and put his coat around her.
Defendant testified that Hare never indicated that she did not want
to leave. While arguing over the Sports Page incident, they walkedoutside, got into the truck, and left. Defendant's mother
confirmed that she saw defendant and Hare walking to the truck side
by side, that she heard them quarrelling, and that Hare was wearing
a jacket. Defendant's mother followed them for a while, but then
turned off the highway and headed home.
Defendant testified that as they drove towards Wilson, the
argument became more heated and they started pushing and hitting
each other. Hare demanded that he let her out of the truck. At
one point, defendant stopped at a convenience store and told Hare
to call someone to come pick her up. While Hare did make a phone
call, she then got back into the truck and said, "Let's go." They
drove to their home in Wilson with defendant stopping once to
urinate. He claimed that Hare never tried to get away from him.
After they returned home, Hare told defendant that she was
pregnant. He left to get a pregnancy test and when he returned, he
was arrested. Defendant admitted hitting Hare at some point during
the night, but denied ever threatening her life.
Defendant claimed that between the incident and the trial, he
and Hare secretly saw each other often, including a trip to watch
a race at Martinsville. The Wake County assault charges stemming
from the argument in the Sports Page parking lot were dismissed
when Hare failed to appear at numerous court dates.
Defendant was indicted with second-degree kidnapping, assault
inflicting serious injury, and communicating threats. Defendant
was tried at the 11 March 2002 regular criminal session of Wilson
County Superior Court with Judge Cy A. Grant, Sr. presiding. The
jury found defendant guilty of all three charges and the trialcourt sentenced defendant to a minimum of 29 and a maximum of 44
months.
I
[1] Defendant first assigns plain error to the trial court's
instructions on the second-degree kidnapping charge, arguing that
the instructions permitted the jury to convict defendant based on
theories of kidnapping not alleged in the indictment. We agree.
The indictment charged that defendant had committed kidnapping
by unlawfully removing Hare from one place to another:
[t]he defendant named above unlawfully,
wilfully and feloniously did kidnap Kimberly
Wilson Hare, a person who had attained the age
of 16 years, by unlawfully removing [her] from
one place to another, without the victim's
consent, and for the purpose of doing serious
bodily injury to Kimberly Wilson Hare.
(Emphasis added) The jury instructions, however, permitted the
jury to find defendant guilty of second-degree kidnapping if the
State proved that defendant, without consent, "unlawfully confined
a person or restrained a person or removed a person from one place
to another." After the jury began deliberations, the foreperson
sent a note to the judge stating, "We need for you to review the
list of conditions for 2nd degree kidnapping." The judge repeated
his original instructions, but also defined "restrained" more
specifically as "restrict[ing] her freedom of movement."
Although the instruction given in this case parallels the
statutory definition of second-degree kidnapping, see N.C. Gen.
Stat. § 14-39(a) (2001), it varies significantly from theindictment. As a basis for finding kidnapping, the indictment only
alleged "removing," while the instructions allowed the jury to
convict based on "confining, restraining, or removing."
The Supreme Court has already held in State v. Tucker, 317
N.C. 532, 346 S.E.2d 417 (1986), that such a variance constitutes
error. In Tucker, the indictment alleged that the defendant had
kidnapped the victim by "removing her from one place to another,"
but the trial judge instructed the jury that it could find
defendant guilty of kidnapping if it found that "the defendant
unlawfully restrained [the victim.]" Id. at 537, 346 S.E.2d at 420
(emphasis original). The fact that the State's evidence supported
the giving of the instruction was immaterial since the instruction
was inconsistent with the indictment: "'It is a well-established
rule in this jurisdiction that it is error, generally prejudicial,
for the trial judge to permit a jury to convict upon some abstract
theory not supported by the bill of indictment.'" Id. at 537-38,
346 S.E.2d at 420 (quoting State v. Taylor, 301 N.C. 164, 170, 270
S.E.2d 409, 413 (1980)). The Court therefore concluded that "the
trial court erred in its jury instructions on kidnapping." Id. at
538, 346 S.E.2d at 421.
In State v. Lucas, 353 N.C. 568, 590, 548 S.E.2d 712, 727
(2001), the Supreme Court expressly reaffirmed its holding in
Tucker: "[W]e reaffirm our holding in Tucker, and we again adjure
the trial courts to take particular care to ensure that the jury
instructions [in kidnapping cases] are consistent with the theory
presented in the indictment and with the evidence presented at
trial." Although concluding that the error was not prejudicial,the Court held in Lucas that "[b]ecause the indictment here charged
confinement, the instructions given by the trial court based on the
theory of removal were erroneous." Id. at 588, 548 S.E.2d at 726.
See also State v. Dammons, 293 N.C. 263, 273, 237 S.E.2d 834, 841
(1977) (Instead of only alleging unlawful removal, "[h]ad the state
desired to prosecute on the theory that defendant confined and
restrained the victim by, perhaps, placing her in the trunk of the
car, it should have so alleged by way of an additional count in the
indictment.").
This Court addressed precisely the facts present here in State
v. Dominie, 134 N.C. App. 445, 448-49, 518 S.E.2d 32, 34 (1999).
This Court vacated the defendant's first-degree kidnapping
convictions and remanded for a new trial when the indictment
alleged only that the defendant unlawfully removed the victims, but
the trial court instructed the jury that they could find defendant
guilty of kidnapping if he unlawfully confined, restrained, or
removed the victims.
Under Tucker, Lucas, Dammons, and Dominie, the trial court
erred in instructing the jury that it could find defendant guilty
of kidnapping if he unlawfully confined, restrained, or removed
Hare when the indictment alleged only unlawful removal. Since
defendant did not, however, object to the trial court's
instructions, we must determine whether this error constituted
plain error. "In deciding whether a defect in the jury instruction
constitutes 'plain error,' the appellate court must examine the
entire record and determine if the instructional error had aprobable impact on the jury's finding of guilt." State v. Odom,
307 N.C. 655, 661, 300 S.E.2d 375, 378-79 (1983).
In Tucker, the Supreme Court found plain error when "[i]n
light of the highly conflicting evidence . . . on the unlawful
removal and restraint issues, we think the instructional error
might have . . . tilted the scales and caused the jury to reach its
verdict convicting the defendant." 317 N.C. at 540, 346 S.E.2d at
422 (internal quotation marks omitted). We believe the same is
true here.
The question before this Court is whether the trial court's
failure to limit the jury to considering whether defendant
unlawfully removed Hare had a probable impact on the verdict. With
respect to the question of removal, the evidence was in stark
conflict. On the removal issue, the State offered only the
testimony of Hare. While Hare testified that defendant removed her
from the house on Hodge Road by physically carrying her to the
truck despite her objections, she admitted that she made no attempt
to seek help from her friends even when passing someone on the
couch. Defendant, on the other hand, offered not only his own
testimony that Hare came with him voluntarily, but also presented
corroborating testimony from his mother. Defendant's mother
testified that she heard Hare ask her son, on his Nextel two-way
radio, to pick her up on Hodge Road. She further testified that
she followed her son to Hodge Road and, contrary to Hare's
testimony, saw Hare walk unassisted with her son to his truck
clothed in a jacket. In short, the evidence as to whether Hare
consented to her removal from Hodge Road was highly conflicting. Under the jury instructions, however, the jury did not have to
decide who to believe because it could still find defendant guilty
of kidnapping if he confined or restrained Hare, without her
consent, for the purpose of doing serious bodily injury to her.
"Restrained" was defined as "restrict[ing Hare's] freedom of
movement." There is a considerable difference between finding that
defendant removed Hare from one place to another without her
consent and finding that defendant restricted Hare's freedom of
movement without her consent for purposes of doing serious bodily
injury.
In deciding whether the instructional error constituted plain
error, the jury's question regarding the "conditions" for
kidnapping is significant. It suggests that the precise wording of
those conditions _ which varied from the indictment _ was important
to the outcome of the case. See State v. Brown, 312 N.C. 237, 249,
321 S.E.2d 856, 863 (1984) (relying upon the jury's request for
clarification as to the elements of kidnapping in finding plain
error when the instructions on kidnapping differed from the
theories alleged in the indictment). Here, in light of the jury's
request, the conflicting evidence on removal, and the stronger
evidence on confinement or restraint, we believe that the
instructional error, as in Tucker, likely "tilted the scales" and
resulted in the guilty verdict.
In support of its contention that the erroneous instruction
did not constitute plain error, the State points to State v.
Gainey, 355 N.C. 73, 94, 558 S.E.2d 463, 477, cert. denied, 537
U.S. 896, 154 L. Ed. 2d 165 (2002), Lucas, 353 N.C. at 573-74, 548S.E.2d at 717, and State v. Clinding, 92 N.C. App. 555, 562, 374
S.E.2d 891, 895 (1989). As those opinions stress, however, in each
instance, the evidence before the jury was not in conflict as to
the theory charged in the indictment.
In Gainey, the jury instructions allowed a finding of
kidnapping based on "restraint or removal," but the indictment
relied only upon confinement. The defendant, however, had admitted
that he forced the victim at gunpoint into a car and that he later
put the victim in the trunk, thus leading to the Supreme Court's
conclusion that "[t]he evidence in the case sub judice is not
highly conflicting." 355 N.C. at 94-95, 558 S.E.2d at 477. In
Lucas, the indictment charged confinement, but the instructions
allowed kidnapping based on removal. The Court distinguished
Tucker because the evidence in Lucas was "compelling," including
defendant's own testimony, that defendant, armed with a shotgun,
accompanied his friend to the victim's home where his friend forced
the victim into a car at gunpoint and that defendant then drove the
car to a hotel. 353 N.C. at 588, 548 S.E.2d at 726. In Clinding,
this Court found no prejudice when the trial court instructed as to
restraint although the indictment alleged removal and confinement
because of "overwhelming" evidence from five eyewitnesses and a
confession from defendant establishing that the defendant at
gunpoint forced five employees into a freezer. 92 N.C. App. at
562, 374 S.E.2d at 895.
Tucker, involving an indictment alleging unlawful removal and
instructions discussing unlawful restraint, is more directly on
point. In Tucker, as here, the two primary witnesses at trial werethe victim and the defendant, who had been involved in a
relationship. The victim claimed that, during an argument, the
defendant would not allow her to leave his truck, transported her
to a remote location, threatened her life, and sexually assaulted
her. Defendant, however, testified that they engaged in consensual
sex and that they were planning to elope on the night at issue.
The victim's cousin and a doctor corroborated the victim's
injuries, while defendant presented a witness who testified that he
saw the victim and the defendant, on the day of the alleged
kidnapping, sitting very close together.
The evidence in this case parallels that of Tucker and as in
Tucker is highly conflicting with respect to the theory alleged in
the indictment: whether defendant unlawfully removed the victim
from one place to another. We therefore vacate defendant's
conviction of second-degree kidnapping and remand for a new trial.
II
[2] Defendant also contends that the trial court erred by
denying defendant's request to instruct the jury that the State was
required to prove that the kidnapping occurred in Wilson County as
alleged in the indictment. Because this issue may arise again, we
address it and conclude that the trial court did not err.
Defendant relies solely on State v. Cox, 303 N.C. 75, 277
S.E.2d 376 (1981). In Cox, the indictment charged the defendants
with rape in Pasquotank County, but the State offered evidence that
the defendants may also have raped the victim in Virginia and Rocky
Mount. Because "[i]t is a fundamental rule in the administration
of criminal justice that a defendant must be convicted, if at all,of the particular offense charged on the bill of indictment," the
Supreme Court held that the trial court erred in failing to charge
the jury that they could only convict defendants of those rapes
that occurred in Pasquotank County, as alleged in the indictment.
Id. at 84-85, 277 S.E.2d at 382.
Unlike Cox, this case does not involve multiple possible
offenses, but rather only one kidnapping. In contrast to rape, in
which each act of intercourse is a separate offense, "kidnapping is
an ongoing offense . . . ." Lucas, 353 N.C. at 589, 548 S.E.2d at
727. In this case, while the State's evidence may have suggested
that the offense alleged in the indictment began at Hodge Road in
Wake County, that offense ended in Wilson County when Hare regained
her freedom. See State v. White, 127 N.C. App. 565, 571, 492
S.E.2d 48, 51 (1997) ("We therefore hold that the offense of
kidnapping under N.C. Gen. Stat. § 14-39 is a single continuing
offense, lasting from the time of the initial unlawful confinement,
restraint or removal until the victim regains his or her free
will."). The evidence thus did not vary from the indictment and,
contrary to Cox, there is no risk that the jury could convict
defendant of a kidnapping different from the one alleged in the
indictment. This assignment of error is overruled.
III
[3] Defendant further contends that the trial court committed
error by leaving the courtroom during a portion of the prosecutor's
closing argument. In State v. Arnold, 314 N.C. 301, 333 S.E.2d 34
(1985), however, our Supreme Court held that "it is wellestablished that the absence of the judge from the proceedings will
not constitute reversible error unless the record shows that
something occurred which would harm the defendant." Id. at 308,
333 S.E.2d at 38.
Since defendant's only claim of prejudice relates solely to
his conviction for kidnapping, which we have vacated, and since the
issue is not likely to recur during the new trial, we do not
address this issue. For the same reason, we decline to address
defendant's remaining assignment of error.
Conclusion
We conclude that there was no error with respect to
defendant's conviction for assault inflicting serious injury and
for communicating threats. For the reasons stated above, defendant
is entitled to a new trial on the charge of second-degree
kidnapping.
New Trial.
Judges McGEE and BRYANT concur.
*** Converted from WordPerfect ***