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1. Evidence--privileged information--sealed records
A de novo review by the Court of Appeals in a multiple sex offense and habitual felon
case of the sealed records of Guilford School Health Alliance and Family Services of the
Piedmont and the pertinent notes revealed that the trial court did not err by denying defendant
access to these records, because: (1) the records did not contain information favorable to
defendant which would be material to his guilt or punishment; and (2) no reasonable probability
existed that if this material was made available to defendant that the outcome of his trial would
have been different.
2. Sentencing--prior record level--stipulation through counsel
The trial court did not or err in a multiple sex offense and habitual felon case by
determining defendant's prior record level allegedly in the absence of a stipulation, because:(1)
defense counsel stipulated to defendant's prior convictions, and that for habitual felon status he
was a prior record level IV and for non-habitual felon status he was a prior record level V; and
(2) although the record in this case did not contain the second sheet of either of the two
worksheets signed by the trial judge that would contain a listing of defendant's convictions and
the dates of the convictions, it is incumbent upon defendant to present a complete record to the
appellate court which would allow it to review all errors presented by defendant.
Roy Cooper, Attorney General, by Anita LeVeaux, Assistant
Attorney General, for the State.
D. Tucker Charns for defendant-appellant.
STEELMAN, Judge.
Defendant appeals his convictions for multiple sex offense
charges and the two judgments sentencing him as an habitual felon.
Defendant requests that this Court review sealed records of
counseling and treatment sessions for one of the victims. He alsocontends that the trial court improperly determined his prior
record level. For the reasons stated herein, we find no error.
Defendant was indicted and found guilty by a jury of one count
of statutory sex offense and three counts of taking indecent
liberties with a child. The victims in each of these cases were
defendant's step-daughters. Following the return of the jury
verdicts, defendant pled guilty to two counts of being an habitual
felon under N.C. Gen. Stat. § 14-7.1. Defendant was sentenced to
two concurrent active terms of imprisonment; 133-169 months for the
habitual felon and indecent liberties convictions, and 360-441
months for the statutory sex offense.
During the course of these proceedings in the superior court,
Judge Henry E. Frye, Jr., reviewed counseling and treatment records
of one of the victims from Guilford School Health Alliance and
Family Services of the Piedmont and on 15 August 2005, entered an
order finding that they contained no evidence of exculpatory
nature, and therefore should be sealed. At the trial, Kristin
Waltz, a counselor at Guilford Health School Alliance testified.
She made handwritten notes of records that she found to be missing.
Judge Balog reviewed the Guilford School Health Alliance records
and the handwritten notes of Ms. Waltz and found nothing contained
therein to be exculpatory. These sealed records have been
forwarded to this Court for review. Defendant appeals the two
judgments.
[1] In his first argument, defendant requests that this Court
review the sealed records of Guilford School Health Alliance andFamily Services of the Piedmont and Ms. Waltz's notes to determine
whether they contain information favorable to defendant which would
be material to his guilt or punishment. We have conducted this
review and find there to be no admissible evidence therein which
would be favorable and material to defendant.
A number of cases have come before this Court where we have
been called upon to review sealed records from the trial court
under the rationale of State v. Hardy, 293 N.C. 105, 235 S.E.2d 828
(1977). None of these cases have explicitly articulated the
appropriate standard of review for this Court. However, it is
clear from these cases that the proper standard of review is de
novo rather than a standard of review that gives deference to the
ruling of the trial court. See State v. Taylor, 178 N.C. App. 395,
406, 632 S.E.2d 218, 227 (2006); State v. Thaggard, 168 N.C. App.
263, 280, 608 S.E.2d 774, 785 (2005); State v. McGill, 141 N.C.
App. 98, 102, 539 S.E.2d 351, 355 (2000).
On appeal, we examine the sealed records to determine if they
contain information that is favorable and material to the
defendant's guilt or punishment. This includes evidence adversely
affecting the credibility of the State's witnesses. McGill, supra,
141 N.C. App. at 102, 539 S.E.2d at 355.
Our review of the records in the instant case reveals nothing
that is exculpatory to defendant. No reasonable probability exists
that if this material was made available to defendant that the
outcome of his trial would have been different. See U.S. v.
Bagley, 473 U.S. 667, 682, 87 L. Ed. 2d 481, 494 (1985). We hold that neither Judge Frye nor Judge Balog erred in
denying defendant access to these records. This assignment of
error is without merit.
[2] In his second argument, defendant contends that the trial
court committed plain error in determining his sentencing level in
the absence of a stipulation. We disagree.
We first note that plain error analysis in criminal cases is
only applicable to evidentiary rulings and to jury instruction
errors. See, e.g, State v. Roache, 358 N.C. 243, 275, 595 S.E.2d
381, 403 (2004); State v. Cummings, 352 N.C. 600, 613, 536 S.E.2d
36, 47 (2000). Thus, defendant's argument as to plain error is
improper.
Nevertheless, errors as to sentencing are appealable if there
has been an incorrect finding of the defendant's prior record level
even in the absence of an objection at trial. N.C. Gen. Stat. §
15A-1442(5b)(a) (2005). We therefore consider this issue.
N.C. Gen. Stat. § 15A-1340.13(b) requires that the trial court
determine a defendant's prior record level before imposing a
sentence. In order to do this the trial court must find the
defendant's prior convictions and assign the appropriate number of
sentencing points as provided in N.C. Gen. Stat. § 15A-1340.14(c).
Prior convictions shall be established in one of four ways:
(1) Stipulation of the parties.
(2) An original or copy of the court record
of the prior conviction.
(3) A copy of records maintained by the
Division of Criminal Information, the
Division of Motor Vehicles, or of the
Administrative Office of the Courts. (4) Any other method found by the court to be
reliable.
N.C. Gen. Stat. § 15A-1340.14(f) (2005). The burden of proving a
prior conviction is upon the State. State v. Eubanks, 151 N.C.
App. 499, 505, 565 S.E.2d 738, 742 (2002) (citing N.C. Gen. Stat.
§ 15A-1340(f) (2001)). This Court has repeatedly held that the
tendering of a prior record level worksheet to the trial court,
without the documentation required by in N.C. Gen. Stat. § 15A-
1340.14(f) is not sufficient to prove a prior conviction. See,
e.g, State v. Alexander, 359 N.C. 824, 828-29, 616 S.E.2d 914, 917
(2005); State v. Crawford, 179 N.C. App. 613, 620, 634 S.E.2d 909,
__ (2006).
In the instant case, counsel for defendant stipulated to
defendant's prior convictions, and that for habitual felon status
he was a prior record level IV and for non-habitual felon status he
was a prior record level V.
In his brief to this Court, defendant acknowledges that the
Court has repeatedly stated that trial counsel may stipulate in
such a manner as in this instant case and invites this Court to
review those decisions. We decline defendant's invitation. This
Court is bound to follow the precedent of our Supreme Court.
Cannon v. Miller, 313 N.C. 324, 327 S.E.2d 888 (1985). Likewise,
we are bound by previous panels of the Court of Appeals deciding
the same issue. In re Civil Penalty, 324 N.C. 373, 384, 379 S.E.2d
30, 36 (1989).
The case law in this State is clear. Defendant, through
counsel, made unequivocal stipulation concerning defendant's priorconvictions and prior record level. See Alexander, 359 N.C. at
828, 616 S.E.2d at 917. The record reveals that defendant did not
stipulate to one charge of indecent liberties shown on the
worksheet, but immediately thereafter his counsel stipulated to his
prior record level. The record in this case does not contain the
second sheet of either of the two worksheets signed by the trial
judge. These are the sheets that would contain a listing of
defendant's convictions and the dates of the convictions. Without
this information, we are required to presume that the trial court
was correct in determining the sentencing level of defendant. See
State v. Fennell, 307 N.C. 258, 262, 297 S.E.2d 393, 396 (1982).
It is incumbent upon the defendant to present a complete record to
the appellate court which would allow it to review all errors
presented by the defendant. State v. Milby, 302 N.C. 137, 141, 273
S.E.2d 716, 719 (1981). This assignment of error is without merit.
NO ERROR.
Judges McGEE and BRYANT concur.
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