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1. Appeal and Error--preservation of issues--objection not required during sentencing
Defendant did not waive appellate review in a double armed robbery and assault with a
deadly weapon with intent to kill inflicting serious injury case as to the issue of whether the trial
court erroneously considered evidence from his codefendant's trial, because: (1) an error at
sentencing is not considered an error at trial for the purpose of N.C. R. App. P. 10(b)(1) since
this rule is directed to matters which occur at trial and upon which the trial court must be given
an opportunity to rule in order to preserve the question for appeal; and (2) defendant was not
required by Rule 10(b)(1) to object during sentencing in order to properly preserve this issue for
appellate review.
2. Sentencing--aggravating factors--Blakely error
The trial court did not err in a double armed robbery and assault with a deadly weapon
with intent to kill inflicting serious injury case by increasing defendant's sentences beyond the
prescribed statutory maximum based upon its own finding of aggravating factors that were not
alleged in the indictments or found by the jury beyond a reasonable doubt, because: (1) in North
Carolina there is no requirement that aggravating factors be alleged in an indictment; (2) the
situations contemplated by State v. Allen, 359 N.C. 425 (2005), are not present in the instant case
since defendant was indicted as of the certification date of the Allen opinion, his appeal is not
now pending direct review, and his case was final; and (3) defendant did not appeal the trial
court's acceptance of his Alford plea agreement, the finding of aggravating and mitigating factors
by the trial court, nor his sentence of twenty-five years for each armed robbery case and five
years for assault.
3. Sentencing--aggravating factors--taking property of great monetary value
The trial court erred in a double armed robbery and assault with a deadly weapon with
intent to kill inflicting serious injury case by finding the aggravating factor that the offense
involved the actual taking of property of great monetary value, and defendant is entitled to a new
sentencing hearing, because: (1) both defendant and the State agreed that according to earlier
decisions of the Court of Appeals, $2,500 is the least amount previously held to be of great
monetary value, while other decisions of our Supreme Court and the Court of Appeals
consistently have held that great monetary value included amounts of approximately $3,000; and
(2) although there is no bar or case law that prevents the Court of Appeals from holding that a
great monetary amount may include an amount less than $2,500, the amounts of $1,300 and $700
in this case do not constitute great or extraordinary amounts.
4. Sentencing--nonstatutory aggravating factor_-great monetary loss--medical
expenses
The trial court did not err in a double armed robbery and assault with a deadly weapon
with intent to kill inflicting serious injury case by finding the nonstatutory aggravating factor that
the offense involved monetary loss of $29,837.29, because: (1) the victim's medical expenses
were excessive and surpassed those normally incurred from an assault of this type; and (2)
defense counsel stipulated to the amount of the victim's medical expenses when he did not object
to the State's recitation of the $29,837.29 figure as the amount of the victim's medical bills nordid he take exception to the amount of medical expenses offered by the State in support of its
argument.
Attorney General Roy A. Cooper, III, by Assistant Attorney
General Brandon L. Truman, for the State.
Appellant Defender Staples Hughes, by Assistant Appellant
Defender Daniel R. Pollitt, for defendant-appellant.
JACKSON, Judge.
On 26 August 1994, Clarence Williams, Sr., Clarence Williams,
Jr., and Marcus Simpson were playing cards in a game room owned by
Clarence Williams, Sr. in Plymouth, North Carolina. Around 1:00
a.m., Arnold Michael Pender (defendant) and Jason Troy Hackett
(co-defendant) entered the game room, showed their firearms,
demanded money, and told the card players to get on the floor. As
Clarence Williams, Sr. began to turn, defendant shot him in the
buttocks. Defendant and co-defendant took money from the card
table, the game room's cash register, and the card players'
pockets. Defendant and co-defendant subsequently left the scene.
On 13 March 1995, a grand jury indicted defendant on two
counts of armed robbery and assault with a deadly weapon with
intent to kill inflicting serious injury on Clarence Williams, Sr.
On 8 May 1995, three witnesses testified for the State in co-
defendant's trial. Clarence Williams, Sr. testified that defendantand co-defendant took between approximately one thousand dollars
($1,000.00) and eleven hundred dollars ($1,100.00) in cash from his
pocket and one hundred and fifty dollars ($150.00) to one hundred
and sixty dollars ($160.00) from the cash register. He also
testified that his medical bills from the shooting were close to
between twenty-seven thousand dollars ($27,000.00) and twenty-eight
thousand dollars ($28,000.00). Clarence Williams Jr. testified
that defendant and co-defendant took seven hundred dollars
($700.00) in cash from his pocket and person. During
co-defendant's trial, co-defendant changed his plea from not guilty
to guilty on the armed robbery charges and the State dismissed the
assault charge. The trial court accepted his pleas and entered
Judgment and Commitment against him. At his sentencing
proceedings, the State stated that Clarence Williams, Sr. incurred
medical expenses in the amount of twenty-nine thousand eight
hundred and thirty-seven dollars and twenty-nine cents ($29,837.29)
as a result of the shooting. Co-defendant's attorney did not
object to or dispute the State's recitation of the amount of
medical expenses.
On 9 May 1995, defendant's case came before the trial court.
Pursuant to a plea agreement that left the matter of defendant's
sentencing to the trial court's discretion, defendant entered
Alford pleas on two counts of armed robbery and the lesser offense
of assault with a deadly weapon inflicting serious injury. At the
sentencing hearing, the trial court found in aggravation that the
offenses involved the actual taking of property of great monetaryvalue. The trial court also found in mitigation that defendant had
no prior criminal record. During defendant's sentencing hearing,
defendant's attorney stipulated that the State could summarize the
evidence. Included in the State's recitation was the fact that
Clarence Williams Sr.'s medical bills totaled twenty-nine thousand
eight hundred thirty-seven dollars and twenty-nine cents
($29,837.29). Defendant objected on the grounds that the monetary
loss of the medical expenses was an element of the charge of
assault with a deadly weapon inflicting serious injury.
At the sentencing hearing, neither the State nor defendant
called witnesses to testify. Rather, defendant's attorney
stipulated that there was a factual basis for the entry of the
plea, that the State's attorney could make a recitation if he
wished to do so, and that the trial court could consider
information from co-defendant's case. The State submitted that the
trial court had heard the evidence of the assault where [Clarence
Williams, Sr.] was shot in the right buttocks with the weapon being
fired, shot in and up around his hip. . . . [and that Clarence
Williams, Sr.'s] medical bills [were in the amount of] $29,837.29.
The trial court then stated that it did not need to hear anything
else about that. Subsequently, defendant's attorney summarized
the evidence and contentions supporting possible mitigating
factors, including the absence of any prior criminal convictions in
defendant's record.
The trial court sentenced defendant to twenty-five years
imprisonment for each armed robbery case, which carried aprescribed statutory maximum presumptive sentence of fourteen
years. The trial court then sentenced defendant to five years
imprisonment for the assault with intent to inflict bodily injury
case, which carried a prescribed statutory maximum presumptive
sentence of three years. The trial court ordered all sentences to
run consecutively for a total consecutive sentence of fifty-five
years imprisonment. Defendant did not appeal.
On 26 November 2003, this Court allowed defendant's petition
for the purpose of reviewing the trial court's 9 May 1995 judgments
and provided that review was limited to those issues within
defendant's appeal of right pursuant to North Carolina General
Statutes, section 15A-1444(a1) and (a2). On 26 January 2005, this
Court allowed the State's motion to amend the record on appeal to
include the restitution worksheet, which had been referenced by the
trial court at the bottom of each judgment in defendant's three
cases.
[1] Prior to reaching the merits of the case before us, we
first must address the State's contention that defendant waived
appellate review as to the issue of whether the trial court
erroneously considered evidence from his co-defendant's trial.
Specifically, the State contends that defendant failed to properly
preserve this issue for appeal pursuant to Rule 10(b)(1) of the
North Carolina Rules of Appellate Procedure which provides, in
relevant part, [i]n order to preserve a question for appellate
review, a party must have presented to the trial court a timely
request, objection or motion, stating the specific grounds for theruling the party desired the court to make if the specific grounds
were not apparent from the context.
This Court recently stated that [a]n error at sentencing is
not considered an error at trial for the purpose of Rule 10(b)(1)
because this rule is 'directed to matters which occur at trial and
upon which the trial court must be given an opportunity to rule in
order to preserve the question for appeal.' State v. Curmon, 171
N.C. App. 697, 703, 615 S.E.2d 417, 422 (2005) (quoting State v.
Hargett, 157 N.C. App. 90, 93, 577 S.E.2d 703, 705 (2003) (citing
State v. Canady, 330 N.C. 398, 401, 410 S.E.2d 875, 878 (1991))).
Accordingly, defendant was not required by Rule 10(b)(1) to object
during sentencing in order to properly preserve this issue for
appellate review. Id.
[2] Defendant initially contends that the trial court erred by
increasing his sentences beyond the prescribed statutory maximum
based upon its own finding of aggravating factors that were not
alleged in the indictments or found by the jury beyond a reasonable
doubt in violation of Blakely v. Washington, 542 U.S. ____, 159 L.
Ed. 2d 403 (2004). We disagree.
In North Carolina, there is no requirement that aggravating
factors be alleged in an indictment. State v. Everette, 182 N.C.
App. 237, 244, 616 S.E.2d 237, 242 (2005). This Court recently
stated, Blakely made no reference to the Fifth Amendment
indictment guarantee, and instead relied on the Sixth Amendment
right to a jury trial. . . . Therefore, we hold that it was not
error for defendant's aggravating factors not to have been allegedin an indictment. Everett, 172 N.C. App at 244, 616 S.E.2d at
242.
Further, in State v. Allen, our Supreme Court held that
Blakely errors arising under North Carolina's Structured
Sentencing Act are structural and, therefore, reversible per se.
359 N.C. 425, 444, 615 S.E.2d 256, 269 (2005). The Court concluded
that those portions of N.C.G.S. § 15A-1340.16 (a), (b), and (c)
which require trial judges to consider evidence of aggravating
factors not found by a jury or admitted by the defendant and which
permit imposition of an aggravated sentence upon judicial findings
of such aggravating factors by a preponderance of the evidence are
unconstitutional. Id. at 438-39, 615 S.E.2d at 265. Our Supreme
Court in Allen also clearly stated, however, that its holdings
applied only to those cases 'in which the defendants have not been
indicted as of the certification date of this opinion and to cases
that are now pending on direct review or are not yet final.' Id.
at 427, 615 S.E.2d at 258 (quoting State v. Lucas, 353 N.C. 568,
598, 548 S.E.2d 712, 732 (2001), overruled on other grounds by
Allen, 359 N.C. 425, 615 S.E.2d 256).
The situations contemplated by Allen are not present before
this Court in the instant case. Defendant was indicted as of the
certification date of the Allen opinion, his appeal is not now
pending direct review, and his case was final. Defendant was
indicted on 13 March 1995 for: (1) endangering the life of Clarence
Williams, Sr. by taking and carrying away another's personal
property for a value of more than one thousand dollars ($1,000.00)and by using a pistol to endanger and threaten the life of Clarence
Williams, Sr.; (2) endangering the life of Clarence Williams, Jr.
by taking and carrying away another's personal property for a value
of less than one thousand dollars ($1,000.00) and by using a pistol
to endanger and threaten the life of Clarence Williams, Jr.; and
(3) unlawful, willful, and felonious assault of Clarence Williams,
Sr. with a pistol, a deadly weapon, with the intent to kill and
inflict serious injury. Pursuant to a plea agreement, defendant
entered Alford pleas to two counts of armed robbery and the lesser
offense of assault with a deadly weapon inflicting serious injury.
Defendant did not appeal the trial court's acceptance of the plea
agreement, the finding of aggravating and mitigating factors by the
trial court, nor his sentence of twenty-five years imprisonment for
each armed robbery case and five years imprisonment for assault.
It was not until 7 November 2003 that defendant filed a petition
for a writ of certiorari with this Court. On 26 November 2003,
this Court issued an order allowing defendant's petition for the
purpose of reviewing those judgments from 9 May 1995, but limiting
review to only those issues within defendant's appeal of right
pursuant to North Carolina General Statutes, section 15A-1444(a1)
and (a2). Accordingly, in the instant case we do not reach the
issue of whether a Blakely violation has occurred.
[3] Defendant further asserts that he is entitled to a new
sentencing hearing in the armed robbery of Clarence Williams Sr.
and of Clarence Williams Jr. because the trial court's finding of
the aggravating factor that the offense involved the actual takingof property of great monetary value was not supported by the
evidence. Defendant specifically contends that the amounts of
thirteen hundred dollars ($1,300.00) and seven hundred dollars
($700.00) did not involve property of great monetary value as
defined by this Court. The State, however, asserts that pursuant
to North Carolina General Statutes, section 14-87, only an
attempted taking, not the taking itself, is necessary to establish
armed robbery. Accordingly, it is the mere attempt to take
property of any value that is punishable as a felony of a higher
class than any statutory provision governing the taking of property
from the victim's person.
Although the State's assertion may be true, the State attempts
to use this contention to disguise the central issue: whether the
trial court could find that thirteen hundred dollars ($1,300.00)
and seven hundred dollars ($700.00) constituted property of great
monetary value within the aggravating factor list. We hold that
it could not.
In the instant case, both defendant and the State agree that
according to earlier decisions of this Court, twenty five hundred
dollars ($2,500.00) is the least amount previously held to be of
great monetary value. State v. Simmons, 65 N.C. App. 804, 806,
310 S.E.2d 139, 141 (1984). Other decisions by our Supreme Court
and this Court consistently have held that great monetary value
included amounts of approximately three thousand dollars. See
generally State v. Barts, 316 N.C. 666, 695, 343 S.E.2d 828, 846-47
(1986), overruled on other grounds by, State v. Vandiver, 321 N.C.570, 364 S.E.2d 373 (1988) (upholding finding of great value based
upon evidence of $3200.00 property taken); State v. Thompson, 314
N.C. 618, 623-24, 336 S.E.2d 78, 81 (1985) ($3177.40); State v.
Coleman, 80 N.C. App. 271, 277, 341 S.E.2d 750, 753-54 ($3000.00)
disc. review denied, 318 N.C. 285, 347 S.E.2d 466 (1986). As the
State asserts, there is no bar that prevents this Court from
holding that a great monetary amount may include an amount less
than twenty five hundred dollars ($2,500.00), nor is there case law
in this State that contains language that precludes this Court from
holding that thirteen hundred dollars ($1,300.00) and seven hundred
dollars ($700.00) constitute great monetary amounts. Nonetheless,
we do not believe that the amounts of thirteen hundred dollars
($1,300) and seven hundred dollars ($700.00) constitute great or
extraordinary amounts such that the trial court should properly
find that either represented a sum of great monetary. Therefore,
the trial court's finding of the aggravating factor that the
offense involved the actual taking of property of great monetary
value was not supported by the evidence, and defendant is entitled
to a new sentencing hearing. Accordingly, this assignment of error
is sustained.
[4] Defendant further asserts that he is entitled to a new
sentencing hearing in the assault case because the trial court's
finding of the non-statutory aggravating factor that the offense
involved monetary loss of twenty-nine thousand eight hundred
thirty-seven dollars and twenty-nine cents ($29,837.29) was not
supported by the evidence. Defendant contends that the amount mustbe supported by the evidence adduced at trial or at the sentencing
hearing.
The State bears the burden of proof if it wishes to establish
the existence of an aggravating factor. State v. Jones, 104 N.C.
App. 251, 256, 409 S.E.2d 322, 325 (1991) (citing State v. Jones,
309 N.C. 214, 306 S.E.2d 451 (1983)). Where the State presents
insufficient evidence to support an aggravating circumstance the
defendant is entitled to a new sentencing hearing. Id. at 256,
409 S.E.2d at 325 (citing State v. Thompson, 314 N.C. 618, 336
S.E.2d 78 (1985)); State v. Ahearn, 307 N.C. 584, 300 S.E.2d 689
(1983)). While medical expenses, which represent a financial
burden on the victim, may be considered as a non-statutory factor
in aggravation, . . . we find that they may not be so used unless
they are excessive and go beyond that normally incurred from an
assault of this type. Jones, 104 N.C. App. at 258, 409 S.E.2d at
326 (internal citation omitted). With serious bodily injury
necessarily goes, to a greater or lesser extent, the attendant pain
and suffering, lost wages, medical bills and the like. Id. at
257, 409 S.E.2d at 325.
We agree, in the instant case, with the State's contention
that Clarence Williams, Sr.'s medical expenses were excessive and
surpassed those normally incurred from an assault of this type.
The State contends that defendant stipulated to Clarence Williams,
Sr.'s medical bills in the amount of twenty nine thousand eight
hundred thirty-seven dollars and twenty- nine cents ($29,837.29),
based on the following colloquy: Court: [Counsel], do you stipulate
that there's a factual basis
for the entry of the plea?
Counsel: Yes, sir. We will stipulate
there's a factual basis for the
entry of the plea, allow the
District Attorney to make a
recitation if he so desires,
and Your Honor I heard all of
the evidence in the case
yesterday, which was a
companion with this case, and
we would stipulate that you can
also consider the information
that was received in
yesterday's case. I heard the
testimony of the witnesses
yesterday.
State: Your Honor, you heard the
evidence of the assault where
he was shot in the right
buttocks with the weapon being
fired, shot in and up around
his hip. Medical bills were
$29,837.29. Anything else you
want to hear?
(Emphasis added).
[D]uring sentencing, a defendant need not make an affirmative
statement to stipulate . . . to the State's summation of the facts,
particularly if defense counsel had an opportunity to object to the
stipulation in question but failed to do so. State v. Alexander,
359 N.C. 824, 829, 616 S.E.2d 914, 918 (2005). Defendant's counsel
did not object to the State's recitation of the $29,837.29 figure
as the amount of Clarence Williams, Sr.'s medical bills. Nor did
defendant's counsel take exception to the amount of medical expenses
offered by the State in support of its argument for the existence
of the non-statutory aggravating factor of great monetary loss. Defense counsel's only argument against that aggravating factor was
that it was an element of the charge of assault inflicting serious
injury. Accordingly, we hold that defendant did stipulate to the
amount of Clarence Williams, Sr.'s medical expenses as $29,837.29
and overrule this assignment of error.
Affirmed in part, reversed in part, and remanded for re-
sentencing not inconsistent with this opinion.
Judges WYNN and BRYANT concur.
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