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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 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. EDGAR SIMON
NO. COA06-1483
Filed: 7 August 2007
1. Contempt--indirect criminal contempt-_violation of formal written order not
required
The trial court did not err by holding defendant in indirect criminal contempt of court
even though defendant contends he did not violate a formal written order when he visited the
office of the trial court administrator in violation of the trial court's directive to stay out of the
judges' office area, because: (1) N.C.G.S. § 5A-11(a)(3) does not limit criminal contempt to
violation of a formal written order that has been entered and filed with the clerk of court; and (2)
although defendant cites a case for his position to the contrary, the defendant in that case was
held in civil contempt which is restricted by N.C.G.S. § 5A-21(a) to the failure to comply with an
order of a court.
2. Contempt--indirect criminal contempt-_sufficiency of evidence
The trial court did not err by holding defendant in indirect criminal contempt of court
even though defendant contends there was insufficient evidence to support the finding, because:
(1) defendant concedes that Judge Albright's admonition to defendant on June 23 directed
defendant to comply with Judge Spivey's previous order, and thus the practical effect of the show
cause order is the same as if it had noticed Judge Spivey's order when it incorporated Judge
Spivey's instructions in its directive to defendant; (2) defendant admitted at trial and on appeal
that on 26 June 2006 he entered the courthouse area marked Judges Office to hand deliver a
document to the trial court administrator; (3) there was sufficient evidence that defendant knew
he was to stay out of the judges' office area where the trial court administrator's office was
located, particularly since he admitted having been warned that the area was restricted; and (4)
the case management plan says nothing about hand-delivering motions, and defendant offers no
explanation for his failure to simply leave with the Clerk of Court his emergency motion
addressed to the trial court administrator.
3. Contempt--indirect criminal contempt-_burden of proof
The trial court did not err in an indirect criminal contempt case by allegedly placing the
burden on defendant to prove that he was not in contempt of court rather than requiring the State
to prove beyond a reasonable doubt that defendant was in contempt, because: (1) although
defendant is correct that the State has the burden to prove the facts that form the basis of the
contempt charge, in the instant case defendant admitted to the underlying facts that on 26 June
2006 he entered the judges' office area of the courthouse, that he had been directed by Judge
Albright to comply with Judge Spivey's clear instruction not to go to the judges' offices, and that
Judge Albright had told him to stay out of the judges' offices; (2) there was no issue of fact to be
decided, and thus no burden of proof was placed on defendant; (3) the only issue before the trial
court was a question of law involving whether defendant's admitted behavior constituted indirect
criminal contempt; and (4) the trial court properly required proof beyond a reasonable doubt of
defendant's contempt of court, and its order states the facts were found beyond a reasonable
doubt.
Appeal by defendant from judgment entered 9 August 2006 by
Judge C. Philip Ginn in Forsyth County Superior Court. Heard in
the Court of Appeals 6 June 2007.
Attorney General Roy Cooper, by Special Deputy Attorney
General Grady L. Balentine, Jr. , for the State.
Don Willey, for defendant-appellant.
SMITH, Judge.
Edgar Simon (defendant) appeals from judgment entered upon the
trial court's order holding him in indirect criminal contempt of
court. We affirm.
The pertinent facts may be summarized as follows: Defendant
was previously involved in a civil action designated a special
proceeding in Forsyth County, North Carolina, the details of which
are not at issue in the present appeal. See N.C. Gen. Stat. § 1-3;
and § 1A-1, Rule 2 (2005). On 11 May 2006 a hearing was held in
the special proceeding before Forsyth County Superior Court Judge
Ronald E. Spivey. During this hearing, Judge Spivey instructed
defendant as follows:
JUDGE SPIVEY: . . . [T]he Court will find that
during the pendency of this action . . . the
respondent has been a frequent caller to the
judge's office. The staff reports to me, as I
stepped out to prepare this judgment, that at
times [he has made] as many as 20 phone calls
a week in addition to letters, faxes, and
personal visits to the judge's office.
The respondent has also been discovered to be
in secure areas of the courthouse, behind
courtroom 5A of criminal court where prisoners
are transported and when asked to leave, he
was grudgingly compliant and questioned theauthority of our staff to ask him to leave a
secured area.
. . . .
Based on these facts, the Court would direct
that the respondent not call the judge's
office about this case any further. . . . Any
additional filings may be made with the
clerk's office or whatever appropriate office
and he should not fax or come to the judge's
office to speak to any staff about this case.
On 20 June 2006 defendant faxed an Affidavit of Personal Bias in
the special proceeding to Senior Resident Superior Court Judge of
Forsyth County Judson D. Deramus, Jr., wherein he complained that
Judge Spivey had strongly admonish[ed him] to not call, send faxes
or letters to court staff and to not visit the judges office of the
courthouse. On 23 June 2006, defendant appeared before Emergency
Superior Court Judge W. Douglas Albright, in the special
proceeding, who reviewed defendant's letter to Judge Deramus, and
reiterated Judge Spivey's instructions to defendant:
JUDGE ALBRIGHT: . . . There's a file in here
that Judge Spivey admonished you not to call
or send faxes. . . . [H]e admonished you.
That's the same way to say he ordered you _
MR. SIMON: He did.
THE COURT: _ not to call, not to send faxes,
not to send letters to the court staff, and
not to visit the judges' office. . . . [D]on't
put yourself in a position where the Court's
going to have to take action[.]
On 26 June 2006 defendant went to the judges' office area on the
fifth floor of the Forsyth County Courthouse, to hand-deliver an
emergency motion for a temporary restraining order in the special
proceeding to the trial court administrator. In order to do this,defendant entered the courthouse area set aside for the judges'
chambers and separated from the rest of the courthouse by a door
marked Judges Offices. On the same day, Judge William Z. Wood,
Jr., of the Forsyth Superior Court issued a Show Cause Order in the
case sub judice stating in pertinent part:
. . . [T]he above named individual was ordered
on June 23, 2006 by the Honorable Judge W.
Douglas Albright, to stay away from the
Forsyth County trial administrator's office.
This office is located on the fifth floor of
the Forsyth County Hall of Justice building in
Winston-Salem, N.C. On June 26, 2006 the
above named defendant did appear in the
Forsyth County [trial] administrator's office.
This appearance is in direct violation of
Judge Albright's previous order.
A hearing was conducted on the Show Cause Order before Judge C.
Philip Ginn in Forsyth County Superior Court on 9 August 2006. On
that date, Judge Ginn entered an order finding defendant in
indirect criminal contempt of court. In a Judgment Suspending
Sentence of even date, defendant received a suspended thirty day
sentence and was placed on supervised probation. From this
judgment and commitment, defendant appeals.
Standard of Review
Defendant appeals from judgment entered upon an order holding
him in criminal contempt. A contempt hearing is a non-jury
proceeding. The standard of appellate review for a decision
rendered in a non-jury trial is whether there is competent evidence
to support the trial court's findings of fact and whether thefindings support the conclusions of law and ensuing judgment.
Findings of fact are binding on appeal if there is competent
evidence to support them, even if there is evidence to the
contrary. Sessler v. Marsh, 144 N.C. App. 623, 628, 551 S.E.2d
160, 163 (2001) (citations omitted). The trial court's
conclusions of law drawn from the findings of fact are reviewable
de novo. Curran v. Barefoot, 183 N.C. App. 331, 335, 645 S.E.2d
187, ___ (2007) (citing Humphries v. City of Jacksonville, 300 N.C.
186, 187, 265 S.E.2d 189, 190 (1980)).
______________
[1] Defendant first argues that the trial court erred in
finding him in criminal contempt of court, on the grounds that
[n]either Judge Albright's June 23, 2006 oral directive for the
defendant to comply with Judge Spivey's prior order nor Judge
Spivey's May 11, 2006 order were ever reduced to writing, signed by
the judge nor filed with the clerk[.] Defendant asserts that one
cannot be held in criminal contempt of court unless he violates a
formal written order. We disagree.
At the outset we note that contempt in this jurisdiction may
be of two kinds, civil or criminal[.] . . . Criminal contempt is
generally applied where the judgment is in punishment of an act
already accomplished, tending to interfere with the administration
of justice. O'Briant v. O'Briant, 313 N.C. 432, 434, 329 S.E.2d
370, 372 (1985) (citing Blue Jeans Corp. v. Clothing Workers, 275
N.C. 503, 508-09, 169 S.E.2d 867, 869 (1969)). Accordingly,
'criminal [contempt] proceedings are those brought to preserve thepower and to vindicate the dignity of the court and to punish for
disobedience of its processes or orders.' State v. Randell, 152
N.C. App. 469, 473, 567 S.E.2d 814, 817 (2002) (quoting State v.
Reaves, 142 N.C. App. 629, 632-33, 544 S.E.2d 253, 256 (2001)).
Direct criminal contempt is committed within the sight or
hearing of a presiding judicial official[,] N.C. Gen. Stat. § 5A-
13(a)(1) (2005), while indirect criminal contempt arises from
matters not occurring in or near the presence of the court, but
which tend to obstruct or defeat the administration of justice.
Atassi v. Atassi, 122 N.C. App. 356, 361, 470 S.E.2d 59, 62 (1996).
N.C. Gen. Stat. § 5A-13(b) (2005). Defendant herein was alleged to
be in indirect criminal contempt of court, for visiting the office
of the trial court administrator in violation of the trial court's
directive to stay out of the judges' office area.
Under N.C. Gen. Stat. § 5A-11(a)(3) (2005), criminal contempt
includes [w]illful disobedience of, resistance to, or interference
with a court's lawful process, order, directive, or instruction or
its execution. The statute does not limit criminal contempt to
violation of a formal written order that has been entered and filed
with the clerk of court. This is consistent with the role of
criminal contempt proceedings in protecting the authority and
dignity of the court. The range of actions tending to undermine
respect for the court or impair the proper administration of
justice will include many circumstances that are not the subject of
formally filed orders. For example, a trial court may employcriminal contempt proceedings in response to a loud or
disrespectful attorney, witness, or spectator.
We conclude that a finding of criminal contempt, direct or
indirect, does not require that the relevant process, order,
directive, or instruction be a formal written order. Nor have our
appellate opinions ever imposed such a requirement. See, e.g.,
State v. Pierce, 134 N.C. App. 148, 152, 516 S.E.2d 916, 919 (1999)
(juror who researched certain issues in the case found in contempt
of court because it was undisputed that Judge Cornelius directed
the jury not to discuss the case with anyone outside the courtroom
and not to conduct their own investigations); State v. Wall, 49
N.C. App. 678, 272 S.E.2d 152 (1980) (defendant held in criminal
contempt of court for urging a witness to disobey a subpoena that
would be issued in the future).
In support of his position to the contrary, defendant cites
only Onslow County v. Moore, 129 N.C. App. 376, 499 S.E.2d 780
(1998). However, the defendant in Onslow County was held in civil
contempt. Unlike criminal contempt, the definition of civil
contempt is restricted by N.C. Gen. Stat. § 5A-21(a) (2005) to the
failure to comply with an order of a court[.] (emphasis added).
We believe it to be the better practice for a trial court to
put an instruction or directive in writing, especially if the order
is to remain effective after the completion of the proceeding or
matter then before the court. However, we conclude that G.S. § 5A-
11(a)(3) does not require that a finding of criminal contempt bepredicated upon the failure to obey a written order. This
assignment of error is overruled.
______________________
[2] Defendant next argues there was insufficient evidence to
support the trial court's finding him in contempt of court. He
contends that (1) there is not competent evidence of record . . .
that the defendant violated any provision of the orders of Judges
Albright or Spivey; (2) there is insufficient evidence . . .
[that] defendant knowingly and willfully violated the oral orders
or admonishments; and (3) his conduct in delivering an emergency
motion to the trial court administrator on June 26, 2006 was not
done after clear warning that such conduct was improper[.] We
disagree.
Preliminarily, we note that the show cause order alleges
defendant's violation of Judge Albright's order of 23 June 2006,
and does not reference Judge Spivey's order of 11 May 2006, or
provide notice that defendant was in contempt of Judge Spivey's
order. Thus, the trial court's subject matter jurisdiction was
limited to consideration of whether defendant was in contempt of
Judge Albright's instructions. However, defendant concedes that
Judge Albright's admonition to the defendant on June 23 directed
the defendant to comply with Judge Spivey's previous order. Judge
Albright's directive required the defendant to comply with the
prior order[.] Thus, the practical effect of the show cause order
is the same as if it had noticed Judge Spivey's order, becauseJudge Albright incorporated Judge Spivey's instructions in his
directive to defendant.
Judge Spivey's instructions to the defendant on 11 May 2006
included in relevant part the following:
. . . [T]he Court will find that . . . the
respondent has been a frequent caller to the
judges' office . . . in addition to letters,
faxes, and personal visits to the judge's
office. The respondent has also been
discovered to be in secure areas of the
courthouse[.] . . .
Based on these facts, the Court would direct
that the respondent not call the judge's
office about this case any further. . . . Any
additional filings may be made with the
clerk's office or whatever appropriate office
and he should not fax or come to the judge's
office to speak to any staff about this case.
Judge Spivey's directive was repeated by Judge Albright at the
hearing conducted 23 June 2006, wherein Judge Albright stated in
pertinent part that defendant was not to call, not to send faxes,
not to send letters to the court staff, and not to visit the
judges' office.
(See footnote 1)
Defendant admitted at trial and on appeal that on 26 June 2006
he entered the courthouse area marked Judges Office to hand
deliver a document to the trial court administrator. We conclude
that the trial court's determination, that this violated JudgeAlbright's order, was supported by competent evidence. We reject
defendant's arguments to the contrary.
Defendant argues that he had no clear warning that he was
prohibited from delivering a document to the trial court
administrator, even though the trial court administrator's office
was in the judges' office area of the courthouse. This assertion
is belied by the defendant's own letter to Judge Deramus on 20 June
2006, wherein he wrote in relevant part that:
I, Edgar A. Simon, Jr., am the defendant in
the above referenced case. . . . For an
extended period of time, I was permitted to
enter the 5th floor area of the courthouse
where the Trial Court Administrator was
located[.] . . . I entered that area
approximately one month ago, unaware that
the
area had been designated as off-limits to
other than court staff, since my last visit.
. . . [When] a clerk approached me[.] . . . I
asked her where I should go to file my
calendar request, now that this area was
restricted[.] . . . [O]n May 11, 2006,
Judge
Ronald E. Spivey . . . strongly admonish[ed]
me to not call, send faxes or letters to court
staff and to not visit the judges office of
the courthouse. . . .
(emphasis added). Defendant asserts that the single act of
contempt referenced in the Show Cause Order - defendant's visit to
the trial administrator's office to personally deliver a document
_ did not violate Judge Albright's order. However, defendant's
letter states that Judge Spivey told him not to visit the judges
office of the courthouse, and defendant admitted at the contempt
hearing that Judge Albright told him you are not to go to the
judges' office, [or] visit the judges' office. It is undisputed
that the trial court administrator's office was in the same part ofthe courthouse as the judges' offices, and that on 26 June 2006
defendant was in the courthouse area marked Judges Office to
hand-deliver a document to the trial court administrator. We
conclude that there was sufficient evidence that defendant knew he
was to stay out of the judges' office area where
the trial court
administrator's office was located, particularly since he admitted
having been warned that the area was restricted.
Defendant also argues that, notwithstanding his 26 June 2006
entry into the judges' office section of the courthouse, he should
not have been held in contempt because his purpose for being there
was to leave an emergency motion for the trial court administrator.
Defendant justifies his actions on the basis that Judge Spivey had
told him that additional filings may be made with the clerk's
office or whatever appropriate office[.] Defendant directs our
attention to the Case Management Plan for Forsyth County, which
provides that emergency motions should be
addressed to the Trial
Court Administrator for calendaring. (emphasis added). On this
basis, defendant contends that it was proper for him to personally
deliver his motion. However, the case management plan says nothing
about hand-delivering motions, and defendant offers no explanation
for his failure simply to leave with the Clerk of Court his
emergency motion addressed to the trial court administrator. This
assignment of error is overruled.
_______________
[3] Finally, defendant argues that the trial court erred by
placing on him the burden of proving that he was not in contempt ofcourt, rather than requiring the State to prove beyond a reasonable
doubt that defendant was in contempt. We conclude that the trial
court did not shift the burden of proof to defendant.
Defendant is correct that in a criminal contempt proceeding,
as in any other criminal proceeding, the State has the ultimate
burden of proof beyond a reasonable doubt of all elements of the
offense. On a hearing for criminal contempt, the State must prove
all of the requisite elements under the applicable statute, beyond
a reasonable doubt.
State v. Key, 182 N.C. App. 624, 628, 643
S.E.2d 444, 448 (2007).
However, '[s]tipulations duly made during
the course of a trial constitute judicial admissions binding on the
parties and dispensing with the necessity of proof[.]'
City of
Brevard v. Ritter, 285 N.C. 576, 580-81, 206 S.E.2d 151, 154 (1974)
(where defendant admits actions in violation of order the burden
shifts to defendant to show compliance in order to purge himself
of the contempt citation) (quoting [28] Strong, N.C. Index [4th],
Trial, § [139] Stipulations).
Defendant's assertion that he was subjected to an improper
burden of proof is based on his quotation, out of context, of a few
fragments of the transcript. Defendant directs our attention to
the following exchange occurring before the hearing:
THE COURT: Is this not a show-cause hearing?
Was this not one where you were ordered to
come in and show cause?
MS. MASSEY (Defense Counsel): Yes sir.
TRIAL COURT: Well, that puts the burden on
you to present evidence.
Thereafter, the court recessed for several hours before conducting
the hearing. At the beginning of the hearing, the following dialog
took place:
TRIAL COURT: . . . Ms. Massey, you're
representing Mr. Simon, is that correct, in
this matter after having been appointed by the
Court?
MS. MASSEY: Yes, Your Honor.
TRIAL COURT: Does he admit or deny the
allegations in the show-cause order?
MS. MASSEY: Judge, as I have indicated to the
Court and (the prosecutor) earlier, he
admits
the actions but denies that it is contempt.
TRIAL COURT: All right. Then let him show
cause why it is not contempt.
(emphasis added). Defendant is correct that the State has the
burden to prove the
facts that form the basis of the contempt
charge. N.C. Gen. Stat. § 5A-15(f) (2005) (If the person is found
to be in contempt, the judge must make findings of fact and enter
judgment. The facts must be established beyond a reasonable
doubt.). However, in the instant case, defendant
admitted to the
underlying facts that (1) on 26 June 2006 he entered the judges'
office area of the courthouse; (2) that he had been directed by
Judge Albright to comply with Judge Spivey's clear instruction
not
to go to the judges' office; and (3) that Judge Albright had told
him to stay out of the judges' offices.
Accordingly, there was no issue of fact to be decided, and
thus no burden of proof placed on defendant. The only issue before
the trial court was a question of
law _ whether defendant's
admitted behavior constituted indirect criminal contempt. Readingthe language cited by defendant in the context of the entire
hearing, it is clear that the trial court properly required proof
beyond a reasonable doubt
of defendant's contempt of court.
Additionally, the trial court's order clearly states that the facts
were found beyond a reasonable doubt which is the proper
standard. This assignment of error is overruled.
For the reasons discussed above, we conclude that the trial
court did not err and that its order should be
Affirmed.
Judges McGEE and STEPHENS concur.
Footnote: 1
The quoted statements are found in the fragment of
transcript on page 28 of the record. We assume this is from the
hearing before Judge Albright, because it is dated 23 June 2006,
the date defendant was before Judge Albright. However, we remind
defendant of his duty to prepare the appellate record properly,
in order to eliminate potential ambiguities.
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