STATE OF NORTH CAROLINA v. MICHAEL JEROME BRAXTON
No. 2A98
(Filed 13 July 2000)
1. Appeal and Error--preservation of issues--constitutional issues--
failure to challenge at trial--jurisdictional issue
Although defendant did not challenge the constitutionality of the
short-form murder indictment at trial, this issue is properly before the
Court because a challenge to an indictment alleged to be invalid on its
face that could deprive the trial court of jurisdiction may be made at any
time.
2. Homicide--short-form indictments--constitutionality
Although the short-form indictment used to charge defendant with
first-degree murder did not allege the elements of premeditation,
deliberation, and specific intent to kill, the trial court did not err in
concluding the indictment was constitutional because defendant had notice
that he was charged with first-degree murder and that the maximum penalty
to which he could be subjected was death.
3. Criminal Law--capital case--comments by trial court on appellate
review
The trial court's references to appellate review before jury selection
during a routine explanation of the court reporter's duties, and additional
references to appellate review during jury voir dire, did not impermissibly
imply to the jury that the Supreme Court would correct any errors the jury
might make or relieve the jury of its responsibility.
4. Jury--selection--capital trial--subdividing into panels
The trial court did not err in a capital trial by subdividing the jury
venire into panels of twenty-five people from which prospective jurors were
called for individual voir dire because: (1) defendant never challenged the
jury panel selection process and never informed the trial court of any
objection to the alleged improper handling of the jury venires as required
by N.C.G.S. § 15A-1211(c); and (2) even if the jury selection procedure
violated the randomness requirement of N.C.G.S. § 15A-1214(a), defendant
has not demonstrated on appeal how he was prejudiced by the procedure.
5. Jury--selection--capital trial--questions concerning death penalty
The prosecutor's repeated questioning about whether prospective jurors
could be part of the legal machinery that could sentence defendant to the
death penalty was not an impermissible attempt to stake out the jurors
and did not dilute individual jurors' sense of responsibility for their
sentencing decision because the prosecutor's question emphasized each
juror's personal participation in the decision-making process.
6. Jury--selection--capital trial--previous criminal record--improper
attempt to stake out jurors
The trial court did not abuse its discretion during voir dire of a
capital trial by not allowing defendant to ask any prospective jurors
whether they could be fair and impartial as to guilt or innocence knowing
that defendant had previously been convicted of two first-degree murdersand was serving two life sentences when he committed this murder, b
ecause
the question improperly attempts to stake out what kind of verdict a
juror would render under certain named circumstances not yet in evidence.
7. Jury--peremptory challenges--capital trial--not racial grounds
The trial court did not err in a capital trial by overruling
defendant's objection to the State's use of seven consecutive peremptory
challenges to strike from the jury seven black prospective jurors because
defendant failed to establish a prima facie showing of purposeful
discrimination in light of the prosecutor's minority acceptance rate of 47%
at that point in the jury selection process.
8. Evidence--hearsay--no prejudicial error
Even if the trial court erred in a capital trial by admitting the
hearsay testimony of the victim's mother and grandmother stating that the
victim said he had been placed on lockup at a correctional center as a
result of a back injury that prevented him from working, this error was not
prejudicial because: (1) the prosecutor also elicited testimony from a
police officer on direct examination that the victim had been placed on
lockup for disrespecting an officer; (2) on cross-examination, another
officer testified the victim was on lockup for not going to work; (3) both
the prosecutor and defendant presented evidence to the jury regarding the
actual reasons for the victim's lockup status; and (4) defendant was not
precluded from presenting additional evidence regarding the victim's status
or from rebutting prosecutorial evidence of the victim's peaceful
character.
9. Appeal and Error--preservation of issues--offer of proof
Although defendant contends the trial court erred in a capital trial
by limiting an officer's testimony on cross-examination and excluding
testimony that the victim was on lockup at a correctional unit for
profanity and disrespect, defendant has failed to preserve this issue for
appellate review under N.C.G.S. § 8C-1, Rule 103(a)(2) because: (1) an
offer of proof was necessary since the substance of the excluded testimony
was not necessarily apparent from the context of the question asked; and
(2) an attempt by the Supreme Court to presume the substance or prejudicial
effect of the excluded testimony would be speculation.
10. Criminal Law--bailiff--participation in courtroom demonstration
Although prejudice is conclusively presumed where a witness for the
State acts as custodian or officer in charge of the jury in a criminal
trial, the trial court did not violate defendant's right to a fair and
impartial jury in a capital trial by allowing the bailiff to participate in
a courtroom demonstration in the role of the murder victim because: (1)
defendant cites no evidence in the transcript or record that supports the
assertion that the bailiff was the sworn officer in charge of the jury, and
mere presence in the courtroom is not sufficient; (2) the bailiff was not
called to testify as a witness, and he did not convey any communication to
the jury through his participation in the courtroom demonstration; and (3)
the likelihood that the outcome of the trial would have been different had
the bailiff not participated in the demonstration is de minimus.
11. Evidence--relevancy--screams, crime scene, and demeanor--state of
mind--intent to kill
The trial court did not abuse its discretion in a capital trial byadmitting the testimony of several officers about
the victim's screams
during the murder, the appearance of the crime scene, and defendant's
behavior and demeanor immediately following the murder, because the
testimony was relevant under N.C.G.S. § 8C-1, Rule 402 to negate
defendant's claim of self-defense, as well as to establish his state of
mind and intent to kill.
12. Evidence--lay opinion--shorthand statements of fact
The testimony of several officers in a capital trial about the
victim's screams during the murder, the appearance of the crime scene, and
defendant's behavior and demeanor immediately following the murder, did not
amount to improper lay opinion under N.C.G.S. § 8C-1, Rule 701 because the
testimony of these witnesses was admissible as shorthand statements of
fact.
13. Evidence--duplicative testimony--availability of weapons in prison
The trial court properly exercised its discretion under N.C.G.S. § 8C-
1, Rule 611(a) in a capital trial when it excluded testimony from defendant
and two other witnesses regarding the general availability of weapons at
the correctional center to assist defendant's claim of self-defense for a
murder committed in prison because: (1) an officer already testified that
he did not know how frequently the victim's cellblock was searched and that
he could not recall whether he or any other officers had ever found knives
during a search of the victim's cellblock, and the trial court expressly
stated defendant could present other evidence that tended to establish the
availability of weapons in the prison; (2) defendant had already testified
about the availability of knives and the dangerousness of the inmates at
the correctional unit, and any further testimony from defendant would have
been duplicative; and (3) the witness who was a former North Carolina
Prison Legal Services attorney was in no better position than the jury to
give his opinion about the prevailing conditions in the correctional unit
at the time of the murder.
14. Evidence--hearsay--state of mind exception
The trial court did not commit prejudicial error in a capital trial by
allowing a statement from one inmate to another inmate that he was going to
approach defendant about straightening out the victim's debt, because the
statement was not hearsay since it was admissible under N.C.G.S. § 8C-1,
Rule 803(3) as evidence of that inmate's then-existing intent to engage in
a future act.
15. Evidence--hearsay--initially allowed--subsequently excluded
The trial court did not commit prejudicial error in a capital trial by
allowing testimony of an inmate, stating that an anonymous inmate asked
defendant why he killed the victim, because the trial court's initial
overruling of defendant's objection to this hearsay testimony was
subsequently corrected, and the inadmissible hearsay was properly excluded
by the trial court.
16. Evidence--hearsay--not truth of matter asserted--subsequent conduct
The trial court did not commit prejudicial error in a capital trial by
allowing testimony of an inmate's statement to defendant shortly before the
murder that the victim was in the shower, because the statement was not
hearsay since it was not offered to prove the truth of any matter asserted,
but instead to explain the subsequent conduct of defendant in walkingtoward the shower area.
17. Evidence--hearsay--not testifying to any statements--motive
The trial court did not commit prejudicial error in a capital trial by
allowing testimony of an inmate about the victim's $17.00 debt owed to
defendant because the statement did not constitute hearsay since the inmate
did not testify to any statements made by the victim, and the testimony was
relevant to establish a possible motive for the murder.
18. Evidence--corroboration--self-defense claim--no right in advance of
testimony of a witness
The trial court did not err by initially excluding evidence that an
inmate told defendant that he had given a knife to the victim, and that the
same inmate also told another inmate that he had given a knife to the
victim, because: (1) there is no right to corroboration evidence of a self-
defense claim in advance of the testimony of a witness; and (2) defendant
was not precluded from presenting evidence that corroborated his self-
defense claim after defendant testified he believed the victim had a knife
at the time of the murder and that he killed the victim in self-defense,
nor can he show he suffered any prejudice.
19. Evidence--prior convictions--defendant--cross-examination
The trial court did not err in a capital trial by allowing the
prosecutor to cross-examine defendant about the details of his prior
convictions because: (1) evidence which would otherwise be inadmissible may
be permissible on cross-examination to correct inaccuracies or misleading
omissions in defendant's testimony or to dispel favorable inferences
arising therefrom, and defendant's testimony on direct examination tended
to minimize the seriousness of his criminal involvement; and (2) the
prosecutor did not improperly ask defendant about tangential circumstances
of the crimes.
20. Evidence--prior convictions--defense witness--cross-examination
The trial court did not err in a capital trial by allowing the
prosecutor to cross-examine a defense witness about the details of his
prior convictions because: (1) the prosecutor's questions related to the
factual elements of the crime, rather than the tangential circumstances of
the crime; (2) the witness was not completely forthright and accurate in
testifying about his prior convictions on direct examination; (3) the
prosecutor asked only about weapons, not about other circumstances of the
crimes, and thereby clarified the nature of the crimes the witness tended
to minimize; (4) even if the questions exceeded the proper scope of inquiry
under N.C.G.S. § 8C-1, Rule 609(a), any error was not prejudicial since the
questions were asked of a defense witness and not the defendant; and (5) no
reasonable possibility exists that a different result would have been
reached at trial absent the alleged error.
21. Evidence--prison infractions--character--untruthfulness
The trial court did not abuse its discretion under N.C.G.S. § 8C-1,
Rule 608(b) in a capital trial by allowing the prosecutor to cross-examine
defendant with respect to his prison infractions for weapon possessions,
provoking an assault, disobeying an order and fighting, and making a verbal
threat, because: (1) the record reveals the purpose of the prosecutor's
inquiry was to show defendant's character for untruthfulness; (2) the
probative value of the first infraction for weapon possession was notsubstantially outweighed by the danger of unfair prejudice under N.C.G
.S. §
8C-1, Rule 403; and (3) defendant is not entitled to review of the other
prison infractions by plain error analysis since he did not object to the
prosecutor's questions and he did not argue plain error.
22. Evidence--prison infractions--character--no plain error
Even if the prosecutor's questions about a defense witness's prison
infractions, including stabbing someone with a pen, disobeying an order,
three separate occasions for fighting, and provoking a fight, exceeded the
permissible scope of impeachment under N.C.G.S. § 8C-1, Rule 608(b),
defendant failed to object during this testimony and admission of this
testimony did not rise to the level of plain error.
23. Witnesses--expert testimony--defendant's state of mind
The trial court did not err in a capital trial by not allowing
defendant's expert to give his opinion as to defendant's state of mind at
the time of the homicide, to negate the elements of premeditation and
deliberation based on the effect of the long-term imprisonment of
defendant, because: (1) the expert was in no better position than the jury
to determine the reasonableness of defendant's apprehension; and (2) the
testimony would tend to confuse, rather than help, the jury in
understanding the evidence and determining the facts in issue. N.C.G.S. §
8C-1, Rule 702.
24. Evidence--cross-examination--following attempt to withdraw testimony
The trial court did not err in a capital trial by permitting the
prosecutor to cross-examine the defense expert, after defendant attempted
to withdraw the expert as a witness when the trial court sustained the
prosecutor's objection to the expert's testimony regarding defendant's
alleged prison psychosis, because: (1) the expert had already testified
about matters other than his credentials as an expert; and (2) the
prosecutor properly impeached the expert's credibility without asking any
questions or eliciting any testimony that related to the evidence excluded
by the trial court.
25. Criminal Law--prosecutor's argument--characterization of defense
expert's testimony as incomplete
The trial court did not abuse its discretion in failing to intervene
ex mero motu in a capital trial during the prosecutor's closing argument,
based on the characterization of the defense expert's testimony as
incomplete, because the evidence was conflicting concerning defendant's
intent and state of mind at the time of the murder, and counsel is allowed
wide latitude in the argument of hotly contested cases.
26. Criminal Law--defendant's argument--court's reversal of ruling
The trial court did not abuse its discretion during a capital trial by
prohibiting defense counsel from informing the jury during closing
arguments that the trial court had reversed its earlier ruling in which it
refused to instruct on the lesser-included offenses of second-degree murder
and voluntary manslaughter, and by denying defendant's motion for a
mistrial, because: (1) the trial court acted appropriately to ensure that
its decision to instruct on the lesser-included offenses would not affect
the proceedings or result in the appearance of partiality; (2) the trial
court reversed its ruling in ample time for defendant to revise his closing
argument in order to avoid drawing attention to the disparities between thetwo arguments; and (3) defendant cannot show he suffered any pre
judice
under N.C.G.S. § 15A-1443(c) since the trial court instructed the jury on
the lesser-included offenses according to defendant's request.
27. Criminal Law--prosecutor's argument--comment on defendant's self-
defense claim
The trial court did not commit prejudicial error by failing to
intervene ex mero motu during the prosecutor's closing arguments in a
capital trial because the prosecutor's assertion that defendant's self-
defense claim is vomit on the law of North Carolina constitutes a
permissible expression of the State's position that the jury's
determination that defendant acted in self-defense would be an injustice in
light of the overwhelming evidence of defendant's guilt.
28. Criminal Law--prosecutor's argument--characterization of defendant
The trial court did not commit prejudicial error by failing to
intervene ex mero motu during the prosecutor's closing arguments in a
capital trial, based on the prosecutor's characterization of defendant as
this thing and cowardly, because: (1) the prosecutor's comments
regarding defendant's cowardice were connected to the evidence which
suggested that the victim was physically smaller and weaker than defendant,
and the victim was naked and defenseless at the time of the killing; and
(2) the prosecutor's one-time isolated description of defendant as that
thing was not grossly improper.
29. Criminal Law--prosecutor's argument--advocate for State and victim
The trial court did not commit prejudicial error by failing to
intervene ex mero motu during the prosecutor's closing arguments in a
capital trial, based on the prosecutor arguing he spoke for the State and
for the victim, because: (1) the Supreme Court has previously found no
gross impropriety when a prosecutor has argued that he speaks for the
victim; and (2) the prosecutor's argument merely reminded the jurors that
he was advocating for both the State and the victim.
30. Homicide--instruction--shank as dangerous weapon
The trial court did not err in a capital trial by instructing the jury
that a shank was a dangerous weapon as a matter of law because: (1) the
Supreme Court has previously rejected this same argument, which alleged
that the instruction creates a conclusive presumption on an element of the
offense relieving the State of its burden of proof; and (2) defendant
failed to bring forth any new argument.
31. Evidence--prior crimes--lack of remorse--officer's testimony
The trial court did not commit plain error in a capital sentencing
proceeding by allowing an officer to testify about defendant's demeanor and
alleged lack of remorse during a prior investigation resulting in
defendant's two prior convictions for murder, because: (1) the testimony
was based on the officer's personal observation of defendant during the
investigation for a period of five or six hours; and (2) the officer's
opinion that defendant demonstrated no remorse for his previous crimes is
competent, relevant evidence of defendant's mental condition.
32. Sentencing--capital--mitigating circumstances--childhood difficulties,
caring relationship with sister, psychological trauma
The trial court did not err in a capital sentencing proceeding by
excluding evidence from defendant's younger sister concerning defendant's
childhood difficulties, his caring relationship with his younger sister,
and the psychological trauma caused by his biracial background, because:
(1) defendant failed to preserve this issue for appellate review under
N.C.G.S. § 8C-1, Rule 103(a)(2) since he did not make an offer of proof to
the witness' possible answers to the objectionable questions and the
essential content and significance of the excluded testimony is not
obvious; and (2) even if the issue had been properly preserved, the trial
court did not prohibit defense counsel from asking defendant's sister about
what defendant did for her as a father figure in her life and about her
personal observations of defendant's reactions to biracial incidents during
his childhood.
33. Sentencing--capital--mitigating circumstances--childhood psychological
abuse and self-hatred
The trial court did not abuse its discretion in a capital sentencing
proceeding by restricting testimony from defendant's mother concerning
defendant's childhood psychological abuse and self-hatred as a result of
being biracial, because the trial court merely restricted the testimony to
the witness' personal observations of defendant's reactions and emotional
state as a child, rather than allowing her to testify about defendant's
feelings.
34. Discovery--expert testimony--exclusion--failure to comply with
discovery order
The trial court did not err in a capital sentencing proceeding by
excluding the testimony of an expert witness at the sentencing hearing
concerning defendant's mental condition at the time of the offense,
because: (1) defendant violated a discovery order requiring defendant to
disclose, five working days in advance of testimony, mental examination
reports prepared by witnesses whom defendant planned to call to testify;
(2) defendant had two other mental health experts available, whose
testimony would have been fully admissible at the sentencing proceeding;
and (3) defendant cannot show he was prejudiced when he made a tactical
decision not to disclose the report until after the guilty verdict.
35. Evidence--expert testimony--offer of proof--report in evidence
The trial court did not improperly refuse to allow defendant to make
an offer of proof of the proposed testimony of an expert witness during a
capital sentencing proceeding, because: (1) the trial court admitted the
expert's report of her complete psychological assessment of defendant; (2)
the trial court gave defendant ample opportunity on voir dire to question
the expert about the substance of her report for a complete offer of proof
as required by N.C.G.S. § 8C-1, Rule 103(a)(2); and (3) defendant was not
prejudiced since the records would have been admissible independently of
her testimony as relevant evidence of defendant's character.
36. Sentencing--capital--failure to submit mitigating circumstance--mental
or emotional disturbance
The trial court did not err in a capital sentencing proceeding by
failing to submit the mitigating circumstance under N.C.G.S. § 15A-
2000(f)(2) that the murder was committed while defendant was under the
influence of mental or emotional disturbance, because: (1) the reasons
defendant offered to show why he carried a knife revealed a rational state
of mind as opposed to a mind oppressed by extreme paranoia and fearfulness;and (2) sheer anger or the inability to control one's temper is
neither
mental nor emotional disturbance as contemplated by this mitigator.
37. Sentencing--capital--failure to submit mitigating circumstance--
capacity to appreciate criminality or conform conduct
The trial court did not err in a capital sentencing proceeding by
failing to submit the mitigating circumstance under N.C.G.S. § 15A-
2000(f)(6) that defendant's capacity to appreciate the criminality of his
conduct or to conform his conduct to the requirements of the law was
impaired, because: (1) the record is devoid of any evidence that
defendant's paranoia and fear of violence from the prison environment so
impaired him as to prevent his understanding the criminality of his conduct
or that it affected his ability to control his actions; (2) defendant
testified he completed a psychological course and had obtained a 4.0"
grade; (3) defendant owned and operated a canteen, card games, and a loan
business, all of which were illegal or against prison regulations; and (4)
the evidence that defendant pulled a knife in the shower when he approached
the victim, since he had previously been told the victim had been given a
knife, does not show that defendant had a mental disorder to the degree
that it affected his ability to understand and control his actions at the
time he committed the murder.
38. Criminal Law--prosecutor's argument--capital sentencing--biblical
references
The trial court did not err in a capital sentencing proceeding by
failing to intervene ex mero motu during the prosecutor's closing
arguments, based on the prosecutor's use of biblical references, because:
(1) the prosecutor properly emphasized at the beginning of his closing
argument that defendant's sentence would be recommended based upon the law
of North Carolina, not biblical law, (2) the prosecutor's argument that I
hope nobody has the gall to stand up here and tell you that the law of
North Carolina is against the Bible does not improperly imply that the
Bible required death upon a determination that a murder occurred; (3) the
prosecutor's statement that defendant by his own conduct has determined
his fate does not diminish the jury's responsibility in recommending the
death sentence, but instead informs the jury of its duty to consider the
evidence supporting the aggravating and mitigating circumstances as well as
defendant's conduct; and (4) as anticipated by the prosecutor, defense
counsel also made biblical references during his closing argument.
39. Sentencing--capital--prosecutor's argument--mitigating circumstances
Although the prosecutor misstated the law in a capital sentencing
proceeding during his closing argument when he informed the jurors that it
was their duty to determine whether any of the 29 so-called mitigating
circumstances had any mitigating value, since the submitted statutory
mitigating circumstance of age would have mitigating value as a matter of
law if it was found by the jury to exist, the sentencing hearing was not so
infected with unfairness by the prosecutor's comments as to violate
defendant's due process rights because his subsequent comments accurately
reflected the distinction between statutory and nonstatutory mitigating
circumstances.
40. Criminal Law--defendant's argument--quoting secular sources--relevancy
The trial court did not err in a capital sentencing proceeding by
prohibiting defense counsel from quoting from secular sources during his
closing argument, specifically from a letter written by Reverend JesseJackson to the Faith Community in South Carolina making a
moral appeal
for the life of a woman who murdered her two young children and blamed a
black man, because the trial court afforded counsel ample opportunity to
argue using ideas and quotes from secular sources and properly prohibited
counsel from arguing the facts of other cases since those facts are not
pertinent to any evidence in this case and are, thus, improper for jury
consideration.
41. Sentencing--capital--mitigating circumstances--defendant's age--
mitigating value
The trial court did not commit plain error in a capital sentencing
proceeding by failing to instruct the jury that the statutory mitigating
circumstance of age has mitigating value because the trial court's
instructions properly distinguished between statutory and nonstatutory
mitigating circumstances, and informed the jurors of their duty under the
law.
42. Sentencing--capital--death penalty not disproportionate
The trial court did not err by imposing the death penalty in a first-
degree murder case because: (1) defendant was convicted of premeditated and
deliberated murder; (2) the jury found aggravators pertaining to two
previous capital felonies and five previous violent felonies; and (3) the
facts show defendant repeatedly stabbed a totally defenseless man in the
prison shower for money owed him.
Appeal as of right pursuant to N.C.G.S. § 7A-27(a) from a judgment
imposing a sentence of death entered by Wright, J., on 20 November 1997 in
Superior Court, Halifax County, upon a jury verdict finding defendant
guilty of first-degree murder. Heard in the Supreme Court 15 May 2000.
Michael F. Easley, Attorney General, by Ellen B. Scouten, Special
Deputy Attorney General, for the State.
David G. Belser for defendant-appellant.
PARKER, Justice.
Defendant Michael Jerome Braxton was indicted on 30 September 1996 for
first-degree murder in the killing of victim Dwayne Maurice Caldwell.
Defendant was tried capitally and found guilty of first-degree murder on
the basis of premeditation and deliberation. Following a capital
sentencing proceeding, the jury recommended the sentence of death for the
murder; and the trial court entered judgment accordingly.
The State's evidence at trial tended to show that in August of 1996
defendant and the victim were both inmates in block A of unit 4 at
Caledonia Correctional Center (Caledonia) in Tillery, Halifax County,North Carolina. Defendant owned the illegal canteen opera
tion in block A.
Defendant also owned and operated card games and a loan business in
violation of prison regulations. In August of 1996 the victim owed
defendant $17.00 for items charged at defendant's canteen. Michael
Thomason, another inmate, testified that, three days prior to the killing,
defendant harassed the victim for the money owed. Thomason and other
inmates pooled their money to pay the victim's debt. Thomason gave the
money to defendant, but defendant gave it back. According to Thomas
McCombs, another inmate, defendant would not accept the money because it
was a principle thing. McCombs also testified defendant told him that he
was going to hurt [the victim].
On the afternoon of 18 August 1996, the unit 4 inmates were released
to the prison yard for exercise. While the others were in the prison yard,
Officer Roy W. Brown, Jr. escorted the victim, who had been confined to his
cell on administrative lockup, to the shower. Officer Brown searched the
victim and the shower area and found no contraband or weapons. Officer
Brown left the victim alone while he showered.
At the same time, defendant and other inmates were outside in the
prison yard playing a card game. As they were playing, inmate Ronald Moore
took defendant aside and told him that guy was in the shower. Shortly
thereafter, defendant left the card game and headed toward block A. Inmate
McCombs testified that before defendant went into block A, he saw defendant
reach down and pull up his sock, where he had a blade. McCombs saw
defendant step into the shower and stab the victim like a mad man
approximately eighteen to twenty times, using a second knife he had hidden
in the waistband of his pants. Inmate Thomason testified that he saw
defendant stab the victim two more times with both hands on the knife after
the victim was down.
After leaving the victim in the shower for approximately twelve to
fifteen minutes, Officer Brown heard screams from the shower area. OfficerBrown entered the shower and sprayed pepper mace on both defenda
nt and the
victim. Officer Brown testified that he saw defendant, who was wearing
work gloves, stabbing the victim with a homemade knife known as a shank.
After the victim fell out of the shower, defendant then kicked him
repeatedly in the head and chest area and stabbed him in the chest and
abdomen. Even though defendant's vision was impaired by the pepper spray,
he felt around for the victim's body with his left hand and continued to
stab the victim. Defendant eventually stopped his assault on the victim,
threw the shank down, and ran out of the shower area. At the infirmary,
the victim showed no signs of life. A medical examination of defendant
revealed no apparent injuries on his body. Corrections Officer Horace
Aycock testified that he and other officers, including Officer Brown,
conducted a search for weapons in unit 4. They found a shank in the shower
area, a pair of work gloves on the floor near the control room to block A,
and a second shank wrapped in a wet towel in the light fixture of the open
bathroom cell.
Dr. Louis A. Levy, a pathologist and medical examiner, performed the
autopsy on the victim's body. He testified that the victim had thirteen
separate stabs and cuts on both sides of his chest, both arms, the index
finger of his right hand, his right wrist, and his mouth. All of the
victim's flexor tendons had been severed in the right wrist; and the
victim's lungs, heart, and liver had been punctured. Dr. Levy opined that
the cause of death was stab wounds to the heart and lungs and subsequent
exsanguination. Dr. Levy further opined that the wounds were caused by two
different weapons: The slicing of the right wrist was consistent with a
knife that was sharpened on both sides, while the wound in the right
shoulder was consistent with a weapon that was sharpened at the point but
dull on both sides.
Defendant testified at trial as follows: Although defendant and the
victim had argued about the money owed, defendant eventually told thevictim on several occasions that he forgave the debt. However, the vi
ctim,while confined to his cell in administrative lockup, tried to provokedefendant into an argument and flashed a k
nife at him. Defendant testified
that, on the afternoon of 18 August 1996, he was playing cards in the
prison yard; and he had a knife just in case an argument [broke] out at
the game. Defendant stated that most inmates carry a knife in prison and
that he always carried his knife in his glove, especially to card games, as
a safety measure. While playing cards, another inmate told defendant that
the victim had been given a knife. Defendant then entered block A and
heard someone in the shower make an obscene comment to him. Defendant
recognized the person in the shower as the victim. Defendant testified
that he told the victim, I'm about burned out on your mouth; and the
victim told defendant to come on up here and get some then. I got
something for you anyway. After defendant stepped into the shower and saw
the victim with a towel in his hand, defendant pulled his knife out of one
of his gloves, which were in his back pocket. Defendant [felt] like that
[the victim] must have had a knife in his hand since he had been told
earlier that someone had given the victim a knife. However, defendant
admitted that he never actually saw the victim with a knife.
Additional facts will be presented as needed to discuss specific
issues.
JURISDICTIONAL ISSUE
[1]Defendant contends that the charges against him should have
been dismissed for the reason that the short-form murder indictment was
constitutionally insufficient to charge him with first-degree murder. We
initially address whether this issue is properly before this Court. Defendant did not contest the murder indictment at trial. Constitution
al
questions not raised and passed upon in the trial will not ordinarily be
considered on appeal.
State v. Hunter, 305 N.C. 106, 112, 286 S.E.2d 535,
539 (1982). A defendant waives an attack on an indictment when the
validity of the indictment is not challenged in the trial court.
See State
v. Wallace, 351 N.C. 481, 503, 528 S.E.2d 326, 341 (2000). However, where
an indictment is alleged to be invalid on its face, thereby depriving the
trial court of its jurisdiction, a challenge to that indictment may be made
at any time, even if it was not contested in the trial court.
Id.
Therefore, this issue is properly before this Court.
[2] Citing
Jones v. United States, 526 U.S. 227, 143 L. Ed. 2d
311 (1999), defendant argues that the short-form indictment was
unconstitutional since it failed to allege all the elements of first-degree
murder, namely, premeditation, deliberation, and specific intent to kill.
Defendant also argues that without an allegation of premeditation and
deliberation, the indictment failed to allege facts necessary to impose the
maximum penalty for murder.
The indictment against defendant for murder contained the
following language:
The jurors for the State upon their oath present
that on or about the date of offense shown and in the
county named above [Michael Jerome Braxton] unlawfully,
willfully and feloniously and of malice aforethought
did kill and murder DWAYNE MAURICE CALDWELL.
The indictment also stated: Offense in violation of G.S. 14-17. This
indictment complied with N.C.G.S. § 15-144, which provides for a short-form
version of an indictment for murder as follows:
In indictments for murder and manslaughter, it is
not necessary to allege matter not required to be
proved on the trial; but in the body of the indictment,
after naming the person accused, and the county of his
residence, the date of the offense, the averment withforce and arms, and the county of the alleged
commission of the offense, as is now usual, it is
sufficient in describing murder to allege that the
accused person feloniously, willfully, and of his
malice aforethought, did kill and murder (naming the
person killed), and concluding as is now required by
law; . . . and any bill of indictment containing the
averments and allegations herein named shall be good
and sufficient in law as an indictment for murder or
manslaughter, as the case may be.
N.C.G.S. § 15-144 (1999). An indictment that complies with the
requirements of N.C.G.S. § 15-144 will support a conviction of both first-
degree and second-degree murder.
See State v. King, 311 N.C. 603, 608, 320
S.E.2d 1, 5 (1984). In
Apprendi v. New Jersey, ___ U.S. ___, ___, ___ L.
Ed. 2d ___, ___, 2000 WL 807189, at *7 (June 26, 2000) (No. 99-478), the
United States Supreme Court, in examining the procedural safeguards
necessary to protect a criminal defendant's constitutional right to due
process when charged with violation of a state criminal statute, recently
held that 'any fact (other than prior conviction) that increases the
maximum penalty for a crime must be charged in an indictment, submitted to
a jury, and proven beyond a reasonable doubt.'
Id. at ___, ___ L. Ed. 2d
at ___, 2000 WL 807189, at *7 (No. 99-478) (quoting
Jones, 526 U.S. at 243
n.6, 143 L. Ed. 2d at 326 n.6). Defendant contends that premeditation and
deliberation must be alleged in the short-form indictment as facts that
would increase the maximum penalty from life imprisonment for second-degree
murder to the death penalty for first-degree murder. However, this Court
has consistently held that indictments for murder based on the short-form
indictment statute are in compliance with both the North Carolina and
United States Constitutions.
See, e.g., State v. Kilpatrick, 343 N.C. 466,
472, 471 S.E.2d 624, 638 (1996);
State v. Avery, 315 N.C. 1, 12-14, 337
S.E.2d 786, 792-93 (1985). This Court has also held that the short-form
indictment is sufficient to charge first-degree murder on the basis of anyof the theories, including premeditation and deliberation, set fo
rth in
N.C.G.S. § 14-17, which is referenced on the short-form indictment.
See
State v. Leroux, 326 N.C. 368, 378, 390 S.E.2d 314, 322,
cert. denied, 498
U.S. 871, 112 L. Ed. 2d 155 (1990);
State v. Brown, 320 N.C. 179, 192, 358
S.E.2d 1, 11,
cert. denied, 484 U.S. 970, 98 L. Ed. 2d 406 (1987);
Avery,
315 N.C. at 14, 337 S.E.2d at 793. The crime of first-degree murder and
the accompanying maximum penalty of death, as set forth in N.C.G.S. § 14-17
and North Carolina's capital sentencing statute, are encompassed within the
language of the short-form indictment. We, therefore, conclude that
premeditation and deliberation need not be separately alleged in the short-
form indictment. Further, the punishment to which defendant was sentenced,
namely, the death penalty, is the prescribed statutory maximum punishment
for first-degree murder in North Carolina. Thus, no additional facts
needed to be charged in the indictment. Given the foregoing, defendant had
notice that he was charged with first-degree murder and that the maximum
penalty to which he could be subjected was death. Moreover, under the law
of this State, whenever a defendant is charged with murder, questions of
fact related to guilt or innocence and to capital sentencing must be
determined by the jury; and the State has the burden of proving all
elements of the crime and aggravating circumstances beyond a reasonable
doubt. Nothing in
Apprendi, in our judgment, alters this prior case law.
Accordingly, we overrule this assignment of error.
JURY SELECTION
[3] In his first assignment of error, defendant contends that the
trial court's repeated references to appellate review violated defendant's
rights under the Eighth Amendment to the Constitution of the United Statesby diluting the responsibility of the jury.
See Caldwe
ll v. Mississippi,
472 U.S. 320, 328-29, 86 L. Ed. 2d 231, 239 (1985).
Prior to jury selection, the trial court instructed the
prospective jurors about court procedures as follows:
The court reporter this week is Mark Garvin of
Nash County. Mr. Garvin will be taking down and
transcribing as he is at this time everything that I
say in the courtroom, during the trial and the hearing
of various motions. And should a mistake or question
be made so the Supreme Court of North Carolina can
review it. This is also true so that I may review it,
should I wish to hear something that a witness or an
attorney said.
The trial court later referred to appellate review several times during
jury
voir dire by saying [l]et the record reflect for appellate review or
for the appellate record. After defendant objected to these references,
the trial court told the jurors with regard to appellate review, I want to
make that perfectly clear. That's only should things go adverse to the
defendant. There may be no appellate review in this case.
In
State v. McKoy, 323 N.C. 1, 8, 372 S.E.2d 12, 15 (1988),
sentence vacated on other grounds, 494 U.S. 433, 108 L. Ed. 2d 369 (1990),
the trial court explained to the jury that the court reporter can type up
a transcript of a trial and they mail it down to the Supreme Court and the
Supreme Court can review what we're doing up here in Stanly County.
Similarly, in
State v. Gray, 347 N.C. 143, 163, 491 S.E.2d 538, 544 (1997),
cert. denied, 523 U.S. 1031, 140 L. Ed. 2d 486 (1998), the trial court
explained that the court reporter had a duty to take down and transcribe
everything that's said in the courtroom during the trial and the hearing of
motions so that the judge can review, or should it be appealed, any matter
to the Supreme Court in Raleigh. In both cases we rejected the
defendants' arguments that the instructions violated their constitutionalrights.
See id.;
McKoy, 323 N.C. at 12, 372
S.E.2d at 17. We concluded in
each case that the trial court's brief comment -- at the outset of the
trial and in the context of an explanation of the court reporter's duties
-- could not have influenced, adversely to defendant, the jury's perception
of its responsibility for its decisions.
McKoy, 323 N.C. at 12, 372
S.E.2d at 17.
Similarly, in this case the trial court's statements, made by the
judge before jury selection did not impermissibly imply to the jury that
this Court would correct any errors the jury might make or relieve the jury
of its responsibility.
See Gray, 347 N.C. at 163, 491 S.E.2d at 544. The
trial court's passing references to appellate review and the curative
statement, made during
voir dire, likewise do not invalidate defendant's
death sentence.
See McKoy, 323 N.C. at 13, 372 S.E.2d at 18. Therefore,
this assignment of error is overruled.
[4] Next, defendant contends that the trial court erroneously
subdivided the jury venire into panels from which prospective jurors were
called for individual
voir dire. Defendant contends that this violated the
provisions of N.C.G.S. § 15A-1214 and entitles him to a new trial. We
disagree.
The North Carolina jury selection statute provides, in pertinent
part, as follows:
(a) The clerk, under the supervision of the
presiding judge, must call jurors from the panel by a
system of random selection which precludes advance
knowledge of the identity of the next juror to be
called. When a juror is called and he is assigned to
the jury box, he retains the seat assigned until
excused.
N.C.G.S. § 15A-1214(a) (1999). In this case, the trial court subdivided
the large venire into smaller panels of twenty-five people. These panelswere determined by the courtroom clerk calling the names, at the j
udge's
instruction, by lot or random. The trial court then directed the clerk
to call prospective jurors to the jury box randomly from within a panel.
Defendant argues this procedure resulted in advance knowledge of the
identity of the next juror to be called when only one prospective juror
remained in each panel. Further, defendant contends the trial court erred
by assigning prospective jurors Alnita Simmons, Walter Arrington, Jamal
Robinson, and Dennis Carter to panel G rather than simply excusing these
jurors after they provided excuses regarding potential time and work
conflicts.
When a trial court acts contrary to a statutory mandate, the
defendant's right to appeal is preserved despite the defendant's failure to
object during trial.
State v. Lawrence, 352 N.C. 1, 13, ___ S.E.2d ___,
___, (2000);
see also State v. Jones, 336 N.C. 490, 497, 445 S.E.2d 23, 26
(1994). However, a defendant's challenge to the jury panel must satisfy
the requirements of N.C.G.S. § 15A-1211, which provides that a challenge:
(1) May be made only on the ground that the jurors
were not selected or drawn according to law.
(2) Must be in writing.
(3) Must specify the facts constituting the ground of
challenge.
(4) Must be made and decided before any juror is
examined.
N.C.G.S. § 15A-1211(c) (1999). In this case, defendant never followed this
specific procedure. The record reveals that defendant never challenged the
jury panel selection process and never informed the trial court of any
objection to the allegedly improper handling of the jury venires.
See
State v. Workman, 344 N.C. 482, 499, 476 S.E.2d 301, 310 (1996). In light
of defendant's failure to follow the procedures clearly set out for jury
panel challenges and his failure to alert the trial court to the challengedimproprieties, we hold that defendant failed to preserve this is
sue for
appellate review.
See State v. Atkins, 349 N.C. 62, 102-03, 505 S.E.2d 97,
122 (1998),
cert. denied, 526 U.S. 1147, 143 L. Ed. 2d 1036 (1999).
Moreover, even if it be assumed
arguendo that the jury selection
procedure violated the randomness requirement of N.C.G.S. § 15A-1214(a),
defendant has not demonstrated on appeal how he was prejudiced by the
procedure. This assignment of error is overruled.
[5] Defendant next assigns error to the prosecutor's repeated
questioning about whether prospective jurors could be part of the legal
machinery that would sentence defendant to the death penalty. Defendant
claims this questioning constituted an impermissible attempt to stake out
the jurors. Defendant also argues that the term legal machinery diluted
the individual jurors' sense of responsibility for their sentencing
decision in violation of
Caldwell, 472 U.S. at 328-29, 86 L. Ed. 2d at 239,
and
State v. Jones, 296 N.C. 495, 500, 251 S.E.2d 425, 429 (1979).
In
State v. Willis, 332 N.C. 151, 182, 420 S.E.2d 158, 173
(1992), and
State v. Porter, 326 N.C. 489, 503, 391 S.E.2d 144, 154 (1990),
this Court held that such questions did not minimize the importance of the
jury or diminish the jury's responsibility for the decision to impose
death. We explained that the prosecutor's question emphasized each
juror's personal participation in the decision-making process.
Porter,
326 N.C. at 503, 391 S.E.2d at 154. Thus, in light of our previous
holdings, we cannot conclude that the prosecutor's use of the term legal
machinery was improper. This assignment of error is without merit and is,
therefore, overruled.
[6] Next, defendant contends that the trial court abused its
discretion during
voir dire by not allowing him to ask any prospectivejurors whether they could be fair and impartial as to guilt or
innocence
knowing that defendant had previously been convicted of two first-degree
murders and was serving two life sentences when he committed this murder.
Defendant argues that he should have been permitted the opportunity to
determine whether the jurors would follow the trial court's instruction to
consider defendant's prior convictions only as impeachment evidence.
Defendant contends that this question was permissible under
Morgan v.
Illinois, 504 U.S. 719, 733, 119 L. Ed. 2d 492, 506 (1992), because the
question inquired into whether a juror could be fair and impartial and
whether predetermined views regarding the death penalty would substantially
impair that prospective juror's ability to serve.
State v. Kandies, 342
N.C. 419, 441, 467 S.E.2d 67, 79,
cert. denied, 519 U.S. 894, 136 L. Ed. 2d
167 (1996). After a careful review of the transcript of
voir dire, we find
this assignment to be without merit.
Counsel should not fish for answers to legal questions before
the judge has instructed the juror on applicable legal principles by which
the juror should be guided. . . . Jurors should not be asked what kind of
verdict they would render under certain named circumstances.
State v.
Phillips, 300 N.C. 678, 682, 268 S.E.2d 452, 455 (1980);
see also State v.
Robinson, 339 N.C. 263, 273, 451 S.E.2d 196, 202 (1994),
cert. denied, 515
U.S. 1135, 132 L. Ed. 2d 818 (1995);
State v. Yelverton, 334 N.C. 532,
541-42, 434 S.E.2d 183, 188 (1993). The question posed in this case does
not amount to a proper inquiry into whether the juror could follow the law
as instructed by the trial judge.
See Robinson, 339 N.C. at 273, 451
S.E.2d at 202. Rather, the question is an attempt to determine what kind
of verdict a juror would render under certain named circumstances not yet
in evidence, namely, two prior convictions of first-degree murder and twolife sentences.
See id.;
State v. Skipper, 3
37 N.C. 1, 23, 446 S.E.2d 252,
264 (1994),
cert. denied, 513 U.S. 1134, 130 L. Ed. 2d 895 (1995). We have
previously held that staking out what the jurors' decision will be under
a particular set of facts is improper.
See State v. Simpson, 341 N.C. 316,
336, 462 S.E.2d 191, 202 (1995),
cert. denied, 516 U.S. 1161, 134 L. Ed. 2d
194 (1996);
Skipper, 337 N.C. at 23-24, 446 S.E.2d at 264. Thus, we find
this assignment of error to be without merit.
[7] Defendant next assigns error to the trial court's overruling
of defendant's objection to the State's alleged impermissible use of
peremptory challenges to strike from the jury seven black prospective
jurors solely on account of their race. Article I, Section 26 of the
Constitution of North Carolina prohibits the use of peremptory challenges
for racially discriminatory reasons,
see State v. Fletcher, 348 N.C. 292,
312, 500 S.E.2d 668, 680 (1998),
cert. denied, 525 U.S. 1180, 143 L. Ed. 2d
113 (1999), as does the Equal Protection Clause of the Fourteenth Amendment
to the United States Constitution,
see Batson v. Kentucky, 476 U.S. 79, 89,
90 L. Ed. 2d 69, 83 (1986).
In
Batson the United States Supreme Court established a three-
part test to determine if the prosecutor has engaged in impermissible
racial discrimination in the selection of jurors.
See Hernandez v. New
York, 500 U.S. 352, 358, 114 L. Ed. 2d 395, 405 (1991) (citing
Batson, 476
U.S. at 96-98, 90 L. Ed. 2d at 87-89). First, the defendant must establish
a
prima facie case that the State has exercised a peremptory challenge on
the basis of race.
See id. Second, once the
prima facie case has been
established by the defendant, the burden shifts to the State to rebut the
inference of discrimination by offering a race-neutral explanation for
attempting to strike the juror in question.
See id. at 358-59, 114 L. Ed.2d at 405;
State v. Gaines, 345 N.C. 647, 66
8, 483 S.E.2d 396, 408,
cert.
denied, 522 U.S. 900, 139 L. Ed. 2d 177 (1997). The explanation must be
clear and reasonably specific, but 'need not rise to the level justifying
exercise of a challenge for cause.'
Porter, 326 N.C. at 498, 391 S.E.2d
at 151 (quoting
Batson, 476 U.S. at 97, 90 L. Ed. 2d at 88). The
prosecutor is not required to provide a race-neutral reason that is
persuasive or even plausible.
See Fletcher, 348 N.C. at 313, 500 S.E.2d at
680. The issue at this stage is the facial validity of the prosecutor's
explanation; and unless a discriminatory intent is inherent in the
explanation, the reason offered will be deemed race-neutral.
See State v.
Barnes, 345 N.C. 184, 209-10, 481 S.E.2d 44, 57,
cert. denied, 522 U.S.
876, 139 L. Ed. 2d 134 (1997),
and cert. denied, 523 U.S. 1024, 140 L. Ed.
2d 473 (1998). Our courts also permit the defendant to introduce evidence
at this point that the State's explanations are merely a pretext.
See
Gaines, 345 N.C. at 668, 483 S.E.2d at 408.
Third, and finally, the trial court must make the ultimate
determination as to whether the defendant has carried his burden of proving
purposeful discrimination.
See Hernandez, 500 U.S. at 359, 114 L. Ed. 2d
at 405;
Fletcher, 348 N.C. at 313, 500 S.E.2d at 680. As this
determination is essentially a question of fact, the trial court's decision
of whether the prosecutor had a discriminatory intent is to be given great
deference and will be upheld unless the appellate court is convinced that
the trial court's determination is clearly erroneous.
See Fletcher, 348
N.C. at 313, 500 S.E.2d at 680;
Kandies, 342 N.C. at 434-35, 467 S.E.2d at
75. 'Where there are two permissible views of the evidence, the
factfinder's choice between them cannot be clearly erroneous.'
State v.Thomas, 329 N.C. 423, 433, 407 S.E.2d 141, 148 (1991)
(quoting
Anderson v.
City of Bessemer City, 470 U.S. 564, 574, 84 L. Ed. 2d 518, 528 (1985)).
In the cases since
Batson addressing the issue of peremptory
challenges, this Court has described the factors relevant to determining
whether a defendant established a
prima facie showing of purposeful
discrimination. Among the relevant factors are [t]he race of the
defendant, the victims, and the key witnesses.
Porter, 326 N.C. at 498,
391 S.E.2d at 150-51. This Court has also considered questions and
statements made by the prosecutor during voir dire . . . and in exercising
his peremptor[y] [challenges] which may either lend support to or refute an
inference of discrimination.
State v. Robbins, 319 N.C. 465, 489, 356
S.E.2d 279, 293,
cert. denied, 484 U.S. 918, 98 L. Ed. 2d 226 (1987).
Another consideration is whether the prosecutor engaged in a pattern of
strikes or used a disproportionate number of peremptory challenges to
strike jurors of a particular race.
See State v. Smith, 328 N.C. 99, 121,
400 S.E.2d 712, 724 (1991);
Robbins, 319 N.C. at 490-91, 356 S.E.2d at 294.
[O]ne factor tending to refute an allegation of discriminatory use of
peremptor[y] [challenges] is the acceptance rate of black jurors by the
State.
Smith, 328 N.C. at 121, 400 S.E.2d at 724. This Court has
previously emphasized that the frequency with which a prosecutor accepts
black jurors is relevant to the issue of whether he is purposefully
discriminating against blacks.
See State v. Allen, 323 N.C. 208, 219, 372
S.E.2d 855, 862 (1988) (minority acceptance rate of 41% failed to establish
prima facie case of purposeful discrimination),
sentence vacated on other
grounds, 494 U.S. 1021, 108 L. Ed. 2d 601 (1990);
State v. Abbott, 320 N.C.
475, 481, 358 S.E.2d 365, 369-70 (1987) (acceptance rate of 40% failed to
establish
prima facie case). Defendant contends that the trial court erroneously concluded its
analysis upon finding that defendant failed to establish a
prima facie
showing of purposeful discrimination in the prosecutor's use of seven
consecutive peremptory challenges to strike seven black prospective jurors.
Defendant argues that the trial court should have required the prosecutor
to state his reasons for challenging prospective jurors Alice Leonard,
Alexis Whitaker, Kevin Wiggins, Sherman Daniel, Geraldine Kinney, Marjorie
Whitaker, and Johnny Wills. Defendant further argues that the trial court
erroneously focused on the racial composition of the jurors already
selected and of the entire jury pool in determining that defendant had not
established a
prima facie showing of discrimination.
In this case, the prosecutor objected to defendant's exercise of
a peremptory challenge removing white prospective juror West Jenkins. The
prosecutor argued that six of the nine peremptory challenges exercised by
defendant at that point were used to remove white male prospective jurors,
thereby establishing a pattern of purposeful racial discrimination. In
response to the prosecutor's challenge, defendant asked the trial court, in
ruling whether the prosecutor had established a
prima facie case of
purposeful discrimination, to consider the prosecutor's use of six
consecutive peremptory challenges to remove black prospective jurors
Leonard, Whitaker, Wiggins, Daniel, Kinney, and Whitaker. The trial court
denied the prosecutor's challenge without ruling whether the prosecutor had
made a
prima facie showing of discrimination.
Jury selection proceeded until the prosecutor attempted to
exercise a peremptory challenge to remove black prospective juror Wills.
Defendant argued that the prosecutor's exercise of seven consecutive
peremptory challenges against black prospective jurors establishedpurposeful racial discrimination by the prosecutor. The trial court heard
arguments regarding the prosecutor's reverse-
Batson challenge and
defendant's
Batson challenge. The trial court then reviewed the factors
enunciated by this Court as relevant in determining whether a party has
established a
prima facie showing of purposeful discrimination.
The trial court ultimately concluded that, according to the jury
questionnaires, the pool of prospective jurors was composed of 53% black
jurors, 42% white jurors, and 5% American Indian jurors. At that time, the
State had passed eight black prospective jurors and nine white prospective
jurors to defendant. Five of the eight jurors already seated on the jury
were African-American, resulting in a jury composed of 63% minority jurors.
After noting that the racial composition of the jury at that point closely
matched the racial composition of the entire jury pool, the trial court
expressed its concern that the racial composition of the jury would become
skewed if the prosecutor and defendant continued to strike jurors according
to the peremptory patterns that had evolved during jury selection. The
trial court then ruled that all further peremptory challenges must be made
outside the presence of the individual juror and that the challenging party
must articulate race-neutral reasons for removing that juror. Thereafter,
defendant did not make another
Batson challenge, and the final composition
of the jury panel was eight black jurors and four white jurors. Three
alternates were selected, one of whom was black and two of whom were white.
Assuming
arguendo, as defendant contends, that the trial court
failed to find a
prima facie case, we conclude based on the record that the
trial court carefully applied the correct criteria. We further conclude
that, in light of the prosecutor's minority acceptance rate of 47%, the
trial court did not err in finding that defendant failed to establish a
prima facie showing of purposeful discrimination at that poin
t in the jury
selection process.
GUILT-INNOCENCE PHASE
[8] In his next assignment of error, defendant contends that the
trial court erroneously admitted into evidence at trial hearsay statements
attributed to the victim. At trial, the victim's mother and grandmother
testified over defendant's objection that the victim had been placed on
lock-up at Caledonia as a result of a back injury that prevented him from
working. The trial court allowed the testimony after explicitly
acknowledging that the statements constituted hearsay. Defendant argues
that he was prejudiced by this inadmissible hearsay in that the trial court
instructed the jury to consider the victim's physical strength in deciding
whether defendant killed the victim in self-defense. We disagree.
Assuming
arguendo that the victim's statements about his lockup
status were inadmissible hearsay, any error in admitting them did not
prejudice defendant. In addition to the testimony from the victim's mother
and grandmother that the victim could not work due to a back injury, the
prosecutor also elicited testimony from Officer Donald Gentry on direct
examination that the victim had been placed on lockup for disrespecting an
officer. On cross-examination, Sergeant Michael Johnson testified that the
victim was on lockup for not going to work. Thus, both the prosecutor
and defendant presented evidence to the jury regarding the actual reasons
for the victim's lockup status. Defendant was not precluded from
presenting additional evidence regarding the victim's status or from
rebutting prosecutorial evidence of the victim's peaceful character. In
light of the overwhelming evidence of defendant's guilt, defendant cannot
show that there is a reasonable possibility that the outcome of his trialwould have been different if the trial court had excluded the test
imony at
issue.
See N.C.G.S. § 15A-1443(a) (1999);
State v. Locklear, 349 N.C. 118,
149, 505 S.E.2d 277, 295 (1998),
cert. denied, ___ U.S. ___, 143 L. Ed. 2d
559 (1999).
[9] Defendant also contends that the trial court's erroneous
admission of the victim's hearsay statements was compounded by its error in
excluding testimony that the victim was on lockup for profanity and
disrespect. The trial court limited prosecution witness Officer Gentry's
testimony on cross-examination as follows:
Q. Other than the tag or flag that was on the control
switch for [the victim's] individual cell, did you have
any personal knowledge or report knowledge of why he
was on lock-up?
A. No.
Q. And you don't know when he went into that status?
A. No, sir.
Q. Do you know whether or not that he was subject to
that process was to terminate on the 18th day of
August, 1996?
A. No, I wouldn't know anything of that nature.
Q. What is the average approximate time of someone
being on individual lock-up for profane language or
disobeying an order?
A. The average time for what?
Q. Average time that person would be kept on lock-up.
A. I do not know that.
Q. Period of punishment is what I'm talking about.
A. I wouldn't know the average time for that.
. . . .
Q. Were you aware that [the victim] was put on lock-
up on July 31, 1996, for profane language and
disrespect?
[PROSECUTOR]: Objection
THE COURT: Sustained and don't --
[PROSECUTOR]: I'd ask for an instruction to
counsel.
THE COURT: And don't consider counsel's question.
Next question.
Defendant did not make an offer of proof to show what the
witness' response to the question would have been. Accordingly, defendant
has failed to preserve this issue for appellate review under the standard
set forth in N.C.G.S. § 8C-1, Rule 103(a)(2).
See Atkins, 349 N.C. at 79,
505 S.E.2d at 108. The substance of the excluded testimony was not
necessarily apparent from the context within which the question was asked;
therefore, an offer of proof was necessary to preserve this issue for
appeal.
See id.;
State v. Geddie, 345 N.C. 73, 96, 478 S.E.2d 146, 157
(1996),
cert. denied, 522 U.S. 825, 139 L. Ed. 2d 43 (1997). Officer
Gentry had already testified on cross-examination that he did not know when
the victim was placed on lockup. Further, Officer Gentry had testified
during direct examination that the victim was put on lockup status for
disrespecting an officer. Nothing in the record on appeal suggests that
the victim was also being punished for the additional infraction of
profane language. The witness may well have answered that he was not
aware of the facts contained in counsel's question. Thus, an attempt by
this Court to presume the substance or prejudicial effect of Officer
Gentry's excluded testimony would be speculation.
[10] Next, defendant contends that the trial court violated his
constitutional right to a fair and impartial jury by allowing Bailiff
Overton to participate in a courtroom demonstration in the role of the
murder victim. During trial, prosecution witness Officer Roy Browndescribed the manner in which he searched the victim for contraband befo
re
escorting the victim into the shower on the day of the murder. Bailiff
Overton acted as the victim, over defendant's objection, during Officer
Brown's demonstration of the search. The trial court gave a limiting
instruction that the jury should consider the demonstration for
illustration only.
This Court has consistently held that where a witness for the
State acts as custodian or officer in charge of the jury in a criminal
trial, prejudice is conclusively presumed, and the defendant must have a
new trial.
State v. Jeune, 332 N.C. 424, 431, 420 S.E.2d 406, 410 (1992).
To determine whether the witness acted as the officer in charge of the
jury, this Court look[s] to factual indicia of custody and control and not
solely to the lawful authority to exercise such custody or control.
State
v. Mettrick, 305 N.C. 383, 386, 289 S.E.2d 354, 356 (1982).
In this case, defendant asserts that Bailiff Overton had
constant contact with the jury and presumes that Bailiff Overton was the
sworn officer in charge of the jury. However, defendant cites no evidence
in the transcript or record that supports these assertions and thus offers
no basis on which this Court could determine that Bailiff Overton was, in
fact, the custodian of the jury. Mere presence in the courtroom is not
sufficient.
See Jeune, 332 N.C. at 432-33, 420 S.E.2d at 411.
Additionally, Bailiff Overton was not called to testify as a witness; and
he did not convey any communication to the jury through his participation
in the courtroom demonstration. Therefore, we conclude that defendant is
not entitled to a presumption of prejudice as a result of Bailiff Overton's
conduct.
See,
e.g.,
State v. Brown, 315 N.C. 40, 57, 337 S.E.2d 808, 822
(1985) (declining to presume prejudice where the officer in charge of thejury seated himself behind the prosecutor and was never called to
testify
as a witness),
cert. denied, 476 U.S. 1164, 90 L. Ed. 2d 733 (1986),
overruled on other grounds by State v. Vandiver, 321 N.C. 570, 364 S.E.2d
373 (1988). The likelihood that the outcome of the trial would have been
different had Bailiff Overton not participated in the demonstration is
de
minimus. Accordingly, any constitutional error was harmless beyond a
reasonable doubt.
See N.C.G.S. § 15A-1443(b). This assignment of error is
overruled.
[11] In two separate arguments, defendant contends that the trial
court erred by admitting impermissible opinion evidence. First, without
objection from defendant, Officer Brown testified during direct examination
that, at the time of the murder, he heard shrill screaming that sounded
like somebody is fearing for their life. Second, Officer Brown testified
on direct examination over defendant's objection that the crime scene was
worse than any hog killing he had ever seen. Third, Officer Alonzo Clark
testified during direct examination over defendant's objection that he
searched defendant because defendant looked guilty as he came out of the
shower area holding his hands in the air. Finally, State witnesses Captain
Grady Massey and Assistant Superintendent J.C. Wilson repeatedly testified
over defendant's objection that defendant appeared calm and relaxed
immediately following the murder, as though he had no problems or as if
nothing unusual had happened. Further, Captain Massey testified at one
point that defendant showed no remorse for killing the victim. Defendant
argues that this testimony was unfairly prejudicial, speculative, and
beyond the lay opinion permitted by N.C.G.S. § 8C-1, Rule 701.
Relevant evidence is generally admissible,
see N.C.G.S. § 8C-1,
Rule 402 (1999), except where its probative value is substantiallyoutweighed by the danger of unfair prejudice, confusion of the issu
es, or
misleading the jury, or by considerations of undue delay, waste of time, or
needless presentation of cumulative evidence, N.C.G.S. § 8C-1, Rule 403
(1999). Whether to exclude relevant but prejudicial evidence under Rule
403 is a matter left to the sound discretion of the trial court.
State v.
Handy, 331 N.C. 515, 532, 419 S.E.2d 545, 554 (1992);
see also State v.
Elliott, 344 N.C. 242, 272, 475 S.E.2d 202, 215 (1996),
cert. denied, 520
U.S. 1106, 137 L. Ed. 2d 312 (1997). We conclude that the trial court did
not abuse its discretion by permitting Officer Brown, Officer Clark,
Captain Massey, and Assistant Superintendent Wilson to testify about the
victim's screams during the murder, the appearance of the crime scene, and
defendant's behavior and demeanor immediately following the murder. This
testimony was relevant to negate defendant's claim of self-defense as well
as to establish his state of mind and intent to kill.
[12] Having concluded that the testimony was not unfairly
prejudicial to defendant, we next consider whether Officer Clark's and
Officer Brown's testimony amounted to improper lay opinion. N.C.G.S. §
8C-1, Rule 701 provides:
If the witness is not testifying as an expert, his
testimony in the form of opinions or inferences is
limited to those opinions or inferences which are
(a) rationally based on the perception of the witness
and (b) helpful to a clear understanding of his
testimony or the determination of a fact in issue.
N.C.G.S. § 8C-1, Rule 701 (1999);
accord State v. Williams, 319 N.C. 73,
78, 352 S.E.2d 428, 432 (1987). This rule permits evidence which can be
characterized as a shorthand statement of fact.
This Court has long held that a witness may state the
instantaneous conclusions of the mind as to the
appearance, condition, or mental or physical state of
persons, animals, and things, derived from observation
of a variety of facts presented to the senses at oneand the same time. Such statements are usually
referred to as shorthand statements of facts.
State v. Spaulding, 288 N.C. 397, 411, 219 S.E.2d 178, 187 (1975) (quoting
State v. Skeen, 182 N.C. 844, 845-46, 109 S.E. 71, 72 (1921)),
death
sentence vacated, 428 U.S. 904, 49 L. Ed. 2d 1210 (1976);
accord State v.
Johnston, 344 N.C. 596, 609, 476 S.E.2d 289, 296 (1996);
Williams, 319 N.C.
at 78, 352 S.E.2d at 432. Officer Brown's testimony that the victim's
screaming sounded like somebody fearing for his life and that the crime
scene was worse than a hog killing represented instantaneous conclusions
based on his observation of a variety of facts. Similarly, Officer Clark's
testimony that defendant looked guilty was based on his observation that,
as defendant saw Officer Clark approaching, defendant immediately raised
his hands. Finally, Captain Massey's and Assistant Superintendent Wilson's
testimony that defendant appeared calm, relaxed, and without remorse
represented instantaneous conclusions based on their observations of
defendant's demeanor following the murder. Thus, we conclude that the
testimony of these witnesses may be characterized as admissible shorthand
statements of fact. The trial court did not err in admitting this
testimony of these witnesses, and defendant's due process right to a fair
trial was not violated. These assignments of error are overruled.
[13] In two other separate arguments defendant contends that the
trial court erred in excluding testimony from defendant and from two other
witnesses regarding the general availability of weapons at Caledonia.
Defendant argues that the excluded evidence was relevant to his claim of
self-defense in that the testimony supported the reasonableness of his
belief that he was about to be injured or killed. Defendant further
contends that the trial court's erroneous rulings violated his
constitutional right to due process and resulted in a death sentenceimposed in violation of the Eighth Amendment to the United States
Constitution. We disagree.
Where a defendant claims that he killed the victim in self-
defense, a jury should, as far as is possible, be placed in defendant's
situation and possess the same knowledge of danger and the same necessity
for action, in order to decide if defendant acted under reasonable
apprehension of danger to his person or his life.
State v. Johnson, 270
N.C. 215, 219, 154 S.E.2d 48, 52 (1967). In
State v. Spaulding, 298 N.C.
149, 159, 257 S.E.2d 391, 397 (1979), this Court held that a defendant
charged with committing a murder in prison should be permitted to present
to the jury his evidence of the availability of weapons both to rebut the
state's evidence and to assist in establishing his claim of self-defense.
In this case, the trial court first excluded testimony from State
witness Officer Brown, who testified on direct examination that he searched
the shower area and the victim immediately prior to the time of the murder.
The trial court permitted defendant to cross-examine Officer Brown about
the security of the shower area and the adjoining sally port and about the
possibility that another inmate could have reached into the shower and
given the victim a knife. However, the trial court excluded any further
cross-examination regarding searches of or weapons found in the victim's
cell block. We conclude that the trial court properly excluded Officer
Brown's testimony.
Under N.C.G.S. § 8C-1, Rule 611(a), the trial court properly
exercised its discretion to control the examination of witnesses, both for
the purpose of conserving the trial court's time and for the purpose of
protecting the witness from prolonged, needless, or abusive examination.
State v. White, 340 N.C. 264, 299, 457 S.E.2d 841, 861,
cert. denied, 516U.S. 994, 133 L. Ed. 2d 436 (1995). Officer Brown h
ad already testified
that he did not know how frequently the victim's cell block was searched
and that he could not recall whether he or any other officers had ever
found knives during a search of the victim's cell block. Thus, this
witness could not provide any further testimony regarding the general
availability of weapons in the victim's cell block; and any further
questioning of Officer Brown on this subject would have been futile.
Additionally, although the trial court excluded further cross-examination
of Officer Brown, the trial court expressly stated that defendant could
present other evidence that tended to establish the availability of weapons
in the prison. Thus, consistent with
Spaulding, 298 N.C. at 159, 257
S.E.2d at 397, defendant was not precluded from presenting such evidence
and did in fact present such evidence.
Second, the trial court excluded defendant's response to a
question during direct examination regarding his knowledge of the
availability of knives at Caledonia. The trial court sustained the
prosecutor's objection on the basis that defendant had already testified
about the availability of knives and the dangerousness of the inmates at
Caledonia. We conclude that the trial court properly exercised its
discretion under N.C.G.S. § 8C-1, Rule 611(a) in sustaining the
prosecutor's objection. Defendant had already testified extensively
regarding frequent violence among the inmates and that everybody at
Caledonia, everybody has a knife. Defendant also testified that, during a
cell-block search following a violent incident, officers discovered knives
in twenty of the twenty-four cells in his and the victim's cell block.
Therefore, any further testimony from defendant regarding the availability
of knives would have been duplicative of defendant's earlier testimony. Finally, the trial court excluded testimony
from defense witness
Marvin Sparrow, a former North Carolina Prisoner Legal Services attorney,
regarding the dangerousness of the prisoners at Caledonia. The trial court
ruled that Sparrow was not qualified to testify to prison conditions at the
time of the murder. In
Spaulding, 298 N.C. at 159-60, 257 S.E.2d at
397-98, this Court held competent and admissible the testimony of Lee
Bounds, former Director of Prisons, about prevailing prison conditions.
The Court based its conclusion on Bounds' extensive experience in North
Carolina's prisons and his knowledge of the prison conditions at the time
of the murder.
Id. at 159, 257 S.E.2d at 397. In contrast, Sparrow based
his opinion exclusively on prisoner complaints and on visits to Caledonia
for the purpose of interviewing prisoners. Further, Sparrow last visited
Caledonia in the summer of 1995 approximately one year prior to this murder
which occurred in August 1996. Therefore, we conclude that Sparrow was in
no better position than the jury to give his opinion about the prevailing
conditions in Caledonia at the time of the murder; and the trial court did
not abuse its discretion in excluding Sparrow's testimony. These
assignments of error are without merit.
[14] Next, defendant contends that the trial court erred in
allowing testimony from several inmates that defendant went to the shower
area intending to kill the victim over money that the victim allegedly owed
to defendant. Defendant argues that the statements were hearsay not
falling within any hearsay exception. He further argues that any probative
value of these statements was outweighed by the danger of unfair prejudice
to defendant. We reject defendant's arguments for the following reasons.
Inmates Ronnie Sawyer and Michael Thomason testified that another
inmate, Ronald Moore, told defendant that guy was in the shower and thatdefendant then walked toward the shower area. Both Saw
yer and Thomason
also testified that, shortly thereafter, defendant stabbed the victim to
death in the shower.
Thomason additionally testified that another inmate asked
defendant as he was being taken from the cell block after the murder why he
killed the victim. Thomason gave further testimony that he had talked with
the victim before the murder about the $17.00 that the victim owed to
defendant.
Inmate Thomas McCombs testified that, after the victim went into
the shower area, Moore told McCombs that he was going to approach defendant
about straightening out the alleged debt owed by the victim.
Defendant argues that these statements constituted inadmissible
and prejudicial hearsay. 'Hearsay' is a statement, other than one made by
the declarant while testifying at the trial or hearing, offered in evidence
to prove the truth of the matter asserted. N.C.G.S. § 8C-1, Rule 801(c)
(1999). [W]henever an extrajudicial statement is offered for a purpose
other than proving the truth of the matter asserted, it is not hearsay.
State v. Maynard, 311 N.C. 1, 15-16, 316 S.E.2d 197, 205,
cert. denied, 469
U.S. 963, 83 L. Ed. 2d 299 (1984).
Rule 803(3) of the North Carolina Rules of Evidence provides that
a statement by a declarant as to the declarant's then-existing state of
mind is not excludable under the hearsay rule. N.C.G.S. § 8C-1, Rule
803(3) (1999). In interpreting Rule 803(3), this Court has held that the
rule allows the admission of a hearsay statement of a then-existing intent
to engage in a future act.
See State v. Sneed, 327 N.C. 266, 271, 393
S.E.2d 531, 534 (1990);
State v. McElrath, 322 N.C. 1, 17-18, 366 S.E.2d
442, 451 (1988). Therefore, Moore's statement to McCombs that he was goingto approach defendant about straightening out the victim's debt
was
admissible as evidence of Moore's then-existing intent to engage in a
future act.
[15] The trial court properly excluded as impermissible hearsay
Thomason's testimony that an anonymous inmate asked defendant why he killed
the victim. Although the trial court initially overruled defendant's
objection to this testimony, following an immediate
voir dire of the
witness and arguments by both parties, the trial court ruled that Thomason
could testify that an inmate asked a question but could not testify as to
what the inmate actually asked or how defendant responded. Thus, the trial
court's initial error in overruling defendant's objection was subsequently
corrected; and the inadmissible hearsay testimony was properly excluded.
[16],[17] With regard to the remaining testimony of which
defendant complains, the trial court properly ruled that the statements did
not constitute impermissible hearsay. Moore's statement to defendant
shortly before the murder about that guy being in the shower was not
offered to prove the truth of any matter asserted therein. Instead, the
statement was offered to explain the subsequent conduct of defendant in
walking toward the shower area.
See State v. Morston, 336 N.C. 381, 399,
445 S.E.2d 1, 11 (1994). Thus, the statement was not hearsay and was
properly admitted into evidence. Likewise, Thomason's testimony about the
victim's $17.00 debt owed to defendant did not constitute hearsay.
Thomason did not testify to any statements made by the victim. Rather,
Thomason testified that he was aware of the debt and that he had talked
with the victim about the debt. Therefore, this testimony was relevant to
establish a possible motive for the murder and was properly admitted into
evidence. Further, in light of the overwhelming evidence of defendant'sguilt, none of the statements admitted into evidence were unfairly
prejudicial to defendant. These assignments of error are without merit.
[18] In his next assignment of error, defendant contends that the
trial court erred by excluding relevant evidence on the basis that the
statements constituted unreliable and inadmissible hearsay. The trial
court excluded defendant's proffered testimony that inmate Mack Cheatam
told defendant that he had given a knife to the victim. The trial court
also excluded inmate Ronald Moore's testimony that Cheatam told Moore that
he had given a knife to the victim. Defendant argues that these statements
did not constitute hearsay in that the statements were offered to show his
state of mind and in support of his self-defense claim, not to prove the
truth of the matters asserted therein.
Although the excluded statements were properly admissible as
corroborative of defendant's self-defense claim, this Court has held that
[t]here is no right to corroboration in advance of the testimony of a
witness.
State v. Hinson, 310 N.C. 245, 256, 311 S.E.2d 256, 264,
cert.
denied, 469 U.S. 839, 83 L. Ed. 2d 78 (1984). In this case, after
defendant testified that he believed the victim had a knife at the time of
the murder and that he killed the victim in self-defense, the trial court
properly allowed defendant to introduce other corroborative evidence that
the victim possessed a knife. As noted earlier, defendant testified
extensively about the availability of weapons and the frequency of prisoner
violence in Caledonia. Additionally, both defendant and Moore testified
about their conversation in which Moore told defendant that Cheatam had
given the victim a knife. Thus, defendant was not precluded from
presenting evidence that corroborated his self-defense claim; and defendant
cannot show that he suffered any prejudice from the trial court's initialexclusion of the corroborative evidence.
See N.C.G.S.
7; 15A-1443(a);
see
also State v. Ball, 324 N.C. 233, 237-38, 377 S.E.2d 70, 73 (1989) (holding
that the defendant was not prejudiced by the order in which he was required
to present corroborative evidence).
[19] Next, defendant contends in two separate arguments that the
trial court should not have allowed the prosecutor to cross-examine
defendant and inmate Moore about the details of their prior convictions and
prison infractions. Defendant argues that the prosecutor's questions
concerning prior convictions exceeded the scope of proper inquiry under
N.C.G.S. § 8C-1, Rule 609(a) as interpreted by this Court in
State v.
Lynch, 334 N.C. 402, 432 S.E.2d 349 (1993). Defendant further argues that
the prosecutor's questions regarding prison infractions were unfairly
prejudicial and exceeded the scope of permissible impeachment under
N.C.G.S. § 8C-1, Rule 608(b).
The prosecutor asked defendant the following questions about his
prior convictions: (i) whether defendant had placed a belt around this
officer's neck at Polk Youth Center while other inmates beat him;
(ii) whether defendant was transferred from Polk Youth Center before or
after you strangled [the officer]; iii) what kind of weapon defendant
used, the name of the victim, and how much money defendant stole during the
commission of an armed robbery; (iv) whether defendant had committed any
other murders; and (v) whether defendant had committed the other murders
in sequence.
Evidence of a witness' prior convictions is admissible for the
purpose of impeaching the witness' credibility.
See N.C.G.S. § 8C-1, Rule
609(a) (1999). This Court held in
Lynch, 334 N.C. at 410, 432 S.E.2d at
353, that a cross-examiner can elicit only the name of the crime and thetime, place, and punishment for impeachment purposes under Ru
le 609(a) in
the guilt-innocence phase of a criminal trial. The Court further noted,
however, that evidence which would otherwise be inadmissible may be
permissible on cross-examination to correct inaccuracies or misleading
omissions in the defendant's testimony or to dispel favorable inferences
arising therefrom.
Id. at 412, 432 S.E.2d at 354. In this case defendant
testified on direct examination that he had been convicted of two counts of
first-degree murder, four counts of robbery with a dangerous weapon,
second-degree kidnapping, larceny of a motor vehicle, assault with a deadly
weapon, and numerous misdemeanors such as traffic offenses, stuff like
simple assault, misdemeanor breaking and entering. Defendant indicated he
could not recall all the misdemeanor offenses. Thereafter, defendant
characterized the attack on the officer at Polk Youth Center as [getting]
into some trouble. Further, in describing the dangerousness of the
prisoners at Caledonia, defendant used serial killers as an example of
dangerous inmates that might reside in defendant's cell block.
On cross-examination the prosecutor questioned defendant about
the misdemeanors and in an effort to jog defendant's memory, mentioned
factual details. The prosecutor also asked if the assault on the officer
at Polk Youth Center was what defendant meant by getting into trouble and
whether this was the incident that caused defendant to be transferred from
Polk Youth Center to Blanch, a more restrictive facility which defendant
had described on direct examination. In response to a question by the
prosecutor concerning when he started the cycle of being continuously in
and out of prison, defendant volunteered information about stealing a car;
and the prosecutor then asked him who the victim was and if he was charged
with stealing a car. Defendant responded that he stole a cab and that hewas charged with larceny of a motor vehicle and robbery. The pros
ecutor
asked what kind of robbery it was in order to clarify that it was armed
robbery and then asked what type of weapon defendant used. The prosecutor
also cross-examined defendant about the sequence and timing of the other
murders that defendant had committed.
Considering defendant's testimony on direct examination which
tended to minimize the seriousness of his criminal involvement, we conclude
the prosecutor did not exceed the scope of proper examination. The
prosecutor did not improperly ask defendant about tangential circumstances
of the crime[s].
State v. King, 343 N.C. 29, 49, 468 S.E.2d 232, 245
(1996). The questioning related to the factual elements of the crime[s]
and to necessary detail intended to jog defendant's memory.
Id.
[20] Similarly, on direct examination Moore testified that he had
been convicted of assault and two robberies. On cross-examination Moore
again testified that he had been convicted of two robberies; and in
response to the prosecutor's question asking what kind of robberies, Moore
stated stick-ups. Moore then admitted the robberies were armed
robberies, and the prosecutor asked Moore what type of weapon he had used
to commit each offense. Moore then admitted that he was convicted of
assault with a deadly weapon inflicting serious injury; the prosecutor
asked Moore what weapon he used, and Moore indicated a gun. We conclude
that the prosecutor's questions related to the factual elements of the
crime rather than the tangential circumstances of the crime. We held in
Lynch, 334 N.C. at 410, 432 S.E.2d at 353, that similar questions by the
prosecutor exceeded the permissible scope of impeachment under Rule 609(a).
However, the prosecutor in that case not only asked the defendant about the
weapons used to commit each crime but also cross-examined the defendantabout his living arrangements with [the shooting victim], word
s he spoke
to her when he entered her home, his confusion about the circumstances, his
confusion about whether he pled guilty . . . , and the fact that he was in
a blackout at the time.
Id. at 408, 432 S.E.2d at 352. Moreover, unlike
the defendant in
Lynch, Moore was not completely forthright and accurate in
testifying about his prior convictions on direct examination.
See id. at
412-13, 432 S.E.2d at 354. The prosecutor here asked only about weapons,
not about other circumstances of the crimes, and thereby clarified the
nature of the crimes which Moore had tended to minimize. Thus, the
prosecutor's questions were within the scope of proper impeachment. Even
if the questions in this instance did exceed the proper scope of inquiry,
any error was not prejudicial in that the questions were asked of a defense
witness, not of defendant.
See King, 343 N.C. at 50, 468 S.E.2d at 245.
Further, in light of the overwhelming evidence of defendant's guilt, no
reasonable possibility exists that a different result would have been
reached at trial absent the alleged error.
See N.C.G.S. § 15A-1443(a);
King, 343 N.C. at 50, 468 S.E.2d at 245.
[21] Defendant additionally argues that the trial court erred by
allowing the prosecutor to cross-examine defendant and Moore with respect
to their prison infractions. Defendant argues that the prosecutor's
questions related to specific instances of conduct which were not probative
of truthfulness and that the inquiry violated N.C.G.S. § 8C-1, Rule 608(b).
Defendant also argues that the evidence of defendant's and Moore's prison
infractions was unfairly prejudicial in that the prosecutor portrayed both
witnesses as violent and not credible.
Rule 608(b) provides that specific instances of conduct of a
witness may, in the discretion of the court, if probative of truthfulnessor untruthfulness, be inquired into on cross-examination of
the witness
. . . concerning his character for truthfulness or untruthfulness.
N.C.G.S. § 8C-1, Rule 608(b) (1999).
Rule 608(b) of the North Carolina Rules of Evidence
governs the admissibility of specific acts of
misconduct where (i) the purpose of the inquiry is to
show conduct indicative of the actor's character for
truthfulness or untruthfulness; (ii) the conduct in
question is in fact probative of truthfulness or
untruthfulness; (iii) the conduct in question is not
too remote in time; (iv) the conduct did not result in
a conviction; and (v) the inquiry takes place during
cross-examination.
See State v. Morgan, 315 N.C. 626,
634, 340 S.E.2d 84, 89-90 (1986). Among the types of
conduct most widely accepted as falling into this
category are 'use of false identity, making false
statements on affidavits, applications or government
forms (including tax returns), giving false testimony,
attempting to corrupt or cheat others, and attempting
to deceive or defraud others.'
Id. at 635, 340 S.E.2d
at 90 (quoting 3 D. Louisell & C. Mueller,
Federal
Evidence § 305 (1979)).
State v. Bell, 338 N.C. 363, 382, 450 S.E.2d 710, 720 (1994),
cert. denied,
515 U.S. 1163, 132 L. Ed. 2d 861 (1995).
Defendant argues that the prosecutor exceeded the scope of Rule
608(b) by eliciting from defendant on cross-examination information about
the following prison infractions: (i) placed on lockup on 4 January 1994
for weapon possession; (ii) disciplined on 10 November 1993 for provoking
an assault; (iii) disciplined on 26 May 1996 for disobeying an order and
fighting; (iv) disciplined on 3 July 1996 for profane language, disobeying
an order, and making a verbal threat; and (v) disciplined on 6 August 1996
for weapon possession. Defendant contends that these prison infractions do
not inherently involve dishonesty and that nothing in the context of the
challenged questions suggested that defendant's prison infractions were
probative of his truthfulness or untruthfulness. The transcript discloses
that the prosecutor's questions were directed at testimony given bydefendant on direct examination that was indicative of defendant's
character for untruthfulness. Defendant testified on direct examination
about the living conditions that he endured while on lockup and while on
maximum security but never explained why he was confined in this manner.
However, the prosecutor's questions about the 4 January 1994 incident
revealed that defendant was not mistreated by the prison system but, in
fact, was placed on lockup as punishment for his misconduct. Therefore, we
conclude that the purpose of the prosecutor's inquiry was to show
defendant's character for untruthfulness and that the trial court did not
abuse its discretion under Rule 608(b) by allowing the inquiry.
Further, we cannot say that the probative value of the 4 January
1994 incident was substantially outweighed by the danger of unfair
prejudice. N.C.G.S. § 8C-1, Rule 403 (1992). Most evidence tends to
prejudice the party against whom it is offered. However, to be excluded
under Rule 403, the probative value of the evidence must not only be
outweighed by the danger of unfair prejudice, it must be
substantially
outweighed.
State v. Lyons, 340 N.C. 646, 669, 459 S.E.2d 770, 783
(1995). In light of defendant's extensive testimony on direct examination
regarding the amount of time that defendant was confined to lockup at
various institutions throughout the prison system, we conclude that the
probative value of defendant's 4 January 1994 prison infraction was not
substantially outweighed by the dangers of unfair prejudice.
In regard to defendant's other prison infractions, we note that
defendant failed to object to the prosecutor's questions. Therefore,
defendant may not raise the issue on appeal. N.C. R. App. P. 10(b)(1);
State v. Call, 349 N.C. 382, 414-15, 508 S.E.2d 496, 516 (1998). By
failing to properly preserve this issue, defendant is entitled to reviewonly for plain error. However, defendant fails to argue plain erro
r with
respect to his remaining prison infractions, thereby waiving appellate
review.
See N.C. R. App. P. 10(c)(4);
Call, 349 N.C. at 415, 508 S.E.2d at
516.
[22] Defendant also argues that the prosecutor exceeded the scope
of Rule 608(b) by eliciting the following prison infractions from Moore on
cross-examination: (i) placed on segregation for stabbing someone with a
pen, (ii) disciplined for disobeying an order, (iii) disciplined on three
separate occasions for fighting, and (iv) disciplined for provoking a
fight. Defendant failed to object at any point to the prosecutor's
impeachment of Moore based on his prison infractions. Therefore, defendant
is entitled to review only for plain error.
See N.C. R. App. P. 10(c)(4);
Call, 349 N.C. at 414-15, 508 S.E.2d at 516. Plain error exists where,
after reviewing the entire record, the claimed error is so fundamental, so
basic, so prejudicial, or so lacking in its elements that justice could not
have been done.
See State v. Fleming, 350 N.C. 109, 132, 512 S.E.2d 720,
736,
cert. denied, ___ U.S. ___, 145 L. Ed. 2d 274 (1999);
State v. Davis,
349 N.C. 1, 29, 506 S.E.2d 455, 470 (1998),
cert. denied, 526 U.S. 1161,
144 L. Ed. 2d 219 (1999).
Assuming
arguendo that the prosecutor's questions about Moore's
prison infractions exceeded the permissible scope of impeachment under
N.C.G.S. § 8C-1, Rule 608(b), we hold that admission of the evidence did
not rise to the level of plain error. To prevail on plain error review,
defendant must show that (i) a different result probably would have been
reached but for the error or (ii) the error was so fundamental as to result
in a miscarriage of justice or denial of a fair trial.
See State v.
Bishop, 346 N.C. 365, 385, 488 S.E.2d 769, 779 (1997). As defendant hasfailed to make the necessary showing, these assignments of erro
r are
overruled.
[23] In his next assignment of error, defendant contends that the
trial court erred in not allowing defendant's expert witness to give his
opinion as to defendant's state of mind at the time of the homicide.
Defendant argues that the excluded testimony of Dr. Nathan Strahl tended to
show that defendant was not in a cool state of mind and that defendant
suffered from diminished capacity at the time of the killing. Thus,
defendant argues that this evidence was relevant to show that defendant did
not premeditate and deliberate the killing and to show the reasonableness
of defendant's belief that he was in physical danger at the time of the
killing.
Evidence is relevant if it has any tendency to make the
existence of any fact that is of consequence to the determination of the
action more probable than it would be without the evidence. N.C.G.S. §
8C-1, Rule 401 (1999). Any relevant evidence is generally admissible
unless its probative value is substantially outweighed by the danger of
unfair prejudice.
See N.C.G.S. § 8C-1, Rules 402, 403 (1999);
State v.
Lawrence, 352 N.C. at 17, ___ S.E.2d at ___;
State v. Eason, 328 N.C. 409,
421, 402 S.E.2d 809, 814 (1991). Expert testimony is admissible under
N.C.G.S. § 8C-1, Rule 702, if it will assist the 'trier of fact to
understand the evidence or to determine a fact in issue.'
State v. Weeks,
322 N.C. 152, 164, 367 S.E.2d 895, 903 (1988) (quoting N.C.G.S. § 8C-1,
Rule 702 (1986)). In determining the admissibility of expert opinion, the
test is whether the opinion expressed is really one based on the special
expertise of the expert, that is, whether the witness because of his
expertise is in a better position to have an opinion on the subject than isthe trier of fact.
State v. Wilkerson, 295 N.C. 55
9, 568-69, 247 S.E.2d
905, 911 (1978).
In the present case, defense counsel sought a ruling from the
trial court on the admissibility of Dr. Strahl's opinion concerning the
effect of long-term maximum-custody lockup at Caledonia on defendant's
behavior. On
voir dire, Dr. Strahl stated that he had an opinion as to the
effect of long-term lockup and testified as follows:
[Defendant] was incarcerated under a lock-up condition
for a total of 21 months, partly at the Blanch and
partly at Caledonia. And medically speaking in terms
of mental health issues, long term lock-up produces a
medical condition known as prison psychosis, which is a
paranoid personality change that comes on a person who
has been put in a reclusive secluded environment over a
long period of time.
Dr. Strahl further explained that defendant would have a hard time
distinguishing between appropriate fears and inappropriate fears and that
defendant may overreact in nondangerous situations.
In
Spaulding, 298 N.C. at 160, 257 S.E.2d at 398, this Court held
that the trial court properly excluded expert testimony about the effect of
imprisonment on the defendant on the basis that the expert was in no better
position than the jury to determine the reasonableness of the defendant's
apprehension. Similarly, in this case, we are not convinced that
Dr. Strahl was in any better position than the jury to determine that, as
the result of long-term imprisonment, certain legal standards had not been
met, namely, that defendant did not premeditate and deliberate and that
defendant was responding to a threat he genuinely perceived. Having the
expert testify as requested by defendant would tend to confuse, rather than
help, the jury in understanding the evidence and determining the facts in
issue.
See Weeks, 322 N.C. at 167, 367 S.E.2d at 904. Therefore, weconclude that the trial court did not err in refusing to
admit this
testimony.
[24] Next, defendant contends that the trial court erred in
permitting the prosecutor to cross-examine defense expert Dr. Strahl after
defendant attempted to withdraw Dr. Strahl as a witness. Defendant further
argues that the trial court permitted the prosecutor to mock and attack
Dr. Strahl's credibility by characterizing Dr. Strahl's testimony as
incomplete during closing arguments. Defendant contends that these errors
deprived him of a fair trial and due process of law. We disagree.
Generally, when a witness, including a defense witness in a
criminal trial, takes the stand and testifies, the opposing party has an
absolute right to cross-examine the witness.
See State v. Burgin, 313 N.C.
404, 406, 329 S.E.2d 653, 656 (1985). In this case, Dr. Strahl testified
on direct examination regarding his qualifications as an expert witness.
However, Dr. Strahl also gave the following substantive testimony:
I believe at Caledonia that the atmosphere of the
prison system is very rigorous, very extensive, very
demanding, and at times, overwhelming. Inmates live in
a very difficult environment with a great deal of
violence and a great deal of fear of violence.
And the reactivity to that is actually molded by
the environment itself. That is, in my medical
opinion, the facility of the prison actually molds the
behavior of inmates who live within it.
Dr. Strahl further testified that he interviewed defendant at Caledonia on
two separate occasions and that he had reviewed several reports and records
concerning prison violence and prison searches at Caledonia. After the
trial court sustained the prosecutor's objection to Dr. Strahl's testimony
regarding defendant's alleged prison psychosis, defense counsel attempted
to withdraw Dr. Strahl as a witness. However, contrary to defendant's
contentions, Dr. Strahl had already testified about matters other than hiscredentials as an expert witness. Therefore, we conclude th
at the trial
court properly permitted the prosecutor to cross-examine Dr. Strahl.
Further, after a thorough review of the transcript, we conclude that the
prosecutor properly impeached Dr. Strahl's credibility without asking any
questions or eliciting any testimony that related to the evidence excluded
by the trial court.
[25] With respect to the prosecutor's closing argument, we
conclude that the argument did not violate the scope of permissible
prosecutorial conduct. During closing argument the prosecutor argued as
follows:
And the defendant's so-called expert, Nathan Strahl,
M.D., PhD, the only thing of merit -- well, I'll let
you determine what he said, if he said anything of
merit. But he comes in and he says prison molds
people.
The prosecutor later argued:
Nathan Strahl wants to tell us that prison molds
inmates. Where's the rest of it, Dr. Strahl, M.D.,
PhD?
Preliminarily, we note that defendant in this case did not object to the
prosecutor's closing argument. Where a defendant fails to object, an
appellate court reviews the prosecutor's arguments to determine whether the
argument was so grossly improper that the trial court committed reversible
error in failing to intervene
ex mero motu to correct the error.
State v.
Williams, 317 N.C. 474, 482, 346 S.E.2d 405, 410 (1986). As we have stated
previously, only an extreme impropriety on the part of the prosecutor will
compel this Court to hold that the trial judge abused his discretion in not
recognizing and correcting
ex mero motu an argument that defense counsel
apparently did not believe was prejudicial when originally spoken.
Statev. Richardson, 342 N.C. 772, 786, 467 S.E.2d 685, 693
,
cert. denied, 519
U.S. 890, 136 L. Ed. 2d 160 (1996).
When viewed in context of the conflicting evidence concerning
defendant's intent and state of mind at the time of the murder, we conclude
that it was not a gross impropriety to argue that Dr. Strahl's testimony
was incomplete. This Court has consistently held that 'counsel must be
allowed wide latitude in the argument of hotly contested cases. He may
argue to the jury the facts in evidence and all reasonable inferences to be
drawn therefrom together with the relevant law so as to present his side of
the case.'
State v. Allen, 322 N.C. 176, 195, 367 S.E.2d 626, 636 (1988)
(quoting
State v. Covington, 290 N.C. 313, 327-28, 226 S.E.2d 629, 640
(1976)). Here, the prosecutor in his closing argument properly referred to
Dr. Strahl's direct testimony that prison molds the behavior of inmates.
Further, the prosecutor's comment, [w]here's the rest of it, Dr. Strahl,
M.D., PhD? when taken in context, does not refer to Dr. Strahl's excluded
testimony. Just before this rhetorical question, the prosecutor has
commented on conditions at Caledonia and had suggested that it was a
miracle more incidents did not occur with the six or seven hundred of the
worst inmates. The prosecutor further noted that of all the infractions
committed at Caledonia over the past several years, only one murder was
committed. Thus, the prosecutor implied that, if prison actually molds
inmate behavior as Dr. Strahl testified, more prisoners, not just
defendant, would have committed more serious offenses at Caledonia.
In light of Dr. Strahl's direct testimony that prison molds
inmate behavior, we cannot conclude that the prosecutor's inference was so
grossly improper as to require the trial court to intervene
ex mero motu
when, at trial, defense counsel apparently did not believe the argument wasprejudicial.
See State v. Murillo, 349 N.C. 573,
606, 509 S.E.2d 752, 771
(1998),
cert. denied, ___ U.S. ___, 145 L. Ed. 2d 87 (1999);
State v.
Campbell, 340 N.C. 612, 630, 460 S.E.2d 144, 153 (1995),
cert. denied, 516
U.S. 1128, 133 L. Ed. 2d 871 (1996). This assignment of error is
overruled.
[26] Next, defendant contends that the trial court erred by
prohibiting counsel from informing the jury during closing arguments that
the trial court had reversed its earlier ruling in which it refused to
instruct on the lesser-included offenses of second-degree murder and
voluntary manslaughter. Defendant further contends that the trial court
erred by denying defendant's motion for a mistrial. We disagree.
During the charge conference, the trial court denied defendant's
request for jury instructions on the lesser-included offenses of second-
degree murder and voluntary manslaughter. After the prosecutor and defense
counsel completed their initial arguments but prior to final closing
arguments, the trial court reversed its earlier ruling and informed the
parties that it would instruct the jury as requested by defendant. The
trial court permitted both parties to reopen their initial arguments after
strongly cautioning that neither party would be allowed to mention the
trial court's ruling. The trial court then denied defendant's motion for a
mistrial.
Although counsel is given wide latitude during closing arguments,
the conduct of arguments of counsel to the jury must necessarily be left
largely to the sound discretion of the trial judge.
State v. Whiteside,
325 N.C. 389, 398, 383 S.E.2d 911, 916 (1989). Further, [t]he judge may
not express during any stage of the trial, any opinion in the presence ofthe jury on any question of fact to be decided by the jury.
N.C.G.S. §
15A-1222 (1999).
We find nothing in the record to suggest that the trial court
abused its discretion by reopening arguments and prohibiting mention of its
ruling rather than declaring a mistrial. The trial court acted
appropriately to ensure that its decision to instruct the jury on the
lesser-included offenses would not affect the proceedings or result in the
appearance of partiality. Additionally, the trial court reversed its
ruling in ample time for defendant to revise his closing argument in such a
way as to avoid drawing attention to the disparities between the two
arguments. Upon reviewing the transcript, we note that defense counsel
transitioned smoothly from his first argument, in which he argued the
elements of first-degree murder and self-defense, into his second argument,
in which he reminded the jury of his first argument before continuing with
the elements of second-degree murder and voluntary manslaughter. Finally,
the trial court reversed its ruling and instructed the jury on lesser-
included offenses according to defendant's request. Thus, defendant cannot
show that he suffered any prejudice.
See N.C.G.S. § 15A-1443(c). Having
concluded that defendant was not prejudiced as the result of the trial
court's rulings, we further conclude that the trial court properly denied
defendant's motion for mistrial.
See N.C.G.S. § 15A-1061 (1999). This
assignment is without merit and is, therefore, overruled.
[27] In his next assignment of error, defendant contends that the
trial court committed prejudicial constitutional error in failing to
intervene
ex mero motu at several points during the prosecution's closing
argument. We disagree. Where a defendant fails to object to the closing arguments at
trial, defendant must establish that the remarks were so grossly improper
that the trial court abused its discretion by failing to intervene
ex mero
motu. To establish such an abuse, defendant must show that the
prosecutor's comments so infected the trial with unfairness that they
rendered the conviction fundamentally unfair.
Davis, 349 N.C. at 23, 506
S.E.2d at 467.
In this case, the prosecutor first argued to the jury as follows:
And then you move to the third element of what
this cowardly bully has to have to come in here and
hang his hat on a valid principle of law of self-
defense, and it besmirches and degrades self-defense.
It's spitting in the eye of the law. It's vomit.
It's vomit on the law of North Carolina for this
man to try to use self-defense because he's got to
show, in addition to the other two, that he was not the
aggressor.
Defendant maintains that the prosecutor impermissibly expressed his
personal opinion about the falsity of defendant's self-defense claim.
Under N.C.G.S. § 15A-1230, [d]uring a closing argument to the
jury an attorney may not become abusive, inject his personal experiences,
express his personal belief as to the truth or falsity of the evidence or
as to the guilt or innocence of the defendant, or make arguments on the
basis of matters outside the record. N.C.G.S. § 15A-1230(a) (1999). In
State v. Pittman, 332 N.C. 244, 262, 420 S.E.2d 437, 447 (1992), this Court
held that the prosecutor did not improperly assert his personal beliefs
when he argued that justice in Halifax County will be dead if the
defendant was found not guilty. Instead, we explained that [t]his
argument was a hyperbolic expression of the State's position that a not
guilty verdict, in light of the evidence of guilt, would be an injustice.
Id. Similarly, in this case, the prosecutor's assertion that defendant'sself-defense claim is vomit on the law of North Carol
ina constitutes a
permissible expression of the State's position that, in light of the
overwhelming evidence of defendant's guilt, the jury's determination that
defendant acted in self-defense would be an injustice. Therefore, we
conclude that the prosecutor's statement was not so grossly improper as to
require the trial court to intervene
ex mero motu.
[28] Second, the prosecutor made the following argument to the
jury:
A man was taking a shower when this thing came up in
that shower and hacked him to death and turned him from
this young man right here (indicating on photo) to this
right here[] (indicating on photo)[.]
Defendant also contends that the prosecutor repeatedly referred to
defendant as cowardly. Defendant argues that the prosecutor's
characterizations of defendant as this thing and as cowardly constitute
abusive and impermissible references to defendant.
This Court has stated that it is improper to compare criminal
defendants to members of the animal kingdom.
Richardson, 342 N.C. at 793,
467 S.E.2d at 697. However, in this instance the prosecutor never compared
defendant to an animal. Instead, the prosecutor's comments regarding
defendant's cowardice were connected to the evidence which suggested that
the victim was physically smaller and weaker than defendant and that the
victim was naked and defenseless at the time of the killing. In context
the use of the word cowardly to describe defendant, while not
complimentary, was not disparaging.
See State v. Warren, 348 N.C. 80,
125-26, 499 S.E.2d 431, 457 (holding that the prosecutor's description of
the defendant as a coward was not disparaging in light of evidence that
the defendant preyed on weak victims),
cert. denied, 525 U.S. 915, 142 L.
Ed. 2d 216 (1998). Likewise, the prosecutor's one-time description of defendant as
that thing was not so improper as to require action by the trial court
ex
mero motu. In
State v. Perkins, 345 N.C. 254, 286, 481 S.E.2d 25, 40,
cert. denied, 522 U.S. 837, 139 L. Ed. 2d 64 (1997), the prosecutor called
the defendant sorry and said that describ[ing] him as a man is an
affront to all of us. We emphasized that the remarks were isolated in
holding that the trial court properly overruled the defendant's objection
to them.
See id. at 287, 481 S.E.2d at 40. Further, this Court has
previously held that a trial court did not commit reversible error by
failing to intervene
ex mero motu where the prosecutor's description of the
defendant was more disparaging than the prosecutor's one reference to
defendant as that thing in this case.
See,
e.g.,
State v. Trull, 349
N.C. 428, 454, 509 S.E.2d 178, 195 (1998) (referring to the defendant as a
predator),
cert. denied, ___ U.S. ___, 145 L. Ed. 2d 80 (1999);
State v.
Reeves, 337 N.C. 700, 733, 448 S.E.2d 802, 817 (1994) (describing the
defendant as a predator),
cert. denied, 514 U.S. 1114, 131 L. Ed. 2d 860
(1995);
State v. Hamlet, 312 N.C. 162, 173, 321 S.E.2d 837, 845 (1984)
(describing the defendant as an animal and referring to his environment
as a jungle). Therefore, we conclude that the prosecutor's statements
were not so grossly improper as to require the trial court to intervene
ex
mero motu.
[29] Finally, the prosecutor argued to the jury as follows:
And in this case I speak for the State. I can't run
from that duty. I can't give it over to anybody else.
I speak for the State.
I also sit on the tombstone of [the victim], and I
speak for [the victim] because he doesn't have the
privilege of putting his hand on the Bible and coming
in here and testifying himself.
Defendant contends that the prosecutor's argument blatantly urged the jury
to return a death sentence on behalf of the victim.
This Court has previously found no gross impropriety requiring
intervention
ex mero motu when a prosecutor has argued that he speaks for
the victim.
See Trull, 349 N.C. at 454, 509 S.E.2d at 195;
Elliott, 344
N.C. at 275, 475 S.E.2d at 217. Since the prosecutor's argument in this
case merely reminded the jurors that he was advocating for both the State
and the victim, we overrule this assignment of error.
[30] By his next assignment of error, defendant argues that the
trial court erred in instructing the jury that a shank was a dangerous
weapon as a matter of law in that the instruction created a conclusive
presumption on an element of the offense and relieved the State of its
burden of proof in violation of defendant's right to due process of law.
This Court has previously rejected this argument in
State v. Torain, 316
N.C. 111, 123, 340 S.E.2d 465, 472,
cert. denied, 479 U.S. 836, 93 L. Ed.
2d 77 (1986), and in
State v. DeCastro, 342 N.C. 667, 700, 467 S.E.2d 653,
671,
cert. denied, 519 U.S. 896, 136 L. Ed. 2d 170 (1996). As defendant
failed to offer any new argument, we overrule this assignment of error.
SENTENCING PROCEEDING
[31] Next, defendant contends that the trial court erred by
allowing during the capital sentencing proceeding the improper testimony of
Officer Malley Bissett concerning defendant's demeanor and alleged lack of
remorse during a prior investigation. We disagree. Officer Bissett had
investigated defendant's prior convictions for the murders of Emmanuel
Oguayo and Donald Ray Bryant. Officer Bissett had been with defendant for
approximately five or six hours during that investigation. The prosecutor
in this case asked Officer Bissett the following question: Q. During that time, did this defe
ndant express any
sorrow or any remorse for his crime?
A. Not really. At one point -- the only -- I recall
that the only thing he said was I wish it hadn't
happened, but that's the only -- actually, no remorse,
but he said he wished it hadn't happened.
Officer Bissett also testified that he never saw defendant shed a tear or
become emotional.
Defendant did not object to the prosecutor's question at that
time. Having failed to object, defendant is entitled to relief based on
this assignment of error only if he can demonstrate plain error. Under
the plain error rule, defendant must convince this Court not only that
there was error, but that absent the error, the jury probably would have
reached a different result.
State v. Jordan, 333 N.C. 431, 440, 426
S.E.2d 692, 697 (1993).
In capital sentencing proceedings, [a]ny competent, relevant
evidence which wil[l] substantially support the imposition of the death
penalty may be introduced at this stage.
State v. Bond, 345 N.C. 1, 31,
478 S.E.2d 163, 179 (1996),
cert. denied, 521 U.S. 1124, 138 L. Ed. 2d 1022
(1997). Regarding the admissibility of lay opinions, this Court recently
stated:
Although the Rules of Evidence do not apply in
sentencing proceedings, they may be helpful as a guide
to reliability and relevance.
See Ohio v. Roberts, 448
U.S. 56, 65 L. Ed. 2d 597 (1980). Under those rules, a
lay witness may testify in the form of an opinion if
the opinion is (a) rationally based on the perception
of the witness and (b) helpful to a clear understanding
of his testimony or the determination of a fact in
issue. N.C.G.S. § 8C-1, Rule 701 (1986). We have
held that the mental condition of another is an
appropriate subject for lay opinion. In
State v.
Strickland, 321 N.C. 31, 361 S.E.2d 882 (1987), we
noted that '[a] lay witness, from observation, may
form an opinion as to one's mental condition and
testify thereto before the jury.'
Id. at 38, 361S.E.2d at 886 (quoting
State v. Moore, 268 N.C. 124,
127, 150 S.E.2d 47, 49 (1966)).
Bond, 345 N.C. at 31, 478 S.E.2d at 179.
Officer Bissett's testimony is based on his personal observation
of defendant during the investigation for a period of five or six hours.
Officer Bissett's opinion that defendant demonstrated no remorse for his
previous crimes is competent, relevant evidence of defendant's mental
condition. Further, Officer Bissett's testimony is favorable to defendant
in that it is consistent with defendant's testimony regarding this murder
that I regret that all of this has ever happened. Therefore, we conclude
that the trial court did not commit error, much less plain error, in
allowing Officer Bissett's testimony of defendant's mental condition. This
assignment of error is overruled.
[32] In three separate assignments of error, defendant next
contends that the trial court erred by excluding potential mitigating
evidence presented by his younger sister and mother. The testimony
concerned his childhood difficulties, his caring relationship with his
younger sister, and the psychological trauma caused by his biracial
background. Defendant argues that the excluded testimony was essential to
support corresponding nonstatutory mitigating circumstances. We disagree.
The trial court limited defendant's sister's testimony as
follows:
Q. Can you describe the relationship that you had
with your brother?
A. He was kind of like a fatherly figure, real --
kind of a take-charge person. He looked out for me.
We talked a lot. He, I guess you could say, schooled
me on how boys were. You know, just trying to look out
for me and make sure I did the right things and he
still does.
. . . .
Q. You said he would talk to you?
A. Yes.
Q. Talk about things with you?
A. Yes.
Q. Would you give us an example and tell us what kind
of things he would talk with you about?
[PROSECUTOR]: Well, objection as to relevance,
Your Honor.
THE COURT: Sustained.
Q. In reference to the relationship that you say you
had with him and the type of things that -- you say he
was a father figure --
A. Yes.
Q. -- Can you explain to me the type things he would
do concerning being a father figure to you?
A. Well, just the things that a father would do. If
I felt bad or -- you know, he would come and talk with
me and tell me it's okay. He would look out for me and
make sure I made the right decisions, do the right
things.
Q. What effect, if any, if you know, did being
biracial have upon [defendant]?
[PROSECUTOR]: Well, objection, as to what effect
it had on [defendant].
THE COURT: Sustained.
Q. Were you around him when there were any racial
incidents involving [defendant]?
A. Yes.
Q. Can you tell me some of the things that you heard
that was said to him?
[PROSECUTOR]: Well, object.
THE COURT: Sustained.
Q. Did you see any of his reactions after you were
around when there were incidents or racial incidents
said to him?
A. Yes.
Q. Can you tell me how [defendant] reacted?
A. Well, we had a neighbor which would call us
niggers or my mother a nigger-lover. And I mean, we
all had thoughts about it, but, you know -- my mom
would usually say, well, don't worry about it; it's
just ignorance of other people.
Defendant made no offer of proof to the witness' possible answers
to the objectionable questions. Therefore, defendant has failed to
preserve this issue for appellate review.
See N.C.G.S. § 8C-1, Rule
103(a)(2) (1999);
Atkins, 349 N.C. at 79, 505 S.E.2d at 108. However,
defendant argues that the significance of this evidence is obvious from
the record and that the excluded general information is discernible from
subsequent answers and the context of the questioning. This Court has
allowed appellate review even in the absence of an offer of proof where
the 'essential content' of the excluded testimony and its significance are
obvious.
State v. Hester, 330 N.C. 547, 555, 411 S.E.2d 610, 615 (1992).
Here, we conclude that the essential content and significance of the
excluded testimony is not obvious since it is impossible to determine
whether the excluded testimony would have been reliable and relevant.
Regarding the admissibility of evidence at capital sentencing
proceedings, our capital sentencing statute provides
in pertinent part:
Evidence may be presented as to any matter that the
court deems relevant to sentence, and may include
matters relating to any of the aggravating or
mitigating circumstances enumerated in subsections (e)
and (f). Any evidence which the court deems to have
probative value may be received.
N.C.G.S. § 15A-2000(a)(3) (1999). The trial judge's authority to rule on
the admissibility of evidence is not impaired by the language of thisstatute.
See State v. Cherry, 298 N.C. 86, 98, 257 S.E.2d 551,
559 (1979),
cert. denied, 446 U.S. 941, 64 L. Ed. 2d 796 (1980).
Assuming
arguendo that this issue has been properly preserved, we
conclude that the trial court did not abuse its discretion in excluding the
testimony. Our review of the transcript reveals that the trial court did
not prohibit defense counsel from asking defendant's sister about what
defendant did for her as a father figure in her life and about her personal
observations of defendant's reactions to biracial incidents during his
childhood. The trial court properly sustained defense counsel's general
question of what kind of things [defendant] would talk with you about on
the ground of relevance. The trial court also properly prohibited defense
counsel from asking defendant's sister what effect being biracial had on
defendant since this question related to defendant's own personal thoughts
and feelings of which his sister lacked personal knowledge and, in effect,
would have elicited unreliable testimony.
[33] Defendant also argues that the trial court improperly
restricted defense counsel's inquiry of his mother regarding his childhood
psychological abuse and self-hatred as a result of being biracial. The
trial court limited defendant's mother's testimony as follows:
Q. Did [defendant] ever display -- during his
formative years or younger years, did he ever display
any feelings of self-hatred?
[PROSECUTOR]: Well, objection.
THE COURT: Well, sustained.
Q. What type of feelings, if any, as a young boy
growing up did [defendant] display?
[PROSECUTOR]: Objection as to what feelings.
THE COURT: Well, it's awfully broad.
Outside the presence of the jury, the prosecutor objected to the witness
being asked about defendant's feelings rather than her observations about
defendant's behavior; and the trial court sustained the objection. After a
rephrasing of the questions and a
voir dire of the witness, the trial court
allowed the testimony. Thereafter defendant's mother testified without
objection about defendant's emotional conflict as a child as a result of
being biracial. We conclude that the trial court did not abuse its
discretion in restricting the testimony to the witness' personal
observations of defendant's reactions and emotional state as a child.
These assignments of error are overruled.
[34] Defendant next contends that the trial court erred in
completely excluding the testimony of Dr. Claudia Coleman at the sentencing
hearing. Defendant called Dr. Coleman to testify about defendant's mental
condition at the time of the offense. Defendant argues that the trial
court acted under a misapprehension of the law, abused its discretion, and
deprived defendant of his due process rights by excluding the testimony for
defendant's failure to disclose Dr. Coleman's report to the prosecutor in
advance of her testimony as required by the trial court's 14 October 1997
order. We disagree.
During jury selection the prosecutor requested that defendant
furnish him with a written report of any expert witness in reciprocal
discovery pursuant to N.C.G.S. § 15A-905. Defendant stated that he
[understood] his obligation to produce those reports to the State once a
determination, once the report is prepared and once the determination has
been made that these witnesses will be called. Later, during jury
selection, the prosecutor again asked for the reports of defendant's mental
health witnesses. After much discussion over proposed deadlines fordisclosure, the trial court ruled that defendant must furnish such repo
rts
within five working days of the witness' testimony and told defense counsel
to let it know if the deadline became onerous.
On Wednesday, 19 November, the day after the State concluded its
sentencing proceeding evidence, the prosecutor advised the trial court that
he received a fax of Dr. Coleman's two-page psychological assessment after
5:00 p.m. the previous evening. Defense counsel informed the trial court
that he had received a fax of Dr. Coleman's report the previous morning,
Tuesday, 18 November, and that defendant had not decided to call
Dr. Coleman as a witness until Monday, 17 November, after the guilty
verdict. According to Dr. Coleman, the report was prepared in September
and counsel had contacted her on 17 November to inform her that she would
be needed as a witness and to request that the report be faxed to them.
After hearing the
voir dire testimony of Dr. Coleman, viewing the report,
and hearing from opposing counsel, the trial court denied the testimony of
Dr. Coleman based on its 14 October 1997 disclosure order, stating the
following:
I have reviewed her report. I've heard some of
her -- some of the things she has to say, but I've
looked at her report. I see nothing that has basically
not almost been touched on by other witnesses, and so I
see no, so to speak, heroic, unusual, or out of the
ordinary testimony that's not ordinary in these kind of
matters, but even if they were, I believe it would be
appropriate to do what I am now doing, and that is
denying based on my earlier order testimony by this
witness. Too late.
The pretrial discovery statute, in pertinent part, provides:
[T]he court must, upon motion of the State, order the
defendant to permit the State to inspect and copy or
photograph results or reports of physical or mental
examinations . . . made in connection with the case
. . . within the possession and control of the
defendant
which the defendant intends to introduce in
evidence at the trial or which were prepared by awitness whom the defendant intends to call at the
trial, when the results or reports relate to his
testimony.
N.C.G.S. § 15A-905(b) (1999) (emphasis added). Even after trial is
underway, the trial court, [t]o insure that truth is ascertained and
justice served, . . . must have the power to compel the disclosure of
relevant facts, not otherwise privileged, within the framework of the rules
of evidence.
State v. Hardy, 293 N.C. 105, 125, 235 S.E.2d 828, 840
(1977);
see also State v. Warren, 347 N.C. 309, 324-25, 492 S.E.2d 609, 618
(1997),
cert. denied, 523 U.S. 1109, 140 L. Ed. 2d 818 (1998). During a
capital sentencing proceeding, where the Rules of Evidence are not
enforced, the trial court has the discretion to admit evidence as to any
matter that the court deems relevant to sentence. N.C.G.S. §
15A-2000(a)(3). Moreover, the trial court must allow the State to present
any competent evidence supporting the imposition of the death penalty.
State v. Heatwole, 344 N.C. 1, 25, 473 S.E.2d 310, 322 (1996),
cert.
denied, 520 U.S. 1122, 137 L. Ed. 2d 339 (1997).
Based on the foregoing principles, we conclude that the trial
court properly exercised its inherent authority to order disclosure of
defendant's mental examination reports prepared by witnesses whom defendant
planned to call to testify five working days in advance of testimony.
Defendant violated the discovery order by failing to furnish Dr. Coleman's
report within the prescribed time. Defendant argues that the trial court's
ruling prohibiting Dr. Coleman's testimony violated his due process rights
by depriving him of any opportunity to fully present relevant evidence in
mitigation. This argument is without merit. Defendant had two other
mental health experts available, whose testimony would have been fully
admissible at the sentencing proceeding, through which to introducemitigation evidence. Further, defendant's assertion that the disclosure
of
Dr. Coleman's report to the prosecutor would have allowed the prosecutor to
call Dr. Coleman as a witness to testify that defendant possessed the
capacity to form the specific intent to kill is unfounded. Dr. Coleman
assessed defendant's mental state more than a year after the murder, and
her assessment concentrated only on mitigation. Defendant clearly made a
tactical decision not to disclose Dr. Coleman's report until after the
guilty verdict; therefore, he cannot show that he was prejudiced by the
trial court's ruling. Accordingly, we conclude that the trial court did
not abuse it discretion in excluding Dr. Coleman's testimony. This
assignment of error is overruled.
[35] By his next assignment of error, defendant contends that the
trial court erred in refusing to allow him to make a complete offer of
proof of the proposed testimony of Dr. Coleman. Specifically, defendant
argues that the trial court, while allowing Dr. Coleman's two-page report,
refused to allow a lengthy testimony about the records Dr. Coleman relied
upon in reaching her conclusions and opinions. We disagree.
The trial court admitted into evidence Dr. Coleman's report of
her complete psychological assessment of defendant. The trial court also
directly examined Dr. Coleman on voir dire for appellate purposes
regarding procedural matters. Thereafter, defense counsel asked
Dr. Coleman on
voir dire to identify her report and then introduced the
report into evidence. After the prosecutor cross-examined Dr. Coleman on
voir dire, the trial court gave defendant the opportunity to question
Dr. Coleman further; but defendant asked no other questions. After the
trial court disallowed Dr. Coleman's testimony as a result of defendant'sdiscovery order violation, the following exchange occurred be
tween the
trial court and defense counsel:
[DEFENSE COUNSEL]: Judge, we need to make a
proffer for the record as to what [Dr. Coleman's]
testimony would be.
THE COURT: Well, that's on Exhibit 28. What
further thing would you do. You're welcome --
[DEFENSE COUNSEL]: There's some --
THE COURT: You're welcome to do it. I just --
[DEFENSE COUNSEL]: There's some other records
that she used in reaching the conclusions and the
opinions that she reached.
The trial court sustained the prosecutor's objection to the admission of
the records. The trial court also told defense counsel that it would allow
a lengthy testimony by Dr. Coleman only if defense counsel could cite an
appellate rule or case requiring it.
In order to preserve for appellate review the exclusion of
evidence, a party must provide a specific offer of proof . . . unless the
significance of the evidence is obvious from the record.
State v.
Simpson, 314 N.C. 359, 370, 334 S.E.2d 53, 60 (1985). An offer of proof is
essentially the
substance of the evidence. N.C.G.S. § 8C-1, Rule
103(a)(2) (emphasis added). The State argues, and we agree, that this rule
does not contemplate an extensive offer of proof. Defendant has not cited,
nor does our research disclose, a case or any other rule requiring a more
extensive offer of proof, namely, Dr. Coleman's entire testimony, than that
allowed by the trial court. The record reveals that the trial court gave
defendant ample opportunity on
voir dire to question Dr. Coleman about the
substance of her report. Dr. Coleman described the records which defendant
sought to admit as follows: I was provided with birth records and prior medical
records, the medical and mental health records from
Central Prison, some -- an initial draft of life
chronology, and some other family history from
Ms. [Deborah] Keith [defendant's mitigation expert]. I
received the forensic evaluation report from Dorothea
Dix Hospital. I also had some letters that [defendant]
had written to his mother that had been collected.
We conclude that this excerpt constitutes a sufficient showing of the
substance of the records for a complete offer of proof as required by
N.C.G.S. § 8C-1, Rule 103(a)(2). Further, defendant was not prejudiced by
the exclusion of Dr. Coleman's testimony since the records would have been
admissible independently of her testimony as relevant evidence of
defendant's character. This assignment of error is overruled.
[36] Defendant next contends that the trial court erred by
failing to submit the mitigating circumstances that the murder was
committed while defendant was under the influence of mental or emotional
disturbance, N.C.G.S. § 15A-2000(f)(2). Defendant argues that sufficient
evidence existed, even absent the excluded testimony of Dr. Strahl and
Dr. Coleman, upon which a jury could have reasonably found this mitigating
circumstance to exist. We disagree.
A trial court must submit to the jury any statutory mitigating
circumstances which the evidence would support regardless of whether the
defendant objects to it or requests it.
State v. Zuniga, 348 N.C. 214,
216, 498 S.E.2d 611, 612 (1998). Defendant has the burden to produce
'substantial evidence' tending to show the existence of a mitigating
circumstance before that circumstance will be submitted to the jury.
State v. Rouse, 339 N.C. 59, 100, 451 S.E.2d 543, 566 (1994),
cert. denied,
516 U.S. 832, 133 L. Ed. 2d 60 (1995).
Here, the evidence does not support defendant's contention that
he suffered from a mental or emotional disturbance at the time of themurder. Defendant testified that he had become real paranoid
48; after being
on lockup for almost two years. Defendant was then transferred to a bunk
in the common area of block E where he became real nervous about his
personal property being stolen. Defendant was finally given a single cell
in block A and was assigned to work in the fields picking vegetables.
Defendant also testified that he always carried a knife for his personal
safety and to enforce order at his card games. The State argues, and we
agree, that the reasons for which defendant carried a knife suggested a
rational state of mind as opposed to a mind oppressed by extreme paranoia
and fearfulness. Defendant further testified that, earlier in the day of
the murder, the victim had tried to provoke defendant into an argument and
had flashed a knife at him. When defendant entered the shower area, the
victim made an obscene comment to defendant. Defendant told the victim,
I'm about burned out on your mouth; and the victim told defendant to
come on up here and get some then. I got something for you anyway.
Sheer anger or the inability to control one's temper is neither mental nor
emotional disturbance as contemplated by this mitigator.
State v.
Strickland, 346 N.C. 443, 464, 488 S.E.2d 194, 206 (1997),
cert. denied,
522 U.S. 1078, 139 L. Ed. 2d 757 (1998). Defendant further testified that
he attacked the victim with his knife since he had previously heard that
the victim himself had a knife; defendant testified I felt like if I
didn't try to do something, then I'd have been in the situation where I
would have been stabbed up, and I probably been dead. Contrary to
defendant's contention, this explanation reveals that defendant did not
possess a mental or emotional disturbance at the time of the murder;
rather, defendant was in a rational, calculating state of mind. Taking allthe evidence as a whole, we conclude that the trial court did no
t err in
declining to submit the (f)(2) mitigating circumstance to the jury.
[37] Defendant also contends that the trial court erred by not
submitting the statutory mitigating circumstance that defendant's capacity
to appreciate the criminality of his conduct or to conform his conduct to
the requirements of the law was impaired. N.C.G.S. § 15A-2000(f)(6).
Again, we disagree.
The (f)(6) mitigating circumstance has only been found to be
supported in cases where there was evidence, expert or lay, of some mental
disorder, disease, or defect, or voluntary intoxication by alcohol or
narcotic drugs, to the degree that it affected the defendant's ability to
understand and control his actions.
State v. Syriani, 333 N.C. 350, 395,
428 S.E.2d 118, 142-43,
cert. denied, 510 U.S. 948, 126 L. Ed. 2d 341
(1993). The record is devoid of any evidence that defendant's paranoia and
fear of violence from the prison environment so impaired him as to prevent
him from understanding the criminality of his conduct or that it affected
his ability to control his actions. To the contrary, defendant testified
that he had completed a psychology course and had obtained a 4.0 grade.
Defendant also owned and operated a canteen, card games, and a loan
business, all of which were illegal or against prison regulations. On the
afternoon of the murder, defendant had been playing a card game. Defendant
testified that he pulled his knife in the shower when he approached the
victim since he had previously been told that the victim had been given a
knife. This evidence does not show that defendant had a mental disorder
to the degree that it affected the defendant's ability to understand and
control his actions at the time he committed the murder.
Id. Therefore,we conclude that the trial court did not err in decli
ning to submit the
(f)(6) mitigating circumstance. These assignments of error are overruled.
In his next argument defendant contends that the trial court
erred by failing to intervene
ex mero motu when the prosecutor made grossly
improper closing arguments. We disagree. Defendant did not object to
these arguments at trial. When a defendant fails to object to an allegedly
improper closing argument, the standard of review is whether the argument
was so grossly improper that the trial court erred in failing to intervene
ex mero motu.
See Trull, 349 N.C. at 451, 509 S.E.2d at 193. In a capital
trial, the prosecutor is given wide latitude during jury arguments,
see
Warren, 348 N.C. at 124, 499 S.E.2d at 456, and has a duty to vigorously
present arguments for the sentence of death using every legitimate method,
see State v. Daniels, 337 N.C. 243, 277, 446 S.E.2d 298, 319 (1994),
cert.
denied, 513 U.S. 1135, 130 L. Ed. 2d 895 (1995). We now address each
argument in turn.
[38] Defendant first argues that the prosecutor's use of biblical
references diminished the jury's sense of responsibility for recommending
the death sentence. The prosecutor argued, in pertinent part, as follows:
Let me tell you, ladies and gentlemen, that this
case, just like the verdict in this case, the sentence
that is recommended in this case will be recommended by
the law of North Carolina, not biblical law, but the
law of North Carolina.
But the Holy Book is always a good place to go for
guidance in serious matters. And when I stand before
people who quite possibly might know the Bible better
than I do, it's a little intimidating.
But because of the order of arguments, ladies and
gentlemen, we cannot presume what the defendant's
lawyers may say to you. As a matter of fact, we can't
worry about it. And I will not stand up here and tell
you what the defendant's lawyers are going to say, and
I hope that they would afford me the same courtesy.
But it may be said to you, ladies and gentlemen,
that in the twentieth chapter of Exodus, it says thou
shalt not kill. You may hear that. And you may know
that it's in the Holy Book.
The prosecutor then proceeded to quote various verses of the
Bible to support his argument that the Bible does not prohibit the death
penalty. The prosecutor continued as follows:
So I hope nobody has the gall to stand here and
tell you that the law of North Carolina is against the
Bible. I want to assure you again that this case, and
luckily for this defendant, this case will not be
decided by biblical law. Even the order of arguments
. . . in this case is as his Honor has said this
morning, as is by law provided.
So are you now saying -- ladies and gentlemen, are
you saying to yourself, well, we are now determining
the defendant's fate? That is, the law has given us
the duty to determine the defendant's fate? The answer
to that is no. The defendant by his own conduct has
determined his fate.
Once you listen to the aggravating circumstances
in this case and the mitigating circumstances which
will be advanced to you, it will determine [sic] that
it's the defendant who has determined his own fate.
Regarding biblical references in closing arguments, we recently
stated:
We continue to hold that it is not so grossly improper
for a prosecutor to argue that the Bible does not
prohibit the death penalty as to require intervention
ex mero motu by the trial court,
but we discourage such
arguments. We caution all counsel that they should
base their jury arguments solely upon the secular law
and the facts. Jury arguments based on any of the
religions of the world inevitably pose a danger of
distracting the jury from its sole and exclusive duty
of applying secular law and unnecessarily risk reversal
of otherwise error-free trials. Although we may
believe that parts of our law are divinely inspired, it
is the secular law of North Carolina which is to be
applied in our courtrooms. Our trial courts must
vigilantly ensure that counsel for the State and for
defendant do not distract the jury from [its] sole and
exclusive duty to apply secular law.
State v. Williams, 350 N.C. 1, 27, 510 S.E.2d 626, 643 (citations omitted),
cert. denied, ___ U.S. ___, 145 L. Ed. 2d 162 (1999). This Court has
distinguished as improper remarks that state law is divinely inspired . . .
or that law officers are 'ordained' by God.
State v. Artis, 325 N.C. 278,
331, 384 S.E.2d 470, 500 (1989),
sentence vacated on other grounds, 494
U.S. 1023, 108 L. Ed. 2d 604 (1990).
The prosecutor properly emphasized at the beginning of his
closing argument that defendant's sentence would be recommended based upon
the law of North Carolina, not biblical law. Also, defendant's argument
that the prosecutor improperly implied that the Bible required death upon a
determination that a murder occurred is without merit. In
State v. Oliver,
309 N.C. 326, 359, 307 S.E.2d 304, 326 (1983), we held that the
prosecutor's argument that the death penalty of North Carolina was
consistent with the Bible was permissible. As in
Oliver, the prosecutor
here made a similar argument, stating, I hope nobody has the gall to stand
here and tell you that the law of North Carolina is against the Bible.
Defendant further argues that the prosecutor's argument diminished the
jury's responsibility in recommending the death sentence by stating that
defendant by his own conduct has determined his fate. To the contrary,
the statement, taken in context, informs the jury of its duty to consider
the evidence supporting the aggravating and mitigating circumstances as
well as defendant's conduct. Moreover, we have found such arguments
proper.
See,
e.g.,
State v. Anderson, 350 N.C. 153, 189, 513 S.E.2d 296,
318 (argument that defendant signed her own death warrant was not
improper),
cert. denied, ___ U.S. ___, 145 L. Ed. 2d 326 (1999).
We note that, as anticipated by the prosecutor, defense counsel
in his closing argument stated the following: What would Jesus do? He was a victim of capit
al
punishment at the hands of the State. He said as he
was hung on the cross, Father, forgive them, for they
know not what they do.
What would Jesus say? Would Jesus pull the switch
or administer the lethal injection? I don't think so
on the basis of what he taught. He taught blessed are
the merciful, for they shall obtain mercy.
When the State engages in capital punishment, it
assumes a god-like posture. And, again, my Bible tells
me you should not have no other gods [sic] before me.
Only God should have the power to give and take
life and that in due season and according to his own
plan.
Defendant also used ideas from a letter from Reverend Jesse Jackson and
quoted from a letter by Mrs. Coretta Scott King regarding the death of her
husband, Dr. Martin Luther King. Accordingly, we conclude that the trial
court did not err in failing to intervene
ex mero motu to prevent the
prosecutor's biblical references.
See Daniels, 337 N.C. at 279, 446 S.E.2d
at 320-21;
Oliver, 309 N.C. at 359-60, 307 S.E.2d at 326.
[39] Defendant also contends that the prosecutor misstated the
law on four separate occasions during his closing argument by informing the
jurors that it was their duty to determine whether any of the 29 so-called
mitigating circumstances had mitigating value. Defendant further argues
that the prosecutor made no distinction between the statutory mitigating
circumstance of defendant's age, the catchall circumstance, and the twenty-
seven nonstatutory mitigating circumstances. The thrust of defendant's
argument is that the jury may not have understood that the statutory
mitigating circumstance of age has mitigating value as a matter of law. We
disagree.
Referring to the twenty-nine mitigating circumstances at the
beginning of his argument, the prosecutor stated: It is for you to determine, number one, whether these
circumstances in fact mitigate, and number two, whether
they even exist. That's your job as by law provided.
Discussing the evidence supporting the mitigating circumstances,
the prosecutor stated:
The first one, though, I must say is a statutory
mitigating circumstance, that is, the age of
[defendant] at the time of the crime. But this doesn't
mean his chronological age. This means his age and his
life experience.
The prosecutor then argued extensively that the evidence did not support
this statutory mitigating circumstance. Thereafter, referring to the
nonstatutory mitigating circumstances, the prosecutor stated, Now we move
to the creative ones. Thus, the prosecutor informed the jury of the
difference between the statutory mitigating circumstance and the
nonstatutory mitigating circumstances.
The prosecutor's first comment was a misstatement of the law;
however, the subsequent comments accurately reflected the distinction
between statutory and nonstatutory mitigating circumstances. We are not
persuaded that the sentencing hearing was so infected with unfairness by
the prosecutor's comments as to violate defendant's due process rights.
See Daniels, 337 N.C. at 276, 446 S.E.2d at 318-19 (defining gross
impropriety requiring
ex mero motu intervention). Moreover, the trial
court properly instructed the jury regarding its consideration of both the
statutory and nonstatutory mitigating circumstances. Accordingly, these
assignments of error are overruled.
[40] In his next assignment of error, defendant contends that the
trial court erred by prohibiting defense counsel from quoting from secular
sources in his closing argument. Specifically, defendant argues that the
trial court acted under a double standard by allowing the prosecutor toquote the Bible while prohibiting defense counsel from quoting from
Reverend Jesse Jackson. We disagree.
Defense counsel stated as follows:
I want you to remember the same death penalty law
that was applied in Fayetteville, North Carolina, when
you had those two people, those two Marine army
enlistees that went out and killed those African
American people.
[PROSECUTOR]: Objection to arguing facts not in
evidence, Your Honor.
THE COURT: Don't do that, counsel. Move along.
Go ahead.
Defense counsel continued as follows:
Well, I know that once upon a time there were
certain laws on our books that prohibited us from doing
certain things, laws that were sanctioned by the same
State of North Carolina that's here asking you to
consider and give the death penalty.
And the laws that I'm talking about are those laws
that required that we sit at the back of the bus, some
of our citizens, and those laws that required that some
of us couldn't serve on jury duty. That's the same law
I'm talking about, the same law that said certain
schools we couldn't attend.
I'm talking about the same State of North Carolina
that's asking that -- that enforced those particular
laws are asking you to enforce the death penalty law.
Do you want to know the funny thing about those
other laws justified on the Bible? Somewhere in there
it was mandated that the races should be apart.
The prosecutor objected, and the trial court sustained the objection.
Outside the presence of the jury, the trial court admonished defense
counsel to not argue anything -- evidence, cases, ideology, anything like
that -- that is a factual or legal matter outside of this case. Defense
counsel then informed the trial court that he planned to read a letter
written by Reverend Jesse Jackson to the Faith Community in South
Carolina making a moral appeal for the life of Susan Smith, a woman whomurdered her two young children and initially blamed a black man. O
utside
the presence of the jury, defense counsel read the letter to the trial
court. The trial court ruled as follows:
If you wish to quote Reverend Jackson or if you
wish to quote Jesus Christ and it's general statements
-- I'm referring now to Reverend Jackson -- you may do
that. You may do that with the Savior.
However, you may not read that letter. You may
not refer to the events of Burmeister, of Susan Smith's
murder of her children, what the jury did or didn't do,
of people caught or not caught, or of people executed
or not executed, because it's not this case.
Now, do you want to take a five-minute break and
get your thoughts together and find out if there's one
or two quotes and run them by me of Reverend Jackson's?
If they're fine, I'll allow it. If not, you're going
to have to summarize it the best you can and move on to
another topic.
Thereafter, defense counsel told the trial court that he would use ideas
from the letter, not any quotes.
Defense counsel further argued the following:
Coretta Scott King, the wife of Dr. Martin Luther
King, knew that adding violence to violence would not
bring relief. She indicated that although my husband
was assassinated and my mother-in-law was murdered, I
refuse to accept the cynical judgment --
[PROSECUTOR]: The State would have to object.
He's arguing facts not in evidence.
THE COURT: Finish it. Overruled. Finish the
quote.
[DEFENSE COUNSEL:] I refuse to accept the cynical
judgment that killers deserve to be executed. To do so
would perpetrate the tragic cycle of violence that
feeds upon itself.
THE COURT: I sustain the part of comparing this
case with her husband's case. I overrule her views of
capital punishment that you're quoting.
. . . Proceed.
[DEFENSE COUNSEL:] To do so will perpetrate the
tragic cycle of violence that feeds upon itself. It
will be a disservice to all that the Bible stands for
and all that we live for to ask that you take a life
for the fact that a life had been taken.
Trial counsel is allowed wide latitude in argument to the jury
and may argue all of the evidence which has been presented as well as
reasonable inferences which arise therefrom.
State v. Guevara, 349 N.C.
243, 257, 506 S.E.2d 711, 721 (1998),
cert. denied, 526 U.S. 1133, 143 L.
Ed. 2d 1013 (1999). [C]ounsel may not read the facts contained in a
published opinion together with the result to imply that the jury in his
case should return a favorable verdict for his client.
State v. Gardner,
316 N.C. 605, 611, 342 S.E.2d 872, 876 (1986). Control of the jury
argument remains within the sound discretion of the trial court.
See State
v. Soyars, 332 N.C. 47, 60, 418 S.E.2d 480, 487 (1992).
Based on the foregoing principles, we conclude that the trial
court afforded defense counsel ample opportunity to argue using ideas and
quotes from secular sources and properly prohibited counsel from arguing
the facts of other cases. The facts of the other cases are not pertinent
to any evidence presented in this case and are, thus, improper for jury
consideration.
See Guevara, 349 N.C. at 257, 506 S.E.2d at 721.
Accordingly, we overrule this assignment of error.
[41] By another assignment of error, defendant contends that the
trial court erred by failing to clearly instruct the jury that statutory
mitigating circumstances have mitigating value. Defendant argues that in
its initial instructions about the statutory circumstances, the trial court
was completely silent about whether those circumstances were deemed by law
to have mitigating value. Defendant further argues that the instructions
given did not impress upon the jury that the statutory mitigatingcircumstance of age should be considered differently from the catchall or
the remaining twenty-seven nonstatutory mitigating circumstances. We
disagree.
Defendant did not object to the instructions at trial; therefore,
our review is limited to plain error. N.C. R. App. P. 10(b)(2). In order
to rise to the level of plain error, the error in the trial court's
instructions must be so fundamental that (i) absent the error, the jury
probably would have reached a different verdict; or (ii) the error would
constitute a miscarriage of justice if not corrected.
State v. Holden,
346 N.C. 404, 435, 488 S.E.2d 514, 531 (1997),
cert. denied, 522
U.S. 1126,
140 L. Ed. 2d 132 (1998).
If a juror determines that a statutory mitigating circumstance
exists, . . . the juror must give that circumstance mitigating value. The
General Assembly has determined as a matter of law that statutory
mitigating circumstances have mitigating value.
State v. Jaynes, 342 N.C.
249, 285, 464 S.E.2d 448, 470 (1995) (citations omitted),
cert. denied, 518
U.S. 1024, 135 L. Ed. 2d 1080 (1996). However, that does not mean that
the trial court is required to instruct that statutory mitigating
circumstances have value as a matter of law.
Davis, 349 N.C. at 55, 506
S.E.2d at 485.
Defendant cites
Jaynes, 342 N.C. at 286, 464 S.E.2d at 470, to
support his position. However, the trial court's instructions here are
different from the instructions in
Jaynes, where this Court found error in
the trial court's instructions that, in effect, told the jurors that they
could elect to give no weight to statutory mitigating circumstances they
found to exist.
Id. We stated that such instruction was contrary to the
intent of the statute and settled case precedent.
Id. Further, thisCourt has considered and rejected an argument similar to
defendant's in
Davis, 349 N.C. at 57, 506 S.E.2d at 485-86.
Here, the trial court instructed the jury with regard to the
statutory mitigating circumstance of age, in part, as follows:
I charge you on that that the mitigating effect of the
age of the defendant is for you to determine from all
of the facts and circumstances which you find from the
evidence.
. . . .
If one or more of you find[] by a preponderance of
the evidence that the circumstance exists, you would so
indicate by having your foreperson write yes in the
space provided after this mitigating circumstance on
the issues and recommendation form.
If none of you finds this circumstance to exist,
you would so indicate by having your foreperson write
no in that space.
With respect to all of the nonstatutory mitigating circumstances,
the trial court instructed the jury, in part, as follows:
You should also consider the following
circumstances arising from the evidence which you find
have mitigating value:
If one or more of you find by a preponderance of
the evidence that any of the following circumstances
exist and also are deemed by you to have mitigating
value, you would so indicate by having your foreman
write yes in the space provided.
If none of you finds this circumstance to exist or
if none of you deem it to have mitigating value, you
would so indicate by having your foreperson write no
in that space.
The trial court also gave a virtually identical instruction after setting
out each nonstatutory mitigating circumstance.
With respect to the statutory catchall mitigating circumstance,
the trial court instructed the jury as follows: Finally, you may consider any other circumst
ance
or circumstances arising from the evidence which you
deem to have mitigating value.
. . . .
So if one or more of you so find[] by a
preponderance of the evidence, you would so indicate by
having your foreperson write yes in the space
provided after this mitigating circumstance on the
issues and recommendation form.
If none of you find any such circumstance to
exist, you would so indicate by having your foreperson
write no in that space.
As we noted in
Davis, [t]hese instructions properly
distinguished between statutory and nonstatutory mitigating circumstances
and informed the jurors of their duty under the law. 349 N.C. at 56, 506
S.E.2d at 485. We conclude the same in this case. Accordingly, the trial
court did not commit error, much less plain error, in the instructions; and
we overrule this assignment.
PRESERVATION ISSUES
Defendant raises nine additional issues that have previously been
decided contrary to his position by this Court: (i) whether the trial
court erred by using the term may in sentencing Issues Three and Four;
(ii) whether the death penalty statute is unconstitutionally vague and
overbroad and imposed in a discretionary and discriminatory manner;
(iii) whether the trial court erred in removing prospective jurors for
cause who could fairly and impartially decide the case without allowing
defendant an opportunity to ask further questions; (iv) whether the trial
court erred in allowing death-qualification of the jury by excusing for
cause certain jurors who expressed an unwillingness to impose the death
penalty; (v) whether the trial court erred in using the word satisfy in
the jury instructions for defining defendant's burden of proof applicableto mitigating circumstances; (vi) whether the trial court err
ed when it
instructed the jury that it was to decide whether any of the nonstatutory
mitigating circumstances had mitigating value; (vii) whether the trial
court erred in instructing the jury on an unconstitutionally narrow
definition of mitigation; (viii) whether the trial court erred when
instructing the jury on Issues Three and Four that it may consider
mitigating circumstances that it found to exist in Issue Two; and
(ix) whether the trial court erred when it instructed the jury that it must
be unanimous to answer no at Issues One, Three, and Four.
Defendant raises these issues for purposes of urging this Court
to reexamine its prior holdings and also for the purpose of preserving the
issues for any possible further judicial review. We have considered
defendant's arguments on these issues and find no compelling reason to
depart from our prior holdings. These assignments of error are overruled.
PROPORTIONALITY
Finally, this Court has the exclusive statutory duty in capital
cases to review the record and determine (i) whether the record supports
the aggravating circumstances found by the jury; (ii) whether the death
sentence was entered under the influence of passion, prejudice, or any
other arbitrary factor; and (iii) whether the death sentence is excessive
or disproportionate to the penalty imposed in similar cases, considering
both the crime and the defendant. N.C.G.S. § 15A-2000(d)(2). Having
thoroughly reviewed the record, the transcripts, and the parties' briefs in
the present case, we conclude that the record fully supports the
aggravating circumstances found by the jury. Further, we find no
suggestion that the sentence of death was imposed under the influence ofpassion, prejudice, or any other arbitrary consideration. Accordin
gly, we
turn to our final statutory duty of proportionality review.
The jury found defendant guilty of first-degree murder on the
basis of premeditation and deliberation. At defendant's capital sentencing
proceeding, the jury found the eight aggravating circumstances submitted:
that the murder was committed by a person lawfully incarcerated, N.C.G.S. §
15A-2000(e)(1); that defendant had been previously convicted of the first-
degree murder of Emmanuel Oguayo, N.C.G.S. § 15A-2000(e)(2); that defendant
had been previously convicted of the first-degree murder of Donald Ray
Bryant, N.C.G.S. § 15A-2000(e)(2); that defendant had been previously
convicted of robbery with a dangerous weapon of Susan Indula, N.C.G.S. §
15A-2000(e)(3); that defendant had been previously convicted of robbery
with a dangerous weapon of Lindanette Walker, N.C.G.S. § 15A-2000(e)(3);
that defendant had been previously convicted of robbery with a dangerous
weapon of Emmanuel Oguayo, N.C.G.S. § 15A-2000(e)(3); that defendant had
been previously convicted of robbery with a dangerous weapon of Donald Ray
Bryant, N.C.G.S. § 15A-2000(e)(3); and that defendant had been previously
convicted of second-degree kidnapping of Donald Ray Bryant, N.C.G.S. §
15A-2000(e)(3).
Two statutory mitigating circumstances were submitted but not
found: (i) defendant's age at the time of the crime, N.C.G.S. §
15A-2000(f)(7); and (ii) the catchall, N.C.G.S. § 15A-2000(f)(9). Of the
twenty-seven nonstatutory mitigating circumstances submitted, the jury
found that four had mitigating value.
We begin our analysis by comparing this case to those cases in
which this Court has determined the sentence of death to be
disproportionate. We have determined the death penalty to bedisproportionate on seven occasions.
State v. Benson, 323 N.C. 318, 372
S.E.2d 517 (1988);
State v. Stokes, 319 N.C. 1, 352 S.E.2d 653 (1987);
State v. Rogers, 316 N.C. 203, 341 S.E.2d 713 (1986),
overruled on other
grounds by State v. Gaines, 345 N.C. 647, 483 S.E.2d 396,
and by State v.
Vandiver, 321 N.C. 570, 364 S.E.2d 373;
State v. Young, 312 N.C. 669, 325
S.E.2d 181 (1985);
State v. Hill, 311 N.C. 465, 319 S.E.2d 163 (1984);
State v. Bondurant, 309 N.C. 674, 309 S.E.2d 170 (1983);
State v. Jackson,
309 N.C. 26, 305 S.E.2d 703 (1983). We conclude that this case is not
substantially similar to any case in which this Court has found the death
penalty disproportionate.
[42] Several characteristics in this case support the
determination that the imposition of the death penalty was not
disproportionate. Defendant was convicted of premeditated and deliberated
murder. We have noted that the finding of premeditation and deliberation
indicates a more cold-blooded and calculated crime.
Artis, 325 N.C. at
341, 384 S.E.2d at 506. Further, [i]n none of the cases in which the
death penalty was found to be disproportionate has the jury found the
(e)(3) aggravating circumstance.
State v. Peterson, 350 N.C. 518, 538,
516 S.E.2d 131, 143 (1999),
cert. denied, ___ U.S. ___, 145 L. Ed. 2d 1087
(2000). The jury's finding of the prior conviction of a violent felony
aggravating circumstance is significant in finding a death sentence
proportionate.
State v. Lyons, 343 N.C. 1, 27, 468 S.E.2d 204, 217,
cert.
denied, 519 U.S. 894, 136 L. Ed. 2d 167 (1996). In this case, the jury
found aggravators pertaining to two previous capital felonies and five
previous violent felonies. Further, the facts show that defendant
repeatedly stabbed a totally defenseless man in the prison shower for money
owed him. In carrying out this statutory duty, we also consider cases in
which this Court has found the death penalty proportionate; however, we
will not undertake to discuss or cite all of those cases each time we carry
out that duty.
State v. McCollum, 334 N.C. 208, 244, 433 S.E.2d 144, 164
(1993),
cert. denied, 512 U.S. 1254, 129 L. Ed. 2d 895 (1994).
Specifically noting defendant's violent past history, we conclude that the
present case is more similar to certain cases in which we have found the
sentence of death proportionate than to those in which we have found the
sentence disproportionate or to those in which juries have consistently
returned recommendations of life imprisonment.
We conclude, therefore, that defendant's death sentence was not
excessive or disproportionate. We hold that defendant received a fair
trial and capital sentencing proceeding, free from prejudicial error.
Accordingly, the judgment of death is left undisturbed.
NO ERROR.
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