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. PRESTON SMITH
NO. COA03-758
Filed: 6 July 2004
1. Appeal and Error--appealability--interlocutory order--N.C.G.S. § 15A-1432(d)
exception
Although an appeal from the superior court's reversal and remand of a district court order
dismissing defendant's probation violation is an appeal from an interlocutory order and ordinarily
not appealable, N.C.G.S. § 15A-1432(d) provides an exception because: (1) the superior court
determined that the district court's order dismissing the probation violation was erroneous and
remanded the matter back to the district court for further proceedings; (2) defendant's attorney
certified to the superior court judge that the appeal was not taken for the purpose of delay, and
the superior court judge found that the cause was appropriately justiciable in the appellate
division as an interlocutory matter; and (3) a probation revocation hearing is sufficiently
analogous to the dismissal of criminal charges for the purposes of this statute.
2. Probation and Parole--probation violation report--timeliness
The superior court erred in a probation violation case by concluding that the State's
violation report was timely, because: (1) the State's probation revocation complaint was not filed
prior to the expiration of defendant's probation term as required by N.C.G.S. § 15A-1344(f)(1);
and (2) defendant's probation was not stayed while defendant appealed his conviction from
district court to superior court.
Appeal by defendant from order entered 13 March 2003 by Judge
James U. Downs in Buncombe County Superior Court. Heard in the
Court of Appeals 3 March 2004.
Attorney General Roy Cooper, by Assistant Attorney General
Kathleen U. Baldwin, for the State.
Appellate Defender Staples S. Hughes, by Assistant Appellate
Defender Barbara S. Blackman, for defendant appellant.
McCULLOUGH, Judge.
On 6 December 2000, defendant Preston Smith was found guilty
of assault on a female in Buncombe County District Court.
Defendant's sentence of ninety days in prison was suspended, and
defendant was placed on supervised probation for twelve months.
Defendant appealed to superior court and was later allowed towithdraw the appeal. The case was remanded to district court for
immediate execution of the judgment.
On 24 January 2002, defendant's probation officer, Liz
McCurry, filed a probation violation report. McCurry asserted that
defendant violated the terms of his probation by failing to pay his
probation supervision fee and by committing the offense of felony
larceny.
The Honorable Gary S. Cash considered the issue of defendant's
probation violation on 29 January 2003. Judge Cash dismissed the
probation violation because the State failed to file a violation
report before the expiration of the probation period. The State
appealed this order on 31 January 2003, but voluntarily dismissed
the appeal.
On 6 March 2003, the State filed a petition for writ of
certiorari in Buncombe County Superior Court seeking review of
Judge Cash's order. The State amended its petition on 7 March 2003
and filed a memorandum in support of the petition.
On 10 March 2003, defendant filed a motion to dismiss the
petition for writ of certiorari and a response to the petition.
The Honorable James U. Downs granted the State's petition and
remanded the matter to district court for further proceedings.
Judge Downs also determined that when a defendant appeals his case
from district court to superior court and later remands his case
back to the district court, the date of remand starts the judgment.
Defendant appeals. On appeal, defendant argues that the trial
court erred in determining that the State's petition was timely
filed. We agree and reverse the decision of the superior court.
I. State's Motion to Dismiss
[1] As a preliminary matter, we must consider whether the
appeal is properly before this Court. Under N.C. Gen. Stat. § 1A-
1, Rule 54(a) (2003), a judgment is either final or interlocutory.
Our Supreme Court has explained this distinction:
A final judgment is one which disposes of the
cause as to all the parties, leaving nothing
to be judicially determined between them in
the trial court. An interlocutory order is one
made during the pendency of an action, which
does not dispose of the case, but leaves it
for further action by the trial court in order
to settle and determine the entire
controversy.
Veazey v. Durham, 231 N.C. 357, 361-62, 57 S.E.2d 377, 381,
reh'g
denied, 232 N.C. 744, 59 S.E.2d 429 (1950). The right to appeal in
a criminal proceeding is purely statutory.
State v. Nichols, 140
N.C. App. 597, 598-99, 537 S.E.2d 825, 826 (2000). Generally,
[t]here is no provision for appeal to the Court of Appeals as a
matter of right from an interlocutory order entered in a criminal
case[.]
State v. Henry, 318 N.C. 408, 409, 348 S.E.2d 593, 593
(1986).
In this case, the superior court reversed and remanded the
district court's order dismissing defendant's probation violation.
This order is not a final judgment because it does not dispose of
the matter as to all the parties, leaving nothing to be judicially
determined between them in the trial court. Instead, the order is
interlocutory because the lower court must take further action to
settle the dispute. As we have stated, interlocutory orders
entered in criminal cases are generally not appealable in thisCourt.
Id. Therefore, this appeal should be dismissed unless an
exception applies.
N.C. Gen. Stat. § 15A-1432(d) (2003) provides such an
exception:
If the superior court finds that a judgment,
ruling, or order
dismissing criminal charges
in the district court was in error, it must
reinstate the charges and remand the matter to
district court for further proceedings. The
defendant may appeal this order to the
appellate division as in the case of other
orders of the superior court, including by an
interlocutory appeal if the defendant, or his
attorney, certifies to the superior court
judge who entered the order that the appeal is
not taken for the purpose of delay and if the
judge finds the cause is appropriately
justiciable in the appellate division as an
interlocutory matter.
(Emphasis added.)
We believe that this statute applies to the present case.
Here, the superior court determined that the district court's order
dismissing the probation violation was erroneous and remanded the
matter back to the district court for further proceedings.
Defendant also met the other requirements of the statute. His
attorney certified to the superior court judge that the appeal was
not taken for the purpose of delay, and the superior court judge
found that the cause was appropriately justiciable in the appellate
division as an interlocutory matter.
We also wish to clarify that a probation revocation hearing is
sufficiently analogous to the dismissal of criminal charges for the
purposes of this statute. In its brief, the State (the party which
would be aggrieved by such an interpretation) acknowledges that:
While a probation revocation hearing is not
technically a full criminal prosecution, it isundeniably a part of the criminal process.
Probationers receive a variety of due process
protections. Final revocation of probation
must be preceded by a hearing. . . .
Violation of probation can result in
arrest for such violation [under] N.C.G.S. §
15A-1345(a) (2001), and a preliminary hearing
is generally required, just as in conventional
criminal prosecutions. N.C.G.S. § 15A-1345(c).
. . .
For these reasons, the State argues that
the dismissal of the instrument bringing a
probationer back to the court for possible
revocation of probation and activation of a
sentence of imprisonment is sufficiently akin
to the dismissal of criminal charges . . . .
(Emphasis added.) Because we have the authority to hear this case
under N.C. Gen. Stat. § 15A-1432(d), the State's motion to dismiss
is denied.
(See footnote 1)
We turn to consider the merits of the case.
II. Failure to Timely File the Probation Violation Report
[2] Defendant argues that the superior court erred in making
its determination on the timeliness of the probation violation
report. We agree.
'When a sentence has been suspended and defendant placed on
probation on certain named conditions, the court may,
at any time
during the period of probation, require defendant to appear before
it, inquire into alleged violations of the conditions, and if found
to be true, place the suspended sentence into effect.'
State v.
Hicks, 148 N.C. App. 203, 204, 557 S.E.2d 594, 595 (2001) (citationomitted). However,
after the period of probation has ended, a
court may revoke probation only if a probation revocation complaint
is filed prior to the expiration of the probation term. N.C. Gen.
Stat. § 15A-1344(f)(1) (2003).
In this case, defendant was placed on twelve months' probation
on 6 December 2000. The revocation complaint was filed on 29
January 2002. Thus, the complaint was filed more than twelve
months from the date of sentencing.
The State argues that the complaint was timely filed because
defendant's probation was stayed while defendant appealed his
conviction from district court to superior court. We disagree with
this contention. Under N.C. Gen. Stat. § 15A-1431(f)(2003):
Appeal pursuant to this section stays the
execution of portions of the judgment relating
to fine and costs. Appeal stays portions of
the judgment relating to confinement when the
defendant has complied with conditions of
pretrial release. If the defendant cannot
comply with conditions of pretrial release,
the judge may order confinement in a local
confinement facility pending the trial de novo
in superior court.
This statute provides that the only portions of a district
court sentence stayed by an appeal are fines, costs, and terms of
imprisonment if the defendant has complied with pretrial conditions
of release. If ordinary probation is involved, the defendant
begins serving the probation despite the appeal[.]
See Stevens H.
Clarke,
Law of Sentencing, Probation, and Parole in North Carolina,
p. 124 (Institute of Gov't 2d ed. 1997).
This provision should not be confused with N.C. Gen. Stat. §
15A-1451 (2003), the section that deals with appeals from superior
court to the appellate courts.
When a defendant appeals fromsuperior court to the appellate courts, probation is stayed. N.C.
Gen. Stat. § 15A-1451(a)(4). Since the legislature specifically
delineated that probation is stayed in this section and did not do
so in N.C. Gen. Stat. § 15A-1431(f), this reveals a deliberate
decision not to stay probation when a defendant appeals district
court decisions to the superior court. Plaintiff's suggestion that
defendant's probation was stayed is without merit.
Because the State's probation revocation complaint was not
filed prior to the expiration of defendant's probation term, the
State failed to comply with N.C. Gen. Stat. § 15A-1344(f)(1).
Furthermore, since defendant's probation was not stayed while
defendant appealed his conviction from district court to superior
court, the State has not shown that its complaint was timely filed.
Therefore, the district court was correct in dismissing the
probation violation, and the superior court erred in reinstating
the charges. The order of the superior court is
Reversed.
Judges BRYANT and ELMORE concur.
Footnote: 1
Alternatively, we note that this Court has the authority
to hear this case even if N.C. Gen. Stat. § 15A-1432(d) does not
apply. Under N.C.R. App. P. 21(a)(1) (2004), writs of certiorari
permit review of the judgments and orders of trial tribunals
when the right to prosecute an appeal has been lost [because] no
right of appeal from an interlocutory order exists[.]
This
provision allows us to hear interlocutory criminal appeals like
the one in the case at bar.
*** Converted from WordPerfect ***