STATE OF NORTH CAROLINA v. PHILLIP ANTWAN DAVIS
No. 109A98
(Filed 21 December 2000)
1. Constitutional Law--right to be present at trial--capital sentencing--
communications from jury
The trial court in a capital sentencing proceeding did not violate defendant's
constitutional rights to be present at his trial in its handling of a note from the jury inquiring
about the result of an inability to agree and a note from one juror asking to be removed.
Defendant was present when the proceeding took place, the court promptly and adequately
summarized the jury's question and the note from the juror, and the court heard from counsel
and responded in open court to each of the communications.
2. Constitutional Law--effective assistance of counsel--capital sentencing--notes from
jury--disclosure of content
A first-degree murder defendant was not deprived of his constitutional rights to effective
assistance of counsel at his capital sentencing hearing by the court's refusal to disclose the exact
content of a note from the jury inquiring into the result of an inability to reach a decision and a
note from a juror asking to be replaced. The fair and accurate disclosure of the content of the
note was sufficient to render counsel the full opportunity to represent defendant and defense
counsel had the opportunity to object to the proposed instruction on replacing a juror.
3. Criminal Law--capital sentencing--notes from jury--ex parte communications
The trial court's handling of notes from the jury in a capital sentencing proceeding did
not violate N.C.G.S. § 15A-1234(a)(1) or a canon of the Code of Judicial conduct regarding ex
parte communications.
4. Evidence--capital sentencing--defendant's character--admissible
The trial court did not err in a capital sentencing proceeding by admitting testimony
regarding defendant's temperament, a fight with his girlfriend at work, an alleged statement by
defendant that he smoked marijuana, and a high school homework assignment that showed
defendant's knowledge of drugs.
5. Evidence--capital sentencing--statement by a child to an officer
There was no plain error in a murder capital sentencing proceeding in the admission of
testimony that a foster child in the victim's home had told an officer that the person who shot the
victim had pointed a gun at her.
6. Evidence--capital sentencing--victim's good character
The trial court did not err in a capital sentencing proceeding by admitting evidence of the
good character of one of the victims. Evidence that defendant had murdered a blood relative
who had opened her home to him, offered him a stable environment, and been especially caring,
patient, and loving supported the aggravating circumstance that the killing was especially
heinous, atrocious, or cruel and did not go too far within the meaning of State v. Reeves, 337
N.C. 700.
7. Evidence--cross-examination--character evidence
The trial court did not abuse its discretion in a capital sentencing proceeding by allowing
prosecutors to cross-examine defense witnesses regarding defendant's bad character in rebuttal
of defendant's evidence of good character.
8. Evidence--capital sentencing--cross-examination--hearsay
The trial court did not abuse its discretion and there was no plain error in a capital
sentencing proceeding in permitting the State on cross-examination to elicit testimony that the
witness had been told by a teacher that the teacher had heard that defendant had been in trouble
and had been aggressive towards another teacher. The evidence served to rebut evidence that
defendant was not a behavior problem at school and there was no error so fundamental that
justice could not have been done.
9. Evidence--capital sentencing--food eaten by defendant in jail
There was no plain error in a capital sentencing proceeding in the admission of testimony
on cross-examination regarding the food defendant ate in jail, including numerous candy bars,
soft drinks, and snacks.
10. Evidence--capital sentencing--defendant dangerous in future
There was no plain error in a capital sentencing proceeding in the admission of testimony
that defendant could be dangerous in the future under certain circumstances and that prison
inmates make and use knives while many prison employees are unarmed.
11. Evidence--capital sentencing--victim's good character
Evidence in a capital sentencing proceeding of the good character traits of the victim did
not go too far for purposes of State v. Reeves, 337 N.C. 700, nor did it violate defendant's
constitutional right to a fundamentally fair trial.
12. Evidence--capital sentencing--victim impact evidence
Limited victim impact evidence introduced in a capital sentencing proceeding did not go
too far and was not so unduly prejudicial that it rendered the trial fundamentally unfair.
13. Evidence--capital sentencing--prosecutor's questions--no plain error--previously
admitted
There was no error in a capital sentencing proceeding where defendant contended that the
trial court erred by allowing the prosecutors to ask badgering and impertinent questions, but
there was no plain error regarding many of the questions (the failure to object or to move to
strike following a sustained objection limits review to plain error) and there was no error as to
the remaining questions because defendant had previously injected the evidence into the
proceeding or allowed it to be admitted earlier without objection.
14. Evidence--capital sentencing--defendant's letters to his mother
There was no prejudicial error in a capital sentencing proceeding where the court
excluded letters and cards written from defendant to his mother after his incarceration.
Defendant was allowed to present evidence of remorse and a loving relationship with his mother
and the letters would have offered substantially the same evidence. In any event, the letters wereunreliable in that they were written by a defendant facing a capital sentencing proceeding to a
likely witness in the proceeding.
15. Evidence--capital sentencing--positive impact by defendant
The trial court did not err in a capital sentencing proceeding by excluding testimony that
defendant would make a positive impact on society in prison where the testimony was purely
speculative and where the court admitted evidence that defendant was a leader to a young friend
and had a positive impact on people on and off the football field.
16. Criminal Law--prosecutor's argument--biblical
The prosecutor's biblical arguments in a capital sentencing proceeding were not so
improper as to require intervention ex mero motu where the prosecutor counseled jurors that
they should base their sentencing decision on the secular argument.
17. Criminal Law--prosecutor's argument--capital sentencing--jury as conscience of
community
There was no prejudicial error in a capital sentencing proceeding in the prosecutor's
argument that the jurors must not lend an ear to the community but may act as the voice and
conscience of the community. Although defendant contended that the prosecution instructed the
jury to disregard defense testimony, and the prosecutor's statement was not clear, any confusion
was cured by the court's instruction on the jury's duty to consider mitigating circumstances.
18. Criminal Law--prosecutor's argument--capital sentencing--traveling outside the
record
A prosecutor's argument in a capital sentencing proceeding was not so improper as to
require intervention ex mero motu where defendant contended that the prosecutor traveled
outside the evidentiary record.
19. Constitutional Law--prosecutor's argument--capital sentencing--defendant's
mannerisms
A prosecutor's comments about defendant's mannerisms in the courtroom during a
capital sentencing proceeding did not constitute references to the defendant's constitutional right
to remain silent.
20. Sentencing--capital--aggravating circumstance--murder during robbery--
instruction--timing
There was no prejudicial error in a capital sentencing hearing in the trial court's
instruction on the N.C.G.S. § 15A-2000(e)(5) aggravating circumstance (that the capital felony
was committed while defendant was engaged in the commission of robbery) where the trial
court failed to charge the jury with sufficient clarity that the State had the burden to show that
the criminal conduct took place during the same transaction as the murder. However, all of the
evidence tended to show that the murder and armed robbery were part of a continuous series of
events, the trial court properly instructed the jury that it could find this aggravating circumstance
if it determined that the armed robbery occurred during a continuous series of events
surrounding the victim's death, and the issues and recommendation form asked whether the
murder was committed by defendant while defendant was engaged in the commission of armed
robbery; thus, the instructions and the issues and recommendation form, considered in light of
the evidence, communicated to the jury that the murder had to occur while defendant wasengaged in the commission of armed robbery. There is no reasonable likelihood that the jury
applied the challenged instruction in a manner that violated the Constitution.
21. Sentencing--capital--aggravating circumstance--pecuniary gain--not required to be
primary motive
The trial court did not err in a capital sentencing proceeding in its instruction on the
pecuniary gain aggravating circumstance, N.C.G.S. § 15A-2000(e)(6), by charging the jury that
it did not have to find that the primary motive was financial gain.
22. Sentencing--capital--mitigating circumstance--no significant history of prior
criminal activity--instructions
There was no plain error in a capital sentencing proceeding in the court's instruction on
the mitigating circumstance of no significant history of prior criminal activity, N.C.G.S. § 15A-
2000(f)(1). Even if the instructions assumed that defendant engaged in prior criminal activity,
overwhelming evidence was presented that defendant had engaged in the listed criminal activity
and the trial court did not assume the jury's duty to determine whether defendant's history was
significant.
23. Sentencing--capital--mitigating circumstances--peremptory instructions--evidence
controverted
The trial court did not err in a capital sentencing proceeding by refusing to give
peremptory instructions on four mitigating circumstances where the evidence of the
circumstances was controverted.
24. Sentencing--capital--life imprisonment--instruction
The trial court in a capital sentencing proceeding did not err in its instructions by not
using the phrase life imprisonment without parole rather than life imprisonment every time
it referred to the alternative to death. The judge instructed the jury that a sentence of life
imprisonment means a sentence of life without parole; nothing in N.C.G.S. § 15A-2002 requires
the judge to state life imprisonment without parole every time he alludes to or mentions the
alternative sentence.
25. Criminal Law--reference to our district attorney--not an expression of opinion by
judge
The trial judge in a capital sentencing proceeding did not violate N.C.G.S. § 15A-1222,
which prohibits the expression of an opinion by the judge on any question of fact to be decided
by the jury, in referring to the district attorney's office and the district attorney with our and
your during jury selection. Whether the prosecutor is our or your district attorney is not a
question of fact to be decided by the jury.
26. Sentencing--capital--aggravating circumstances--pecuniary gain--murder during
armed robbery--not double counted
The trial judge did not err in a capital sentencing proceeding by submitting both the
pecuniary gain aggravating circumstance and the aggravating circumstance that the murder was
committed while defendant was engaged in an armed robbery where both circumstances were
supported by sufficient, independent evidence and the trial court properly instructed the jury that
it could not use the same evidence as the basis for both circumstances.
27. Appeal and Error--prosecutor's statements--failure to object--no plain error
analysis
The defendant in a capital sentencing proceeding waived appellate review of the
prosecutor's statements during jury selection regarding the State's burden of proof by failing to
object. Plain error analysis has been applied only to instructions to the jury and to evidentiary
matters.
28. Constitutional Law--capital sentencing--right to testify--examination of defendant
by court--right to cross-examination
The trial court in a capital sentencing proceeding did not impermissibly chill defendant's
right to testify with its reference to cross-examination in its inquiry into whether defendant had
discussed testifying with his lawyers.
29. Homicide--first-degree murder--short-form indictment
The short-form indictments used to charge defendant with first-degree murder were
constitutional.
30. Discovery--capital sentencing--written statement and copies of notes by defense
expert
The trial court did not err in a capital sentencing proceeding by ordering defendant's
mental health expert to prepare a written report of his findings and to produce handwritten notes
for the State's perusal pursuant to N.C.G.S. § 15A-905(b) where defendant was given access to
the State's files.
31. Discovery--attorney-client privilege--self-incrimination--notes and report from
defense expert
A trial court order in a capital sentencing proceeding requiring defendant's mental health
expert to prepare a written report of his findings and to produce for the State handwritten notes
did not violate defendant's attorney-client privilege and privilege against self-incrimination.
Nothing indicates that the expert examined or communicated with defendant in the course of
seeking or giving legal advice and, even if the expert was an agent of defendant's attorneys, he
clearly lost that privilege once he was placed on the witness stand. Moreover, the court is
always at liberty to compel disclosure of privileged communications if necessary to a proper
administration of justice.
32. Sentencing--capital--death sentence--not imposed arbitrarily
The record in a capital sentencing proceeding fully supports the aggravating
circumstances submitted to and found by the jury and there was no indication that the sentence
of death was imposed under the influence of passion, prejudice, or any other arbitrary
consideration.
33. Sentencing--capital--death sentence--not disproportionate
A sentence of death was not disproportionate where defendant stole from the victim after
being taken into the her home; without adequate provocation, he furtively waited in her home
for her to return so that he could shoot her; and, while she was attempting to call for help, he
hacked her to death with a meat cleaver in the presence of her two foster children. The case is
not substantially similar to any of the cases where the death penalty was found disproportionate,there is no question of the specific intent to kill, and the victim was killed in her own home.
Appeal as of right pursuant to N.C.G.S. § 7A-27(a) from a
judgment imposing a sentence of death entered by Payne Ronald K.,
J., on 21 August 1997 in Superior Court, Buncombe County,
following a plea of guilty of first-degree murder. On
24 September 1999, the Supreme Court allowed defendant's motion
to bypass the Court of Appeals as to his appeal of an additional
judgment imposing a sentence of life imprisonment without parole
following a second plea of guilty of first-degree murder. Heard
in the Supreme Court 16 May 2000.
Michael F. Easley, Attorney General, by G. Patrick Murphy,
Special Deputy Attorney General, for the State.
Malcolm Ray Hunter, Jr., Appellate Defender, by Daniel R.
Pollitt and Danielle M. Carman, Assistant Appellate
Defenders, for defendant-appellant.
FRYE, Chief Justice.
On 4 August 1997, defendant pled guilty to the first-degree
murders of his aunt, Joyce Miller, and cousin, Caroline Miller.
Following the entry and acceptance of the guilty plea, a capital
sentencing proceeding was conducted pursuant to N.C.G.S. §
15A-2000. The jury recommended a sentence of death for the
murder of Joyce Miller and life imprisonment without parole for
the murder of Caroline Miller. In the Joyce Miller case, the
jury found as aggravating circumstances that the murder was:
(1) committed while engaged in the commission of armed robbery;
(2) committed for pecuniary gain; (3) especially heinous,
atrocious, or cruel; and (4) part of a course of conduct,
including the commission of other crimes of violence againstother persons. The jury also found fifteen of the fifty
statutory and nonstatutory mitigating circumstances submitted to
it. In the Caroline Miller case, the jury found as aggravating
circumstances that the murder was: (1) committed while engaged
in the commission of armed robbery; and (2) part of a course of
conduct, including the commission of other crimes of violence
against other persons. The jury also found eighteen of the fifty
statutory and nonstatutory mitigating circumstances submitted to
it.
On 21 August 1997, the trial judge, in accordance with the
jury's recommendation, imposed a sentence of death for the
first-degree murder conviction of Joyce Miller and a sentence of
life imprisonment without parole for the first-degree murder
conviction of Caroline Miller.
Defendant makes thirty-two arguments on appeal to this
Court. For the reasons discussed herein, we reject each of these
arguments and conclude that defendant's capital sentencing
proceeding was free of prejudicial error and that the death
sentence is not disproportionate. Accordingly, we uphold
defendant's convictions and sentence of death.
The State's evidence in the capital sentencing proceeding
tended to show the following facts and circumstances. Defendant,
who was eighteen years old, was living in the home of his aunt,
Joyce Miller (Miller), in Asheville, North Carolina. Also
residing in Miller's home were Miller's seventeen-year-old
daughter, Caroline Miller (Caroline), and two young foster
children. Approximately one week before the murders, Miller told her
brother, Billy Davis that she was missing $800.00. Caroline
believed that defendant had taken the money because he had
recently purchased clothing and a gold chain. Miller obtained a
receipt for the clothes and returned them. Caroline was hiding
the gold chain from defendant so that she and Miller could take
it to a pawn shop. Several days before the murders, defendant
stated to Caroline, Well, if I don't get my chain, it's only
going to hurt you in the long run.
On 24 May 1996, defendant shot and killed his cousin
Caroline. On the same day, he killed Miller by shooting her and
cutting her with a meat cleaver. Davis visited Miller's home in
the evening and found Miller lying in a pool of blood. Niconda
Briscoe, defendant's girlfriend, arrived at approximately the
same time as Davis and called for emergency assistance.
A paramedic with the Buncombe County Emergency Medical
Service arrived at the Miller residence at 7:32 p.m. He noted
blood smeared on the outside of the door. He discovered severed
fingers on the floor in the foyer and Miller's body in a large
pool of blood. The two foster children were in the living room
looking into the foyer. As the paramedic entered the living room
to escort the children out, he observed Caroline in her bedroom
on the bed. After checking her pulse, he determined that she,
too, was dead.
Meanwhile, between 7:30 and 8:00 p.m., defendant attempted
to cash a check in the amount of $360.00, bearing the name of
Miller's former husband, at the Bi-Lo grocery store onHendersonville Road. The manager refused to cash it, as she did
not believe it was legitimate. According to the manager,
defendant appeared to be really calm.
At approximately 8:00 p.m., defendant went to Dillard's in
the Asheville Mall and tried on clothing in the men's department.
The sales receipt showed that defendant purchased six clothing
items at 8:08 p.m. for $231.61 using a credit card in Miller's
name. When questioned by the cashier, defendant told her that
the credit card belonged to his aunt and that she knew he was
using it. Two of the items defendant purchased were identical to
the ones Miller had returned several days prior to the murders.
At 8:21 p.m., a driver for the Blue Bird Cab Company was
dispatched to the Amoco station on Hendersonville Highway. A
person matching defendant's description approached the driver and
said, It's me. I'll be with you in a couple minutes. He
returned with two bags and asked the driver to take him to Pisgah
View Apartments.
Defendant entered unit 29-D of Pisgah View Apartments;
showed an acquaintance, Felicia Swinton, the clothes he had
purchased; changed clothes; and left to attend a party in West
Asheville. He spent approximately twenty minutes in Swinton's
apartment and acted normal.
Kendall Brown and Ryan Mills, friends of defendant's, heard
that Miller and Caroline had been murdered and went to the party
to pick up defendant. During the ride back to the Miller
residence, defendant asked Brown if it was . . . true about the
murders and said he wanted to know what all had happened. When they arrived at the residence, defendant sat on the curb;
started crying; and said, Please don't let them take me.
Later that evening, Sergeant David Shroat took a statement
from defendant at the Asheville Police Station. Defendant first
told Sergeant Shroat that he did not know what had happened; then
blamed others; and finally stated, My life is over; I did it.
Defendant described the following series of events to the
detectives. Earlier in the week, defendant found a gun in the
closet and test-fired it in the back yard. At approximately 5:30
p.m. on 24 May 1996, he entered Caroline's bedroom with the gun
in order to get his clothes. Caroline was lying on her bed. He
went to the right side of the bed, pointed the gun at her, and
fired twice. He then walked around to the other side of the bed
and fired a third shot at her. After killing Caroline, defendant
ate a sandwich and watched television. Miller arrived at the
residence at approximately 7:00 p.m. with the two foster
children. When defendant heard her entering, he hid behind the
door. After she entered, defendant shot her in the back. He
shot Miller only one time because he had [n]o more bullets.
Miller attempted to reach the telephone, but defendant pulled the
cord from the receptacle. When she tried to leave the house, he
took a meat cleaver from the kitchen and struck her with it ten
or twelve times with his eyes closed as he stood on top of her in
the foyer.
Immediately thereafter, defendant placed his clothes in a
white plastic garbage bag along with the meat cleaver. He took
two VCRs, one from Caroline's bedroom and one from Miller's, andput them in another plastic bag along with Miller's brown purse.
He also took Miller's black purse. At approximately 7:15 p.m.,
he placed the two plastic bags on the front passenger floorboard
of Miller's vehicle. Defendant then drove to the Asheville Mall,
where he used Miller's credit cards to purchase clothing.
From the Asheville Mall, defendant drove to Oak Knoll
Apartments and placed the two plastic bags in the Dumpster. He
then drove to the Amoco station, where he threw the black purse
and the gun into a wooded area behind the station. He told the
taxi cab driver whom he had called that he would be there in a
minute, returned to Miller's vehicle, and retrieved the shopping
bags containing the clothing he had purchased at Dillard's.
Defendant left Miller's vehicle at the Amoco station and
traveled in the taxi to Pisgah View Apartments, where he changed
clothes. He then put the stolen credit cards and keys to
Miller's vehicle in a garbage can near Swinton's apartment.
Defendant drove around downtown Asheville with his friend Kelby
Moore and smoked marijuana.
At 10:30 p.m., defendant arrived at the party in west
Asheville. Defendant danced for a while at the party before
Brown and Mills took him to Miller's residence. Upon completing
his statement, defendant went to sleep under the table in the
interview room.
The autopsy of Miller revealed that she had a single gunshot
wound to the left side of the head, amputation of two fingers,
and fifteen individual and clustered injuries consistent with
being inflicted by a meat cleaver. The autopsy of Carolinerevealed three separate gunshot wounds, one to the head with
stippling around the entrance wound indicating a close range
shot; one to the chest; and one to the arm.
Investigators found that Caroline's bedroom was in disarray
and that a VCR and television were missing. A large amount of
cash and some jewelry were discovered in a book bag in Caroline's
room. In Miller's bedroom, drawers had been pulled out and items
had been dumped on the bed. Investigators found an empty jewelry
box, a checkbook, and a box of checks on the floor. A second VCR
was missing from the entertainment center in Miller's bedroom.
Miller's truck, a red Bravada, was also missing.
Police officers recovered two VCRs, jewelry, clothes, a
bloody meat cleaver, and a brown purse containing Miller's bank
cards from a Dumpster at the Oak Knoll Apartments. Additionally,
they found Miller's credit cards in a trash bag near Pisgah View
Apartments. Miller's Bravada truck, two gloves, a black purse,
and a Colt .32 revolver with five spent casings in the cylinder
were discovered near the Amoco station.
While defendant did not testify at the capital sentencing
proceeding, several witnesses testified on his behalf.
Defendant's evidence tended to show the following. Defendant's
mother was a drug addict, habitual felon, and mental patient who
could not care for him, and his father took no responsibility for
him. Since his childhood, defendant alternated between the homes
of friends and relatives because his mother was periodically
incarcerated or incapacitated. Defendant was a good athlete, but
his parents never attended his athletic or school events. Whenhe was thirteen years old, defendant sustained a closed-head
injury when he intervened in an argument between his mother and a
drug addict, who hit defendant with a baseball bat.
In the summer of 1995, defendant moved in with Miller and
Caroline and obtained a job at a Food Lion grocery store. He
made the school football team and stopped working in September
when football season began. Teammates described defendant as a
leader and a hard worker. In December of 1995, defendant began
working as a bag boy at a Bi-Lo grocery store where he was
described as a good worker. Defendant's high school principal
described him as a normal and well-behaved student. Defendant
was on track to graduate from high school, was accepted into
North Carolina A&T State University, and had passed an Air Force
entrance test.
There was constant rivalry between defendant and Caroline to
the extent that Caroline packed up defendant's belongings on more
than one occasion. There was also tension between defendant and
his aunt. On one occasion, Miller pointed a pistol at defendant
and said that when she gave him an order, she expected it to be
done. Witnesses described defendant as remorseful and noted
that he cried whenever he discussed the murders.
A clinical psychologist, Dr. Jerry Noble, testified as an
expert witness. Dr. Noble performed a postarrest evaluation and
determined that defendant's basic psychological, emotional, and
nurturing needs had been neglected. Defendant had an IQ of only
78, but he never repeated a grade or had any special-education
classes. According to Dr. Noble, defendant had four significantmental disorders on 24 May 1996: (1) borderline intellectual
functioning, (2) borderline personality disorder, (3) cannabis
abuse, and (4) acute stress disorder. The borderline personality
disorder caused defendant to be emotionally unstable and
impulsive and to have difficulties in interpersonal
relationships. Dr. Noble described defendant as anxious,
depressed, immature, and prone to unravel during periods of
stress. Defendant's conduct in eating a sandwich and watching
television after he killed Caroline was consistent with acute
stress disorder, disassociation, and derealization. According to
Dr. Noble, defendant could not fully remember, did not
understand, and was genuinely bewildered about Miller's death.
Following the homicides, defendant exhibited suicidal thoughts,
increased interest in religion, and signs of remorse. Dr. Noble
opined that defendant was under the influence of a mental or
emotional disturbance at the time of the murders and that his
capacity to appreciate the criminality of his conduct or to
conform his conduct to the requirements of the law was impaired.
Defendant appeals to this Court as of right from the
judgment imposing a sentence of death for the first-degree murder
of Miller. Additionally, this Court allowed defendant's motion
to bypass the Court of Appeals as to his appeal of the judgment
imposing a life sentence without parole for the first-degree
murder of Caroline.
I. CAPITAL SENTENCING PROCEEDING
[1]In his first argument, defendant contends that the trial
court violated state and federal constitutional law duringsentencing deliberations by responding improperly to: (1) the
jury's question about the result of an inability to agree, and
(2) a juror's letter indicating an inability to continue as a
member of the jury. We cannot agree.
During deliberations, the jury sent a note to the court as
follows: Could we be furnished the last two paragraphs of Judge
Payne's charge to the jury! re: Our final decision[?] On Issue
(4) four[,] if we are 11 to one for death what happens[?] Upon
receiving the note, the court informed counsel that it had
received a note from the jury and that the jury had a question
asking for 'what happens if there's a division on the fourth
issue.' Counsel for defendant asked the court to instruct the
jury about what happens if the jury is unable to agree. The
court denied the request, and defendant objected. Without ruling
on the objection, the trial court called the jurors back into the
courtroom and instructed them on Issue Four a second time.
(See footnote 1)
Furthermore, the court instructed the jury as follows:
Now, members of the jury, I would also instruct you
that as to the other question that you have submitted
to me, I would remind you that as jurors you've taken
an oath, that you all have a duty to consult with one
another and deliberate with a view to reaching an
agreement if it can be done without violence to
individual judgment. Each of you must decide the case
for yourself, but only after an impartial consideration
of the evidence with your fellow jurors. In the course
of deliberations, each of you should not hesitate to
reexamine your own views and change your opinion if it
is erroneous, but none of you should surrender yourhonest conviction as to the weight or the effect of the
evidence solely because of the opinion of your fellow
jurors for the mere purpose of returning a verdict.
The jury returned to deliberations, and the court called the jury
back into the courtroom forty-five minutes later to release it
for the evening.
The next morning, the court informed counsel that it had
received a note from a juror asking to be replaced. In the note,
the juror expressed that while the mitigating factors do not
offset the aggravating factors in one of the murders, I cannot
with any peace of mind vote for the death penalty . . . . I feel
unqualified to continue as a juror . . . . The trial judge
discussed with counsel the content of the note and his planned
instructions in general terms, stating in part, I received a
written communication from one of the members of the jury through
the sheriff this morning. . . . [T]he juror is indicating they're
[sic] having some difficulty following the law and has asked that
I place an alternate in.
Defense counsel requested that the court charge the jury
pursuant to
State v. Smith, 320 N.C. 404, 358 S.E.2d 329 (1987),
regarding the jury's question on the previous day. The trial
court refused to give defendant's requested jury instruction,
denied defendant's motion for a mistrial, and instructed the jury
regarding the juror's letter as follows:
Folks, I've had a communication from one of your
members indicating that they're [sic] having some
difficulty in the matter, and it's asked that they
[sic] be replaced. The law doesn't allow me to do
that. Once the jury deliberations begin in the
sentencing phase in this type of case, I'm not allowed
to remove someone . . . . I must let the twelve jurors
that begin the deliberations conclude the matter.
Now, yesterday[,] one of the questions that I
received was an inquiry as to what would happen in a
certain numerical division. I will tell you that your
inability to reach a unanimous verdict should not be
your concern, but should simply be reported to the
Court.
The jury returned a verdict of death less than one hour later.
Defendant contends that the trial court violated defendant's
federal and state constitutional rights to presence and the
effective assistance of counsel by refusing to disclose the full
content of the notes, failing to let counsel see or read the
notes, misrepresenting the content, and responding without
eliciting and considering the informed positions of defendant and
his counsel. We disagree.
In a capital case, a defendant must be present at every
stage of the trial. N.C. Const. art. I, § 23;
State v. Locklear,
349 N.C. 118, 135, 505 S.E.2d 277, 286 (1998),
cert. denied, 526
U.S. 1075, 143 L. Ed. 2d 559 (1999). When an ex parte
communication relates to some aspect of the trial, the trial
judge generally should disclose the communication to counsel for
all parties.
Rushen v. Spain, 464 U.S. 114, 119, 78 L. Ed. 2d
267, 273 (1983). Upon receiving a message from a juror, the
trial court should give counsel an opportunity to be heard and
then answer the message in open court.
See Rogers v. United
States, 422 U.S. 35, 39, 45 L. Ed. 2d 1, 6 (1975).
In the case at hand, defendant was present when the
proceeding in question took place. Furthermore, while the trial
court did not read the notes verbatim to counsel, the court
promptly and adequately summarized the jury's question and the
note from the juror. The trial court informed counsel that thejury had a question about what happens if there's a division on
the fourth issue and later informed defendant and counsel that
there was a numerical division indicated in the note. Similarly,
the trial court informed counsel that it had received a
communication from a juror indicating they're [sic] having some
difficulty following the law and has asked that I place an
alternate in. The trial court heard from counsel and responded
in open court to each of the communications. As such, we find no
violation of defendant's right to presence.
[2]Defendant also claims that his attorneys were deprived
of their ability to make informed decisions about appropriate
responses to the notes. Defendant contends that counsel, had
they known the full and true content of the notes, would have
taken greater and more effective steps to protect defendant's
rights.
A defendant's right to counsel includes the right to the
effective assistance of counsel.
State v. Braswell, 312 N.C.
553, 561, 324 S.E.2d 241, 247 (1985). Defendant bears the burden
of showing that his counsel's performance was deficient and that
the defendant was prejudiced by the deficient performance.
Id.
at 561-62, 324 S.E.2d at 248.
In the present case, it is clear from the record that
counsel understood that the jury wanted to know what should
happen if the jurors were unable to unanimously agree about Issue
Four. Trial counsel immediately requested an instruction
advising the jury of the results of what happens if they're not
able to agree. We do not agree that the failure to disclose thejury's precise numerical division precluded counsel from the full
opportunity to defend defendant. The fair and accurate
disclosure of the content of the note was sufficient to render
counsel the full opportunity to effectively represent defendant.
Likewise, the trial judge informed counsel of the substantive
content of the juror's letter and stated, I'm going to tell them
that I can't replace a juror. As such, defense counsel had the
opportunity to object to the proposed instruction. We conclude
that the trial court's refusal to disclose the exact content of
the communications did not deprive defendant of his
constitutional right to effective assistance of counsel.
[3]Defendant also contends that the trial court's conduct
violated N.C.G.S. § 15A-1234(a)(1) and the Code of Judicial
Conduct. We disagree.
N.C.G.S. § 15A-1234(a)(1) provides in pertinent part:
After the jury retires for deliberation, the judge may give
appropriate additional instructions to . . . [r]espond to an
inquiry of the jury made in open court . . . . N.C.G.S. §
15A-1234(a)(1) (1999). Defendant failed to object to the
procedure by which the inquiry was communicated to the trial
judge and has thus waived this argument. N.C. R. App. P.
10(b)(1). In any event, we are not convinced that the statute
precludes the trial court from receiving a written communication
from the jury and responding to such in open court.
Defendant further argues that the trial court's actions
violated Canon 3A(4) of the Code of Judicial Conduct, which in
pertinent part provides: A judge should accord to every personwho is legally interested in a proceeding, or his lawyer, full
right to be heard according to law, and, except as authorized by
law, neither initiate nor consider
ex parte or other
communications concerning a pending or impending proceeding.
Code of Judicial Conduct Canon 3A(4), 2000 Ann. R. N.C. 276.
Having already determined that the trial court's actions were
authorized by law, we find no merit in defendant's argument.
[4]In his second argument, defendant contends that the
trial court erroneously admitted evidence of defendant's bad
character during the State's case-in-chief. Defendant argues
that the admitted evidence was irrelevant and inadmissible and
that it violated his constitutional right to a fundamentally fair
capital sentencing proceeding.
The rules of evidence do not apply in sentencing
proceedings, N.C.G.S. § 8C-1, Rule 1101(b)(3) (1999), although
they may be used as a guideline to reliability and relevance,
State v. Greene, 351 N.C. 562, 568, 528 S.E.2d 575, 579,
cert.
denied, ___ U.S. ___, 148 L. Ed. 2d 543, 2000 WL 1629376 (Dec. 4,
2000) (No. 00-6684). This Court has said that in a capital
sentencing proceeding, the prosecution must be permitted to
present
any competent, relevant evidence relating to the
defendant's character or record which will substantially support
the imposition of the death penalty so as to avoid an arbitrary
or erratic imposition of the death penalty.
State v. Brown, 315
N.C. 40, 61, 337 S.E.2d 808, 824 (1985),
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). We hold that the trial court did not err in allowing the
admission of testimony regarding defendant's temperament, a fight
defendant had with his girlfriend at work, an alleged statement
by defendant that he smoked marijuana, and a high school homework
assignment that showed defendant's knowledge of drugs, as the
testimony was competent, relevant evidence of defendant's
character and did not violate his right to a fundamentally fair
capital sentencing proceeding.
[5]In his third argument, defendant contends that the trial
court erred by admitting a child's hearsay statement into
evidence.
Officer Connie Searcy testified that Officer Michele
Daugherty told her that Damion, a foster child in the victim's
home, told Officer Daugherty that the person who shot the victims
pointed a gun at me, the man did. . . . Looked like a monster.
He might kill somebody else. The State cross-examined three
other witnesses regarding whether defendant pointed a gun at the
foster child. Defendant contends that this evidence and
questioning violated settled rules of evidence as well as the
United States and North Carolina Constitutions and that the
violation constituted plain error.
A defendant waives any possible objection to testimony by
failing to object to this testimony when it is first admitted.
See State v. Hunt, 325 N.C. 187, 196, 381 S.E.2d 453, 459 (1989)
(reference to the defendant's home as Fort Apache was not error
when no objection was made to an earlier identical reference).
In the present case, defendant failed to object when theState questioned Officer Searcy regarding the gun-pointing
incident. By failing to object to this testimony when it was
first admitted, defendant waived any possible objection to its
admission. Moreover, defendant failed to make an objection at
trial on constitutional grounds. This failure to preserve the
issue resulted in waiver. N.C. R. App. P. 10(b)(1);
State v.
Jaynes, 342 N.C. 249, 263, 464 S.E.2d 448, 457 (1995),
cert.
denied, 518 U.S. 1024, 135 L. Ed. 2d 1080 (1996).
Because defendant failed to object to the admission of this
evidence, we review this issue for plain error.
State v. Carter,
338 N.C. 569, 593, 451 S.E.2d 157, 170 (1994),
cert. denied, 515
U.S. 1107, 132 L. Ed. 2d 263 (1995). Plain error is
'fundamental error, something so basic, so prejudicial, so
lacking in its elements that justice cannot have been done.'
State v. Odom, 307 N.C. 655, 660, 300 S.E.2d 375, 378 (1983)
(quoting
United States v. McCaskill, 676 F.2d 995, 1002 (4th
Cir.) (footnote omitted),
cert. denied, 459 U.S. 1018, 74 L. Ed.
2d 513 (1982)). We find no such error in the admission of this
evidence.
[6]In his fourth argument, defendant contends that the
trial court erred by admitting evidence of Miller's good
character during the State's case-in-chief, thereby violating the
rules of evidence as well as the United States and North Carolina
Constitutions. Specifically, defendant argues that the evidence
was irrelevant and inflammatory. We disagree.
Evidence is relevant where it has any tendency to make the
existence of any fact that is of consequence to the determinationof the action more probable or less probable than it would be
without the evidence. N.C.G.S. § 8C-1, Rule 401 (1999). This
Court has held that evidence that the victim was a good person,
or fleshing out the humanity of the victim, is permissible so
long as it does not go too far.
State v. Reeves, 337 N.C. 700,
723, 448 S.E.2d 802, 812 (1994),
cert. denied, 514 U.S. 1114, 131
L. Ed. 2d 860 (1995);
see also Payne v. Tennessee, 501 U.S. 808,
825, 115 L. Ed. 2d 720, 735 (1991) (victim-impact evidence may be
admitted during a capital sentencing proceeding unless it is so
unduly prejudicial that it renders the trial fundamentally
unfair).
In the instant case, the trial court denied defendant's
pretrial motion to prohibit the State from introducing or
arguing victim impact evidence and admitted evidence regarding
Miller's good character during the State's case-in-chief.
Specifically, the State presented evidence that Miller had
prepared meals for defendant and other relatives, attended
defendant's athletic events, and generally treated defendant
well. The State also presented evidence that Miller appeared to
have a close relationship with Caroline. The trial court
admitted a photograph of Miller when she was alive and several
photographs of her landscaped yard.
We note that the State submitted and the jury found as an
aggravating circumstance that the murder was especially heinous,
atrocious, or cruel. Evidence that defendant had murdered a
blood relative who had opened her home to him and offered him a
stable environment tended to support this aggravatingcircumstance. The State's evidence further showed that the
killing of Miller was especially heinous, atrocious, or cruel
partially because she had been especially caring, patient, and
loving to defendant.
After a careful review of the record, we conclude that the
evidence was both relevant and admissible and did not go too
far within the meaning set out in
Reeves.
Defendant also challenges the admission of the evidence on
constitutional grounds. However, defendant failed to make an
objection at trial on constitutional grounds. This failure to
preserve the issue results in waiver. N.C. R. App. P. 10(b)(1);
Jaynes, 342 N.C. at 263, 464 S.E.2d at 457.
[7]In his fifth argument, defendant contends that the trial
court erroneously allowed the prosecutors to cross-examine
defense witnesses regarding defendant's bad character. We
disagree.
A trial court has broad discretion over the scope of cross-
examination.
State v. Call, 349 N.C. 382, 411, 508 S.E.2d 496,
514 (1998). The prosecution may offer evidence of a pertinent
trait of a defendant's character to rebut evidence of a pertinent
trait of character when first offered by the defendant.
See
Carter, 338 N.C. at 598, 451 S.E.2d at 173.
In the present case, defendant introduced evidence on cross-
examination that he was a good worker. Subsequently, defendant's
first witness, his mother, was questioned about or testified on
direct-examination as to the following: defendant worked at Food
Lion and Bi-Lo, played football and basketball, had taken the SATto try to get into college, had been admitted to college, took a
test to gain admission into the Air Force, and had a girlfriend
he took to the prom. Subsequent defense witnesses testified that
defendant was polite, had a good attitude, was an overachiever,
and behaved appropriately in school.
On cross-examination, the State elicited evidence from
defendant's mother and other defense witnesses that defendant
sold and used illegal drugs, had parties in hotel rooms, pushed
his grandfather down, slapped his girlfriend, had been charged
with and convicted of drug offenses, and violated jail rules.
We conclude that the trial court did not abuse its
discretion in permitting this cross-examination that was offered
in rebuttal of defendant's evidence of good character.
[8]In his sixth argument, defendant contends that the trial
court erred by allowing the State to cross-examine a witness
about defendant's conduct in Spanish class. Defendant argues
that admission of this evidence violated settled evidence rules
as well as the United States and North Carolina Constitutions.
We disagree.
The rules of evidence do not apply to a sentencing hearing,
N.C.G.S. § 8C-1, Rule 1101(b)(3), yet hearsay statements
introduced therein must be relevant and bear indicia of
reliability,
State v. Stephens, 347 N.C. 352, 363, 493 S.E.2d
435, 442 (1997),
cert. denied, 525 U.S. 831, 142 L. Ed. 2d 66
(1998).
In the present case, defendant filed a motion
in limine to
exclude evidence about an incident in his Spanish class, but thetrial court deferred ruling on this motion.
On direct examination, Stephen Chandler, defendant's history
teacher and football coach in 1995, testified for the defense
that defendant never had a behavioral problem, always
participated in class, came to practice on time, and was never a
discipline problem. On cross-examination, when the prosecutor
asked Chandler about an incident in Spanish class, the trial
court held a
voir dire. Over objection, Chandler testified that
another math teacher had told him that he heard defendant had
gotten in trouble and had engaged in aggressive behavior
towards his Spanish teacher. Defendant contends that these
statements were double-hearsay since Chandler had no personal
knowledge of the incident.
We conclude that the trial court did not abuse its
discretion in permitting the cross-examination by the State that
served to rebut defendant's evidence that defendant was not a
behavior problem in school. Further, since defendant did not
object to the admission of the statements on constitutional
grounds, we review this issue for plain error.
See State v.
Lemons, 352 N.C. 87, 530 S.E.2d 542 (2000). After reviewing the
record, we find no error so fundamental that justice could not
have been done.
[9]In his seventh argument, defendant contends that the
trial court erred by admitting evidence on cross-examination of
the food defendant ate in jail, including numerous candy bars,
soft drinks, and snacks.
We note that defendant did not object when the State firstasked about the subject matter and that defendant did not move to
strike any of the answers. This Court has held that when, as
here, evidence is admitted over objection, but the same or
similar evidence has been previously admitted or is later
admitted without objection, the benefit of the objection is
lost.
Hunt, 325 N.C. at 196, 381 S.E.2d at 459. Defendant
failed to object to earlier questions and answers related to the
food he consumed while in jail; therefore, our review is limited
to plain error. Although we strain to see the relevance of what
defendant ate while in jail, we conclude that admission of the
evidence did not constitute plain error.
[10]In his eighth argument, defendant contends that the
trial court committed plain error by admitting evidence related
to his future dangerousness, in violation of settled evidence
rules and defendant's state and federal constitutional rights.
We disagree.
Evidence of future dangerousness is not improper in a
sentencing proceeding.
State v. Williams, 350 N.C. 1, 28, 510
S.E.2d 626, 644,
cert. denied, 528 U.S. 880, 145 L. Ed. 2d 162
(1999). The prosecutor may urge the jury to recommend death out
of concern for the future dangerousness of the defendant.
Id.
In the instant case, the State elicited testimony from
defense witness Dr. Noble that defendant could be dangerous in
the future under certain conditions. The State also elicited
testimony that prison inmates make and use homemade knives and
that many prison employees are unarmed.
We conclude that the trial court did not err in admittingevidence of defendant's future dangerousness. We note that
defendant failed to object to Dr. Noble's testimony that
defendant could clearly be dangerous under certain conditions
in the future. Even assuming
arguendo that it was error to admit
such evidence, we do not conclude 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). Thus, the
admission of the evidence relating to defendant's future
dangerousness did not rise to the level of plain error. This
assignment of error is rejected.
[11]In his ninth argument, defendant contends that the
trial court violated evidence rules and defendant's state and
federal constitutional rights by allowing the State to cross-
examine witnesses about good character traits of victim Miller.
We disagree.
The trial court exercises broad discretion over the scope
of cross-examination . . . .
Locklear, 349 N.C. at 156, 505
S.E.2d at 299. Evidence that the victim is a good person is
permissible so long as it does not go too far.
Reeves, 337
N.C. at 723, 448 S.E.2d at 812.
In the instant case, defendant claims that the evidence
elicited by the State went too far and was unduly prejudicial.
The State elicited testimony on cross-examination that Miller was
a fine woman, gave defendant a beautiful home, attended his
athletic events, provided him with clothing and food, and cared
for foster children.
Defendant failed to object to the above evidence of Miller'sgood character. In any event, we hold that the evidence of
Miller's good character elicited by the State on cross-
examination did not go too far for purposes of
Reeves, nor did it
violate defendant's constitutional right to a fundamentally fair
sentencing hearing.
[12]In his tenth argument, defendant contends that the
trial court erroneously admitted victim impact evidence and
allowed the prosecutor to present such evidence throughout the
capital sentencing proceeding. We disagree.
The Eighth Amendment to the United States Constitution does
not bar a prosecutor from arguing victim impact evidence at the
sentencing phase of a capital trial.
Payne, 501 U.S. at 825, 115
L. Ed. 2d at 735. The State should not be barred from
demonstrating the loss to society and to the victim's family
which resulted from the homicide.
Id. However, the Fourteenth
Amendment to the United States Constitution may provide a
defendant relief where the victim impact evidence is so unduly
prejudicial that it renders the trial fundamentally unfair.
Id.
Finally, in discussing the admissibility of character evidence of
the victim, this Court has held that the State should be given
some latitude in fleshing out the humanity of the victim so long
as it does not go too far.
Reeves, 337 N.C. at 723, 448 S.E.2d
at 812.
In the present case, defendant filed a motion
in limine to
prohibit the State from introducing or arguing victim impact
evidence, including evidence of the survivors' grief and
trauma at any phase of the sentencing hearing. The trialcourt denied the motion.
During jury selection and the sentencing proceeding, the
prosecutor, over objection, introduced certain courtroom
spectators as good friends or family members of Miller.
Furthermore, Bobby Fortune, a witness for the State, testified
that he loved Miller; went together with Miller for twenty-
five years before, between, and after her marriages; and helped
Miller landscape her backyard. The State elicited the following
testimony from Fortune during direct-examination:
Q. Mr. Fortune, tell the jury how Joyce Miller's
death has impacted you.
[DEFENSE COUNSEL]: Objection.
COURT: Overruled.
A. Joyce Miller's death affected me where I can't
think at times. The job I do, I need to think . . .
and at times she gets on my mind so bad that I can't
even work, or won't work. I just sit around the house
mostly moping or staring or just daydreaming. It helps
a lot sometimes if I got friends . . . but after
they're gone and I'm there by myself, that's when it
hurts the most. She is constantly staying on my mind
night and day. I get up with her on my mind and go to
bed with her on my mind.
We conclude that the evidence admitted regarding Fortune's
close relationship with the victim did not go too far and was not
so unduly prejudicial that it render[ed] the trial fundamentally
unfair.
Payne, 501 U.S. at 825, 115 L. Ed. 2d at 735. The
limited victim impact evidence that was introduced at the
capital sentencing proceeding was proper pursuant to
Payne and
Reeves. This assignment of error is rejected.
[13]In his eleventh argument, defendant contends that the
trial court erred in allowing the prosecutors to ask impertinentand badgering questions. Defendant argues that the trial court
violated the rules of evidence as well as the United States and
North Carolina Constitutions, and committed plain error. We
disagree.
Many of the questions and answers that defendant challenges
either were admitted without objection or, if objected to and
sustained, were not followed by a motion to strike. Defendant's
failure to object or, in the alternative, move to strike
following a sustained objection limits our review to plain error.
State v. Barton, 335 N.C. 696, 709, 441 S.E.2d 295, 302 (1994).
We find no plain error.
The remaining questions that defendant challenges were
objected to and properly overruled because defendant had
previously injected the evidence into the proceeding or allowed
it to be admitted as evidence earlier with no objection.
See
Hunt, 325 N.C. at 196, 381 S.E.2d at 459. This assignment of
error is without merit.
[14]In his twelfth argument, defendant contends that the
trial court erred by excluding letters and cards that defendant
wrote to his mother since his arrest while he was incarcerated.
Defendant contends that the exclusion of the letters violated
settled evidence rules as well as the United States and North
Carolina Constitutions. We disagree.
Defendant relies on
State v. Jones, 339 N.C. 114, 154, 451
S.E.2d 826, 847 (1994),
cert. denied, 515 U.S. 1169, 132 L. Ed.
2d 873 (1995), in which this Court stated:
When evidence is relevant to a critical issue in the
penalty phase of a capital trial, it must be admitted,evidentiary rules to the contrary under state law
notwithstanding.
Green v. Georgia, 442 U.S. 95, 60 L.
Ed. 2d 738 (1979). The jury cannot be precluded from
considering mitigating evidence relating to the
defendant's character or record and the circumstances
of the offense that the defendant offers as the basis
for a sentence less than death.
In
Jones, this Court held that the trial court erred by excluding
the testimony of a witness who was prepared to say that the
defendant had communicated remorse for what he had done.
However, this Court ultimately found that the exclusion of the
evidence was harmless beyond a reasonable doubt because another
witness had been allowed to read to the jury a letter the
defendant had written in which the defendant expressed regret.
Notably, while the rules of evidence do not apply in a sentencing
proceeding, the trial judge still must determine the
admissibility of evidence subject to general rules excluding
evidence that is repetitive or unreliable.
State v. Simpson, 341
N.C. 316, 350, 462 S.E.2d 191, 211 (1995),
cert. denied, 516 U.S.
1161, 134 L. Ed. 2d 194 (1996).
In the present case, defense counsel requested that
defendant's mother be allowed to read the letters to the jury and
proffered the exhibits as evidence tending to show defendant's
remorse and relationship with his mother. The State objected.
Defendant's mother was allowed to testify that she received the
letters from defendant; that they were personal in nature; and
that, in them, defendant expressed remorse for what he had done.
The trial court ruled that the letters were inadmissible on
grounds that they were cumulative of evidence already before the
jury: I'm going to find that the admission of the lettersthemselves to prove remorse or his relationship with his mother
would be cumulative, that there's already been evidence produced
for the jury to consider on those issues, and I'm going to
exclude those letters.
When the trial court made its ruling, defendant had already
presented evidence that he loved his mother. Moreover, several
witnesses had testified that defendant constantly cried and
expressed remorse about what he had done when they visited him
during his incarceration. There was even evidence in the record
that defendant frequently cried during the capital sentencing
proceeding.
We conclude that the letters would have offered
substantially the same evidence as the testimony of defendant's
mother and other witnesses. Defendant was allowed to present to
the jury evidence of remorse and of a loving relationship with
his mother. In any event, the letters were unreliable in that
they were written by a defendant facing a capital sentencing
proceeding to a likely witness in the proceeding. As such, we
hold that the trial court properly excluded the letters as
cumulative and unreliable. Assuming
arguendo that the trial
court erred in excluding the letters from evidence, such error
was harmless beyond a reasonable doubt. N.C.G.S. § 15A-1443(b)
(1999);
Jones, 339 N.C. at 154, 451 S.E.2d at 848. This argument
is without merit.
[15]In his thirteenth argument, defendant contends that the
trial court erred in excluding the testimony of Colin Wilmont
that defendant would make a positive impact on society in prison,thereby violating the rules of evidence and the United States and
North Carolina Constitutions. We disagree.
The admissibility of mitigating evidence during the
sentencing phase is not constrained by the rules of evidence.
N.C.G.S. § 8C-1, Rule 1101(b)(3). However, the trial judge must
determine the admissibility of such evidence subject to general
rules excluding evidence that is repetitive or unreliable, or
lacks an adequate foundation.
Simpson, 341 N.C. at 350, 462
S.E.2d at 211;
see also State v. Strickland, 346 N.C. 443, 462,
488 S.E.2d 194, 205 (1997) (the trial court did not err in
excluding testimony during a capital sentencing proceeding
because of the undependable nature of the evidence, its limited
mitigating value, and its potential to distract the jury),
cert.
denied, 522 U.S. 1078, 139 L. Ed. 2d 757 (1998).
In the instant case, defendant proffered Wilmont,
defendant's seventeen-year-old friend, to testify that defendant
would have a positive impact by talking to and counseling young
people who visited prison. Defendant contends that the evidence
was relevant to mitigating circumstances including age and to the
catchall, and to serve as a basis for a sentence less than death.
Defendant also contends that this evidence was sufficient
rebuttal to the State's evidence that defendant would not be
useful to society in prison and would be a danger to unarmed
civilians in prison.
We conclude, however, that this testimony by defendant's
friend tending to suggest that defendant would have had a
positive impact on young people visiting prison was purelyspeculative. As such, the trial court did not commit prejudicial
error or abuse its discretion by excluding this evidence.
Assuming
arguendo that the court's ruling was erroneous, the
record shows that the trial court admitted evidence that
defendant was like a . . . leader to Wilmont and had a positive
impact on people on and off the football field. Thus, the jury
had an opportunity to consider the positive influence defendant
had on others for purposes of the catchall mitigating
circumstance. As such, any error was harmless beyond a
reasonable doubt.
See N.C.G.S. § 15A-1443(b).
In his fourteenth argument, defendant assigns error to
closing arguments made by the prosecution. Defendant argues that
the State's improper arguments violated rules of evidence as well
as defendant's constitutional rights, and that the trial court's
failure to intervene
ex mero motu amounted to plain error.
[16]First, defendant contends that the prosecutor made
improper biblical arguments. As a general rule, prosecutors have
wide latitude in the scope of their argument to argue the law,
the facts, and reasonable inferences supported thereby.
State
v. Frye, 341 N.C. 470, 498, 461 S.E.2d 664, 678 (1995),
cert.
denied, 517 U.S. 1123, 134 L. Ed. 2d 526 (1996). Furthermore,
this Court 'has found biblical arguments to fall within
permissible margins more often than not.'
State v. Walls, 342
N.C. 1, 61, 463 S.E.2d 738, 770 (1995) (quoting
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)),
cert.
denied, 517 U.S. 1197, 134 L. Ed. 2d 794 (1996). While thisCourt has disapproved of arguments that the Bible does not
prohibit the death penalty, it has held that such arguments are
not so improper as to require intervention
ex mero motu by the
trial court.
Williams, 350 N.C. at 27, 510 S.E.2d at 643. We
caution all counsel that they should base their jury arguments
solely upon the secular law and the facts.
Id.
We have reviewed the prosecutor's argument in its entirety.
A portion of the prosecutor's argument is as follows:
Now, I'm going to close with some brief remarks from or
about the Bible, and I'm going to be brief about that
because I don't wish to offend . . . jurors . . . and
because our Supreme Court doesn't want us to make
biblical arguments. And we asked all of you if you
could follow the laws of this case and the laws of man.
I make any remarks in anticipation of these issues
because we've had witnesses about this. In the Book of
Matthew[,] we're told about when the Herodians . . .
came to test Jesus about the powers of the government
. . . . And he said, Then render unto Caesar what is
Caesar's, and unto God what is God's. And for the
purposes of this trial, [defendant] is Caesar's and
these are Caesar's laws. . . . [A]nd there's the story
about the adulteress brought before Jesus by the crowd,
and they were planning to stone her. And Jesus didn't
say, Don't stone her. He told them, He who is
without sin cast the first stone. And that, ladies
and gentlemen, is the difference between justice and
vengeance. . . . The jury swore an oath and you all
promised that you wouldn't be biased, that you would
hear the evidence, that you'd decide in accordance with
the law, and sitting as a body under those
circumstances with those promises you are sinless and
you may cast that stone, and cast it you must.
Vengeance is mine, sayeth the Lord. I will
repay. God may wreak vengeance on [defendant] or God
may have mercy on his soul after you do justice. It is
not our prerogative to forgive [defendant] under these
laws. God may have mercy on his soul or vengeance on
his soul, because God can do what man cannot, and man
cannot punish these crimes as they were, and man cannot
protect any of his potential future victims.
Defendant objected at this point in the prosecutor's argument,
but stated no grounds for his objection. The trial courtsustained the objection as to the statement future victims.
Nothing in the record indicates that defendant specifically
objected to the prosecutor's biblical references in his closing
argument.
In the absence of objection, our 'standard of review to
determine whether the trial court should have intervened
ex mero
motu is whether the allegedly improper argument was so
prejudicial and grossly improper as to interfere with defendant's
right to a fair trial.'
Walls, 342 N.C. at 48, 463 S.E.2d at
763 (quoting
State v. Alford, 339 N.C. 562, 571, 453 S.E.2d 512,
516 (1995)).
We disapprove of counsel's biblical references, especially
in light of counsel's admission that this Court does not condone
such arguments. However, we note that here, as in
Williams, the
prosecutor counseled the jurors that they should base their
sentencing decision upon the secular law. Even if error, we do
not conclude that the prosecutor's arguments were so improper as
to require intervention by the trial court
ex mero motu.
[17]Second, defendant contends that the prosecutor
misstated the law. The prosecutor stated to the jury:
The Supreme Court says, in
State vs. Jones that
prosecutorial argument encouraging the jury to lend an
ear to the community is not proper. However,
encouraging the jury to act as the voice and conscience
of the community is proper and is one of the very
reasons for the establishment of the jury system. So
regardless of all the people who would come before you
and ask you to listen to the community about the
defendant's life, that is not what the law says.
[DEFENSE COUNSEL]: Objection.
[PROSECUTOR]: The law says --
COURT: Overruled.
[PROSECUTOR]: -- you are the voice and the
conscience of the community.
[DEFENSE COUNSEL]: Objection.
COURT: Overruled.
Defendant contends that this argument was an
unconstitutional misstatement of capital sentencing law and that
it communicated to the jury that, under North Carolina law as
interpreted by this Court, the jury was not required to listen
to, consider, or give effect to defendant's witnesses' sworn
evidence about defendant's life. We disagree.
The State must not ask the jurors to 'lend an ear to the
community rather than a voice.'
State v. Scott, 314 N.C. 309,
312, 333 S.E.2d 296, 298 (1985) (quoting
Prado v. Texas, 626
S.W.2d 775, 776 (Tex. Crim. App. 1982)). Yet, it is not improper
for the State to remind the jurors that 'they are the voice and
conscience of the community.'
State v. McNeil, 350 N.C. 657,
687-88, 518 S.E.2d 486, 505 (1999) (quoting
State v. Brown, 320
N.C. 179, 204, 358 S.E.2d 1, 18,
cert. denied, 484 U.S. 970, 98
L. Ed. 2d 406 (1987)),
cert. denied, 529 U.S. 1024 , 146 L. Ed.
2d 321 (2000).
In the instant case, the prosecutor correctly stated that
the jurors must not lend an ear to the community and that the
jurors may act as the voice and conscience of the community. We
are not convinced by defendant's contention that the prosecution
instructed the jury to disregard the testimony of defense
witnesses when it stated: So regardless of all the people who
would come before you and ask you to listen to the communityabout the defendant's life, that is not what the law says.
Admittedly, this statement is unclear in light of the fact that
no witness asked the jury to listen to the community. However,
any confusion generated by the statement was cured when the trial
court instructed the jury that it would be your duty to consider
as a mitigating circumstance any aspect of the defendant's
character or record or any of the circumstances of this murder
that the defendant contends is a basis for a sentence less than
death, and any other mitigating circumstance arising from this
evidence which you deem to have mitigating value. We find no
prejudicial error in the prosecutor's argument.
[18]Third, defendant contends that the prosecutor traveled
outside the evidentiary record and made arguments not supported
by any evidence. Defendant did not object to this portion of the
argument. When a defendant fails to object to the prosecutor's
comments during closing arguments, 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.
State v. Richardson, 342 N.C. 772, 786, 467 S.E.2d 685,
693,
cert. denied, 519 U.S. 890, 136 L. Ed. 2d 160 (1996). We
have reviewed the prosecutor's argument, and we do not find it to
be so grossly improper as to require intervention by the trial
court
ex mero motu.
[19]Fourth, and finally, defendant contends that the
prosecutor violated his constitutional rights by commenting ondefendant's silence. The following exchange occurred during the
State's closing arguments:
[PROSECUTOR]: Now, [defendant] sits here like
this, and I know that it's hard for you to picture him
doing what you know he did and what he's plead [sic]
guilty to doing, and it's especially hard because he
grows his hair out and then he tips his head down.
[DEFENSE COUNSEL]: Objection.
COURT: Overruled.
[PROSECUTOR]: And then he looks up and he looks
pitiful and you can look at him. This is a huge,
momentous decision you're going to make, and you
shouldn't have to sneak a glance to see whether he's
bawling or rolling his eyes or saying did not while a
witness is testifying . . . .
Defendant contends that this argument was an indirect comment on
defendant's decision not to testify at the hearing. Defendant
argues that, by pointing out defendant's conduct in the
courtroom, including sitting at the counsel table, bowing his
head, crying, rolling his eyes, and muttering, the prosecutor
called attention to what defendant did not do, namely, testify.
[A]ny direct reference to defendant's failure to testify is
error and requires curative measures be taken by the trial
court.
State v. Reid, 334 N.C. 551, 554, 434 S.E.2d 193, 196
(1993). Furthermore, the constitutional right of the accused to
remain silent is violated by language that is of such character
that the jury would naturally and necessarily take it to be a
comment on the failure of the accused to testify.
State v.
Rouse, 339 N.C. 59, 95-96, 451 S.E.2d 543, 563 (1994) (quoting
United States v. Anderson, 481 F.2d 685, 701 (4th Cir. 1973),
aff'd, 417 U.S. 211, 41 L. Ed. 2d 20 (1974)),
cert. denied, 516
U.S. 832, 133 L. Ed. 2d 60 (1995). Defendant's reliance on
State v. McLamb, 235 N.C. 251, 257,
69 S.E.2d 537, 541 (1952), as support for his contention is
misplaced. In
McLamb, while the defendant did not testify, his
wife and several men testified on his behalf. The prosecutor
commented that the defendant was hiding behind his wife's coat
tail, an obvious reference to the defendant's failure to
testify.
Id. In contrast, in the instant case, the prosecutor's
comments about defendant's mannerisms in the courtroom did not
constitute references to defendant's constitutional right to
remain silent. This argument is rejected.
[20]In defendant's fifteenth argument, he challenges the
trial court's jury instructions regarding the N.C.G.S. §
15A-2000(e)(5) aggravating circumstance. Defendant contends the
trial court's instruction was erroneous as it failed to submit
the essential timing element to the jury. We agree.
An aggravating circumstance that may be considered in a
capital sentencing proceeding is that [t]he capital felony was
committed while the defendant was engaged . . . in the commission
of . . . robbery. N.C.G.S. § 15A-2000(e)(5) (1999). This
subsection guides the jury's deliberation upon criminal conduct
of the defendant which takes place 'while' or during the same
transaction as the one in which the capital felony occurs.
State v. Goodman, 298 N.C. 1, 24, 257 S.E.2d 569, 584 (1979).
In the instant case, during the charge conference, the State
requested that the court use its proffered (e)(5) jury
instruction instead of the pattern instruction. Defense counsel
objected and asked the trial court to administer the pattern(e)(5) jury instruction. However, the trial court overruled the
objection and used the State's requested (e)(5) instruction.
During the jury charge for the murder of Miller, the trial
court gave the State's requested instructions as follows:
[F]our aggravating circumstances . . . may be
applicable to the case of Joyce Miller: First, Was
this murder committed by the defendant while the
defendant was engaged in the commission of armed
robbery? . . . It is sufficient to support this
aggravating circumstance that the defendant committed
this murder while engaged in the commission of an armed
robbery even if the armed robbery was committed after
Joyce Miller was killed, so long as the armed robbery
occurred during a continuous series of events
surrounding Joyce Miller's death.
Now, I charge that for you to find that the
defendant committed this murder while engaged in the
commission of the armed robbery, the State must prove
seven things beyond a reasonable doubt. First, that
the defendant took property from the person of Joyce
Miller or in her presence. Second, that the defendant
carried away the property. Third, that Joyce Miller
did not voluntarily consent to the taking and carrying
away of the property. Fourth, that the defendant knew
that he was not entitled to the property. Fifth, that
at the time of the taking the defendant intended to
deprive Joyce Miller of its use permanently. Sixth,
that the defendant had a firearm or other dangerous
weapon in his possession at the time he obtained the
property. . . . And seventh, that the defendant
obtained the property by endangering or threatening the
life of Joyce Miller with the firearm or other
dangerous weapon.
During deliberations, the jury requested that the trial
court reinstruct it on armed robbery. The trial court repeated
the State's requested (e)(5) instruction in full. Defendant
again objected. The jury subsequently found the (e)(5)
circumstance to exist.
Defendant contends that the essence of the (e)(5)
circumstance is that it provides for greater punishment when a
capital felony is committed
while a defendant is engaged in thecommission of other dangerous felonies. Defendant further argues
that the trial court failed to instruct the jury on this
essential timing element.
In describing the State's burden, the trial court enumerated
seven things the State was required to prove beyond a reasonable
doubt in order to show that defendant committed the murder while
engaged in the commission of armed robbery. The seven things
comprised the elements of armed robbery and did not require a
finding that the murder was committed
while engaged in the
commission of the armed robbery. The consequence of the trial
court's instruction is that the State was able to prove (e)(5)
without proving that the murder occurred
while defendant was
engaged in armed robbery. N.C.G.S. § 15A-2000(e)(5).
Following the charge, the trial court compounded its error
by stating, So, I charge that if you find, from the evidence and
beyond a reasonable doubt, that on or about May 24th, 1996 [the
seven elements of armed robbery were satisfied] . . . you would
find this aggravating circumstance and so indicate by writing
'yes' in the space after the aggravating circumstance . . . .
We note that the pattern jury instruction on (e)(5) provides
as follows:
If you find from the evidence beyond a reasonable doubt
that
when the defendant killed the victim the defendant
was . . . (set out the findings necessary for the
felony . . .) you would find this aggravating
circumstance[.]
N.C.P.I.--Crim. 150.10(5A) (1997) (emphasis added). The pattern
jury instruction includes a timing element in that it requires
the jury to find from the evidence beyond a reasonable doubtthat when the defendant killed the victim (the elements necessary
to commit the felony) were fulfilled.
Id. In the instant case,
the trial court's charge to the jury lacked the requisite timing
element.
We conclude that the trial court failed to charge the jury
with sufficient clarity that the State had the burden to show
that the criminal conduct took place
while or during the same
transaction as the murder. Thus, the trial court erred in giving
the instruction to the jury. We next address whether this error
warrants a new capital sentencing proceeding.
A review of the record discloses that defendant indicated to
the investigating officer that he killed Miller around 7:00 p.m.
Defendant also indicated that he placed the stolen materials,
including the VCR, into the Bravada truck and drove to the mall
at approximately 7:15 p.m. For purposes of this aggravating
circumstance, the jury was instructed to consider the taking of
the keys to the Bravada, the Bravada itself, and one of the VCRs.
The span of time between Miller's murder and the alleged armed
robbery was at most thirty minutes. Thus, all of the evidence
presented during the sentencing proceeding tended to show that
the murder and alleged armed robbery were part of a continuous
series of events.
Furthermore, the trial court properly instructed the jury
that it could find this aggravating circumstance if it determined
that the armed robbery occurred during a continuous series of
events surrounding Miller's death. Finally, on the issues and
recommendation form, this issue was stated as follows: Was thismurder committed by the Defendant while the Defendant was engaged
in the commission of Armed Robbery? Therefore, when the jurors
marked yes on the form, they found that the murder was
committed
while defendant was engaged in the commission of armed
robbery. Thus, the instructions and issues and recommendation
form, when considered in light of the evidence in this case,
communicated to the jury that the murder had to occur while
defendant was engaged in the commission of armed robbery.
In light of the foregoing, we conclude that there is no
reasonable likelihood that the jury applied the challenged
instruction in a manner that violated the Constitution.
See
State v. Jennings, 333 N.C. 579, 621, 430 S.E.2d 188, 209,
cert.
denied, 510 U.S. 1028, 126 L. Ed. 2d 602 (1993). Assuming
arguendo that the error was of constitutional magnitude, such
error was harmless beyond a reasonable doubt.
See N.C.G.S. §
15A-1443(b).
Defendant makes a similar argument about the identical
instructions the trial court gave regarding Caroline's murder.
However, we need not address this argument since the jury
recommended life imprisonment without parole for Caroline's
death. This argument is rejected.
[21]In his sixteenth argument, defendant challenges the
trial court's instructions on aggravating circumstance (e)(6),
that the murder was committed for pecuniary gain. Defendant
contends that the instructions given by the trial court allowed
the jury to find the (e)(6) circumstance without making the
necessary finding about defendant's motive in that theinstructions did not require the jury to find that defendant
murdered for the purpose of pecuniary gain. Defendant contends
that the instructions were erroneous in law and violated his
rights under the United States and North Carolina Constitutions.
We disagree.
An aggravating circumstance that may be considered in
capital sentencing is that [t]he capital felony was committed
for pecuniary gain. N.C.G.S. § 15A-2000(e)(6). This
aggravating circumstance considers defendant's motive and is
appropriate where the impetus for the murder was the expectation
of pecuniary gain.
State v. Moore, 335 N.C. 567, 610, 440
S.E.2d 797, 822,
cert. denied, 513 U.S. 898, 130 L. Ed. 2d 174
(1994). However, the jury may find this aggravating circumstance
even where financial gain was not the defendant's primary
motivation.
Id.
In the instant case, during the charge conference, the trial
court accepted the State's requested instruction on the (e)(6)
aggravating circumstance, over defendant's objection. The
instruction was given as follows:
[T]he second aggravating circumstance that you may
consider . . . is: Was this murder committed for
pecuniary gain? A murder is committed for pecuniary
gain if the defendant, when he commits it, has obtained
or intends to obtain money or other things that can be
valued in money as a result of the death of the victim.
In order to find that this murder was committed for
pecuniary gain, you do not have to find that the
primary motive of the defendant was financial gain. If
you find, from the evidence beyond a reasonable doubt,
that when the defendant killed the victim, that the
defendant took personal property or other items
belonging to Joyce Miller and that he intended or
expected to obtain money or property or any other thing
that can be valued in money, you would find this
aggravating circumstance and would so indicate byhaving your foreperson write yes in the space . . . .
The jury subsequently found the (e)(6) circumstance to exist.
We conclude that the trial court properly instructed the
jury that it must find that defendant murdered for the purpose of
pecuniary gain in order to find the (e)(6) aggravating
circumstance. Notably, the trial court began its instructions by
setting out the issue for the jury: Was this murder committed
for pecuniary gain? The trial court subsequently instructed the
jury to find this circumstance if it found that, when defendant
committed the murder, he had obtained or intended or expected to
obtain money. More specifically, the trial court charged the
jury that it must determine whether, when defendant took the
personal property belonging to Joyce Miller, he intended or
expected to obtain money or property or any other thing . . .
valued in money. On the recommendation form, the issue was
stated, Was this murder committed for pecuniary gain?
We note that the instruction given by the trial court was
remarkably similar to the pattern instruction.
See
N.C.P.I.--Crim. 150.10(6). While defendant argues that the trial
court erred in charging the jury that [i]n order to find that
this murder was committed for pecuniary gain, you do not have to
find that the primary motive of the defendant was financial
gain, we conclude that the instruction was correct as a matter
of law.
See Moore, 335 N.C. at 610, 440 S.E.2d at 822.
Furthermore, by instructing the jury that it need not find that
defendant's
primary motive was financial gain, the trial court
implicitly communicated that financial gain must have been amotive. This case is distinguishable from
State v. Bishop, 343
N.C. 518, 472 S.E.2d 842 (1996),
cert. denied, 519 U.S. 1097, 136
L. Ed. 2d 723 (1997), in which the challenged instruction
contained no language concerning the intent or motive of the
defendant.
Having determined that the trial court's pecuniary gain
instruction was not erroneous, we need not address defendant's
argument that the instruction was unconstitutional.
[22]In his seventeenth argument, defendant contends that
the trial court erred in instructing the jury on the mitigating
circumstance found in N.C.G.S. § 15A-2000(f)(1). Defendant
argues that the trial court's instruction violated his
constitutional rights by peremptorily charging the jury that
defendant had a history of prior criminal activity.
N.C.G.S. § 15A-2000(f)(1) provides that a mitigating
circumstance in capital sentencing may be that [t]he defendant
has no significant history of prior criminal activity.
In the present case, the State introduced contested evidence
of defendant's alleged prior criminal activity. The trial court
instructed the jury regarding the (f)(1) mitigating circumstance
as follows:
First, consider whether the defendant has no
significant history of prior criminal activity prior
to the date of the murder. . . . You would find this
mitigating circumstance if you find that the assault,
drug offenses, use of illegal drugs and gambling or any
other acts were not a significant history of prior
criminal activity. . . . If none of you find this
circumstance to exist, you would so indicate by having
your foreperson write no [on the issues and
recommendation form].
The jury did not find the (f)(1) circumstance to exist. Defendant contends that the trial court's instruction
improperly assumed that the State's evidence regarding alleged
criminal conduct by defendant was true. Therefore, according to
defendant, the trial court deprived the jury of the opportunity
to determine whether the essential elements of the alleged crimes
had been met and whether such alleged criminal conduct
constituted a significant history of prior criminal activity.
Defendant cites the proposition that the trial court in charging
a jury may not give an instruction which assumes as true the
existence or nonexistence of any material fact in issue.
State
v. Cuthrell, 235 N.C. 173, 174, 69 S.E.2d 233, 234 (1952).
Defendant failed to object to the instruction at trial,
thereby failing to preserve this argument for appeal. N.C. R.
App. P. 10(b)(2). Moreover, defendant failed to distinctly
contend in his assignment of error that the alleged error
constituted plain error.
Id. Nonetheless, we have examined
defendant's argument, and we find no plain error.
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 would have reached a different
verdict; or (ii) the error would constitute a miscarriage of
justice if not corrected.
State v. White, 340 N.C. 264, 299,
457 S.E.2d 841, 862,
cert. denied, 516 U.S. 994, 133 L. Ed. 2d
436 (1995).
Assuming
arguendo that the trial court's instructions
assumed that defendant engaged in the prior criminal activity,
overwhelming evidence was presented that defendant engaged in thecriminal activity listed. Several witnesses testified regarding
defendant's assault of his girlfriend. Defendant's witness,
Dr. Noble, testified regarding defendant's drug abuse and drug
dealing, and defendant's witness, Orren Daugherty, testified that
defendant won money by gambling.
The trial court did not assume the jury's duty to determine
whether defendant's history was significant. Rather, the trial
court listed defendant's prior criminal activity, which was
supported by the evidence, and asked that the jury determine the
significance of this activity.
Admittedly, the pattern jury instructions require the jury
to determine whether a defendant has engaged in any prior
criminal conduct as well as the significance of any such conduct:
[Y]ou would find this mitigating circumstance if you find that
(describe all defendant's prior criminal activity) and that this
is not a significant history of prior criminal activity.
N.C.P.I.--Crim. 150.10(1);
see also State v. Daniels, 337 N.C.
243, 271, 446 S.E.2d 298, 316 (1994) (the trial court properly
instructed: You would find this mitigating circumstance if you
find that the defendant's prior criminal history is the
conviction of driving while impaired, communicating threats, and
simple assault, and that this was not a significant history of
prior criminal activity),
cert. denied, 513 U.S. 1135, 130 L.
Ed. 2d 895 (1995). However, we find no plain error in the
instruction because the evidence of defendant's drug activity,
assault, and gambling was overwhelming, and the jury was
permitted to determine the significance of said conduct. Thisassignment of error is rejected.
[23]In his eighteenth argument, defendant contends that the
trial court erred in refusing to give peremptory instructions
about the existence of four mitigating circumstances. Defendant
contends that he was entitled to peremptory instructions on the
nonstatutory mitigating circumstance [t]hat the Defendant never
had any permanent or even long-term relationship with an
appropriate male role model and on three statutory mitigating
circumstances: (f)(1), [t]he Defendant has no significant
history of prior criminal activity; (f)(2), [t]he murder was
committed while the Defendant was under the influence of mental
or emotional disturbance; and (f)(6), [t]he capacity of the
Defendant to appreciate the criminality of his conduct or to
conform his conduct to requirements of law was impaired. We
disagree.
A defendant is entitled to a peremptory instruction when a
mitigating circumstance is supported by uncontroverted evidence.
State v. White, 349 N.C. 535, 568, 508 S.E.2d 253, 274 (1998),
cert. denied, 527 U.S. 1026, 144 L. Ed. 2d 779 (1999).
'Conversely, a defendant is not entitled to a peremptory
instruction when the evidence supporting a mitigating
circumstance is controverted.'
Id. (quoting
State v. Womble,
343 N.C. 667, 683, 473 S.E.2d 291, 300 (1996),
cert. denied, 519
U.S. 1095, 136 L. Ed. 2d 719 (1997)).
Defendant contends that the evidence was uncontroverted that
he had no appropriate male role model in his life. However,
there was evidence that defendant spent substantial time in thecustody of his grandparents. Furthermore, there were male
teachers and male coaches who testified on defendant's behalf and
indicated extensive interactions with defendant during his life.
Defendant also contends that the evidence was uncontroverted
that he had no significant history of prior criminal activity.
However, the State presented evidence tending to show that
defendant used and sold drugs, assaulted his girlfriend, gambled,
and stole money.
Defendant further contends that the evidence was
uncontroverted that the murders were committed while he was under
the influence of mental or emotional disturbance and that his
capacity was impaired. Defendant's expert, Dr. Noble, testified
that defendant was under the influence of a mental or emotional
disturbance when he killed Caroline and Miller. Dr. Noble
further testified that when defendant killed Caroline, his
capacity to appreciate the criminality of his conduct or to
conform his conduct to the requirements of the law was
diminished, but he did not completely lose his sense of right
and wrong and that at the time he killed Miller, defendant's
capacity was impaired. The State introduced evidence of
different possible interpretations of the results of the MMPI, an
assessment tool used by Dr. Noble. The computer software that
scored the MMPI generated possible interpretations that defendant
was manipulative, aggressive, rebellious of authority figures,
resentful, uncompromising, and hedonistic, and that defendant
might be physically threatening toward women to whom he was close
when he felt frustrated. The State also presented evidence thatdefendant performed well in school, wrote well-organized homework
assignments, and had been accepted at North Carolina A&T State
University. Finally, the State's evidence showed that following
the murders, defendant disposed of evidence, went shopping, went
to a party, and danced. Therefore, this evidence was
controverted as well.
We find no error in the trial court's refusal to give
peremptory instructions. This argument is rejected.
[24]In his nineteenth argument, defendant argues that the
trial court committed constitutional error in refusing to
instruct the jury that life imprisonment without parole was the
punishment alternative to death and instructing instead that the
alternative was merely life imprisonment. Defendant concedes
that the trial court informed the jury on some occasions that the
punishment alternative was life imprisonment without parole but
argues that the phrase was used infrequently and sporadically.
Defendant argues that every time the trial court referred to the
alternative to death, he should have instructed the jury that it
was life imprisonment without parole.
N.C.G.S. § 15A-2002 provides in pertinent part: The judge
shall instruct the jury, in words substantially equivalent to
those of this section, that a sentence of life imprisonment means
a sentence of life without parole. We hold that the judge in
this case did instruct the jury that a sentence of life
imprisonment means a sentence of life without parole. In the
charge to the jury, the judge instructed the jury, If you
unanimously recommend a sentence of life imprisonment, the courtwill impose a sentence of life imprisonment without parole. We
find nothing in the statute that requires the judge to state
life imprisonment without parole every time he alludes to or
mentions the alternative sentence. We find no error in the trial
court's actions. This argument is without merit.
[25]In his twentieth argument, defendant contends that the
trial court erred in referring to the prosecutor as our and/or
your district attorney. Defendant claims that the trial
court's statements violated its duty of impartiality and
constituted an improper expression of opinion in violation of
N.C.G.S. § 15A-1222 as well as the United States and North
Carolina Constitutions. We disagree.
N.C.G.S. § 15A-1222 provides that [t]he judge may not
express during any stage of the trial any opinion in the presence
of the jury on any question of fact to be decided by the jury.
In evaluating whether a judge's comments cross into the realm of
impermissible opinion, a totality of the circumstances test is
utilized.
State v. Larrimore, 340 N.C. 119, 155, 456 S.E.2d
789, 808 (1995). Further, since defendant claims that he was
deprived of a fair trial by the judge's statements, he has the
burden of showing prejudice in order to receive a new trial.
State v. Gell, 351 N.C. 192, 207, 524 S.E.2d 332, 342,
cert.
denied, ___ U.S. ___, 148 L. Ed. 2d 110 (Oct. 20, 2000) (No.
99-10222). Whether the accused was deprived of a fair trial by
the challenged remarks must be determined by what [was] said and
its probable effect upon the jury in light of all attendant
circumstances.
State v. Burke, 342 N.C. 113, 122-23, 463 S.E.2d212, 218 (1995).
In the instant case, during jury selection, the trial court
asked prospective jurors whether they had any contact with our
district attorney's office and whether they knew that the State
was represented by your and our district attorney; and stated
that this case would be prosecuted by your elected district
attorney; and that the burden to prove death was on the State
through your district attorney. Defendant failed to object to
any of these statements.
We decline to hold that these comments by the trial judge
constituted an improper expression of opinion. We first note
that the opinion must be on a question of fact to be decided by
the jury. N.C.G.S. § 15A-1222 (1999). Whether the district
attorney is our or your district attorney is not a question
of fact to be decided by the jury. After a full examination of
the trial transcript, we conclude that, when viewed in the
totality of circumstances, defendant has failed to show
prejudice. This argument is without merit.
[26]In his twenty-first argument, defendant contends that
the trial court erred in submitting both aggravating
circumstances (e)(5) and (e)(6) to the jury. Defendant argues
that the trial court's submission of both the (e)(5) and (e)(6)
aggravating circumstances in this case constituted
unconstitutional double-counting. We disagree.
'Double-counting' occurs when two aggravating circumstances
based upon the same evidence are submitted to the jury.
Call,
349 N.C. at 426, 508 S.E.2d at 523. In
State v. East, 345 N.C.535, 481 S.E.2d 652,
cert. denied, 522 U.S. 918, 139 L. Ed. 2d
236 (1997), this Court stated:
It is established law in North Carolina that it is
error to submit two aggravating circumstances when the
evidence to support each is precisely the same.
State
v. Gibbs, 335 N.C. 1, 58-59, 436 S.E.2d 321, 354
(1993),
cert. denied, [512] U.S. [1246], 129 L. Ed. 2d
881 (1994);
State v. Jennings, 333 N.C. 579, 627-28,
430 S.E.2d 188, 213-14,
cert. denied, 510 U.S. 1028,
126 L. Ed. 2d 602 (1993). Conversely, where the
aggravating circumstances are supported by separate
evidence, it is not error to submit both to the jury,
even though the evidence supporting each may overlap.
State v. Gay, 334 N.C. 467, 495, 434 S.E.2d 840, 856
(1993);
State v. Jones, 327 N.C. 439, 452, 396 S.E.2d
309, 316 (1990).
East, 345 N.C. at 553-54, 481 S.E.2d at 664. [S]ome overlap in
the evidence supporting each aggravating circumstance is
permissible so long as there is not a complete overlap of
evidence.
Call, 349 N.C. at 426, 508 S.E.2d at 523.
As to the (e)(5) circumstance, whether the murder was
committed while defendant was engaged in the commission of armed
robbery, the trial court instructed the jury to consider only:
[the] taking of the keys to the Bravada automobile, the
taking of the Bravada automobile and the VCR which was
in the family room . . . in considering this
aggravating factor. You may not consider the taking of
the credit card, Miss Joyce Miller's purse or the
checks of Miss Joyce Miller in order for the State to
prove this aggravating factor. Those items may be
considered on another aggravating factor which I'll
explain to you later, but you may not consider the
taking of the credit card, the checks or the purse of
Miss Joyce Miller when you consider this aggravating
circumstance.
As to the (e)(6) pecuniary gain circumstance, the trial judge
then instructed the jury to consider only the taking of the
credit card, checks and the purse of Miss Miller. He further
clarified that [y]ou may not consider the taking of the VCR, theautomobile -- that is the Bravada -- or the keys to the Bravada
automobile when you consider this aggravating factor. Those
items may only be considered for purposes of the armed robbery.
It is clear from the record that the trial court did not
allow the jury to find both aggravating circumstances using the
same evidence. Both circumstances were supported by sufficient,
independent evidence. The trial court properly instructed the
jury that it could not use the same evidence as the basis for
finding both the (e)(5) and (e)(6) circumstances. This argument
is rejected.
[27]In his twenty-second argument, defendant challenges the
prosecutor's statements to the jurors during jury selection
regarding the State's burden of proof. Defendant contends that
he is entitled to a new capital sentencing proceeding because the
prosecutor repeatedly told jurors during jury selection that the
State's burden of proof was beyond a reasonable doubt to the
satisfaction of the jury. Defendant argues that the prosecutor
misstated the standard, causing the jurors to believe that the
burden of proof was essentially satisfaction of the jury.
Defendant further argues that the misstatement confused the jury,
constituted plain error, and violated defendant's constitutional
right to a fundamentally fair sentencing hearing.
Defendant failed to object to the prosecutor's statements.
Defendant's failure to raise this issue in the trial court
constitutes waiver. N.C. R. App. P. 10(b)(2). 'This Court has
applied the plain error analysis only to instructions to the jury
and evidentiary matters.'
McNeil, 350 N.C. at 674, 518 S.E.2dat 497 (quoting
State v. Atkins, 349 N.C. 62, 81, 505 S.E.2d 97,
109 (1998),
cert. denied, 526 U.S. 1147, 143 L. Ed. 2d 1036
(1999)). Here, defendant assigns error to statements by the
prosecutor during jury selection to which he failed to object.
Therefore, defendant has waived appellate review of this issue.
This argument is rejected.
[28]In his twenty-third argument, defendant contends that
the trial court unconstitutionally chilled his right to testify.
The trial court addressed defendant as follows:
COURT: Mr. Davis, I just want to make an inquiry
on the record. Have you had an opportunity to discuss
with your lawyers about testifying in this matter?
DEFENDANT: Yes, sir.
COURT: You understand you have the right to
testify, and if you do testify, that you'll be subject
to being cross-examined on a variety of subject matters
limited only by my discretion of what's relevant. Do
you understand that?
DEFENDANT: Yes, sir.
COURT: As long as you've had that explained to
you by your lawyers and you've been advised about your
right, that's all I need to make an inquiry about.
Defendant argues that the trial court's instructions were
erroneous in that they did not give more specific details about
the rules that guide cross-examination.
We hold that the trial court properly instructed defendant
since the trial court did not attempt to give defendant detailed
instructions concerning the scope of cross-examination and did
not give an instruction inconsistent with any of the Rules of
Evidence.
State v. Davis, 349 N.C. 1, 31, 506 S.E.2d 455, 471
(1998),
cert. denied, 526 U.S. 1161, 144 L. Ed. 2d 219 (1999). Furthermore, the exchange above indicates that defendant had
discussed the consequences of testifying with his counsel.
See
Id.
Accordingly, we conclude that the trial court's instructions
were not erroneous and, therefore, did not impermissibly chill
defendant's right to testify. This argument is without merit.
[29]In his twenty-fourth and twenty-fifth arguments,
defendant contends that the trial court erred in denying his
motion to dismiss both charges of first-degree murder on the
grounds that the indictments: (1) failed to charge the elements
of first-degree murder, (2) failed to allege facts to increase
the maximum penalty for the crime, and (3) failed to allege
capital aggravating circumstances.
Defendant recognizes that this Court has held for many years
that the short-form murder indictment under N.C.G.S. § 15-144
is sufficient to allege first-degree murder under theories of
both premeditation and deliberation and felony murder.
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);
Brown, 320 N.C. at 191,
358 S.E.2d at 11;
State v. Avery, 315 N.C. 1, 14, 337 S.E.2d 786,
793 (1985). However, defendant contends that the decision in
Jones v. United States, 526 U.S. 227, 143 L. Ed. 2d 311 (1999),
brings our prior case law on short-form indictments into
question. We disagree.
We addressed in full and rejected this argument in
State v.
Wallace, 351 N.C. 481, 528 S.E.2d 326,
cert. denied, ___ U.S.
___, 148 L. Ed. 2d 498, 69 U.S.L.W. 3364 (2000), and reaffirmedour position in
State v. Braxton, 352 N.C. 158, 531 S.E.2d 428
(2000). In
Braxton, this Court examined the validity of short-
form indictments in light of
Jones, 526 U.S. 227, 143 L. Ed. 2d
311, and
Apprendi v. New Jersey, 530 U.S. 466, 147 L. Ed. 2d 435
(2000), and held that nothing in either case altered prior case
law on these matters.
Braxton, 352 N.C. at 175, 531 S.E.2d at
437-38
. Accordingly, we conclude that the short-form indictments
are constitutional. Defendant's arguments concerning the
validity of his indictments are without merit and are rejected.
[30]In his twenty-sixth argument, defendant contends that
the trial court erred in ordering defendant's mental health
expert, Dr. Noble, to prepare and disclose to the State a written
report of his findings and a copy of his handwritten notes of
interviews with defendant. Defendant contends that the trial
court's order exceeded the scope of N.C.G.S. § 15A-905(b) and
violated defendant's attorney-client and Fifth Amendment
privileges. We disagree.
N.C.G.S. § 15A-905 governs the procedures for court-ordered
pretrial discovery in criminal cases. The statute provides, in
relevant part:
If the court grants any relief sought by the defendant
under G.S. 15A-903(e), the 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 or of tests,
measurements or experiments made in connection with the
case, or copies thereof, within the possession and
control of the defendant which the defendant intends to
introduce in evidence at the trial or which were
prepared by a witness 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). In the case at hand, defendantrequested discovery from the State and was given open file access
to the State's files. Once defendant was given access to the
State's files, it was logical and permissible for the trial court
to order defendant's expert to prepare a written report and to
produce handwritten notes for the State's perusal pursuant to
N.C.G.S. § 15A-905(b). The trial court's order in this case
simply provided for the reciprocal discovery requirements under
N.C.G.S. § 15A-905(b) and did not exceed the scope of the
discovery statute.
See Atkins, 349 N.C. at 92-94, 505 S.E.2d at
116-17 (court order for defense expert to produce all reports
and all of his notes did not violate N.C.G.S. § 15A-905(b)). We
find no error in the trial court's order, which ensured fairness
to both sides in the preparation of their case.
[31]Defendant further contends that the trial court's order
violated defendant's attorney-client privilege and privilege
against self-incrimination. Defendant argues that the order
allowed the State to gain access to information that defendant
supplied to his attorney's agent, Dr. Noble, during and for the
purpose of the investigation and preparation of his defense. We
disagree.
Defendant's communications with Dr. Noble were not protected
by an attorney-client privilege. The attorney-client privilege
covers only confidential communications made by the client to
his attorney.
State v. Brown, 327 N.C. 1, 20, 394 S.E.2d 434,
446 (1990). However, [a] communication is covered by the
attorney-client privilege if it has been 'made in the course of
seeking or giving legal advice for a proper purpose.'
Jennings,333 N.C. at 611, 430 S.E.2d at 204 (quoting 1 Henry Brandis, Jr.,
Brandis on North Carolina Evidence § 62, 302 (3d ed. 1988)).
Nothing indicates that Dr. Noble examined or communicated with
defendant in the course of seeking or giving legal advice. We
are aware that '[d]isclosures made to the attorney's expert
should be equally unavailable, at least until he is placed on the
witness stand.'
State v. Ballard, 333 N.C. 515, 522, 428 S.E.2d
178, 182 (quoting
United States ex rel. Edney v. Smith, 425 F.
Supp. 1038, 1054 (E.D.N.Y. 1976),
aff'd, 556 F.2d 556 (2d Cir.),
cert. denied, 431 U.S. 958, 53 L. Ed. 2d 276 (1977)),
cert.
denied, 510 U.S. 984, 126 L. Ed. 2d 438 (1993). Even if
Dr. Noble were the agent of defendant's attorneys, he clearly
lost such privilege once he was placed on the witness stand.
Id.
Moreover, the trial court is always at liberty to compel
disclosure of privileged communications if it 'is necessary to a
proper administration of justice.'
East, 345 N.C. at 545, 481
S.E.2d at 660 (quoting N.C.G.S. § 8-53.3 (Supp. 1996)). We find
no abuse of the trial court's discretion in compelling disclosure
of the communications. Likewise, defendant's argument that the
order violated his Fifth Amendment privilege against self-
incrimination is feckless. Thus, this assignment of error is
without merit.
II. PRESERVATION ISSUES
Defendant raises four additional arguments that he concedes
have been previously decided contrary to his position, but asks
this Court to reconsider those decisions: (1) the trial court
committed reversible constitutional error by refusing to instructjurors that they must rather than may consider mitigating
circumstances when deciding Issues Three and Four during their
jury deliberations, (2) the trial court committed reversibleconstitutional error by placing the burden of proof on defendant
to satisfy the jury with respect to mitigating circumstances and
refusing to instruct jurors that proof by a preponderance of the
evidence is proof which indicates that it is more likely than not
that a mitigating circumstance exists, (3) the trial court
committed reversible constitutional error by erroneously
instructing the jurors that they could find that a mitigating
circumstance exists and simultaneously find that the mitigating
circumstance has no mitigating value, and (4) the trial court
committed reversible constitutional error by denying defendant's
motion
in limine to prohibit submission of the (e)(9) aggravating
circumstance and subsequently instructing the jury on this
factor.
After carefully considering defendant's arguments on these
issues, we find no compelling reason to depart from our prior
holdings. Accordingly, we reject these arguments.
III. PROPORTIONALITY
[32]Having concluded that defendant's capital sentencing
proceeding was free of prejudicial error, we turn now to duties
reserved exclusively for this Court in capital cases. It is our
duty under N.C.G.S. § 15A-2000(d)(2) to ascertain: (1) whether
the record supports the jury's finding of the aggravating
circumstances on which the sentence of death was based;
(2) whether the death sentence was entered under the influence of
passion, prejudice, or other arbitrary consideration; and
(3) whether the death sentence is excessive or disproportionate
to the penalty imposed in similar cases, considering both the
crime and the defendant. In the Miller murder, the following aggravating
circumstances were submitted to and found by the jury: (1) the
murder was committed while defendant was engaged in the
commission of armed robbery, N.C.G.S. § 15A-2000(e)(5); (2) the
murder was committed for pecuniary gain, N.C.G.S. §
15A-2000(e)(6); (3) the murder was especially heinous, atrocious,
or cruel, N.C.G.S. § 15A-2000(e)(9); and (4) the murder was part
of a course of conduct in which defendant engaged and which
included the commission by defendant of other crimes of violence
against other persons, N.C.G.S. § 15A-2000(e)(11). After
thoroughly examining the record, transcripts, and briefs in the
instant case, we conclude that the record fully supports the
aggravating circumstances submitted to and found by the jury.
Additionally, we find no indication that the sentence of death in
this case was imposed under the influence of passion, prejudice,
or any other arbitrary consideration. We now turn to our final
statutory duty of proportionality review.
[33]It is proper in our proportionality review to compare
the present case with other cases in which this Court has
concluded that the death penalty was disproportionate.
State v.
McCollum, 334 N.C. 208, 240, 433 S.E.2d 144, 162 (1993),
cert.
denied, 512 U.S. 1254, 129 L. Ed. 2d 895 (1994). We have found
the death penalty disproportionate in seven cases.
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,
cert. denied, 522 U.S. 900, 139 L.
Ed. 2d 177 (1997),
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 of the aforementioned cases where this Court has held that
the death penalty was disproportionate. Some distinguishing
characteristics of this case include: (1) defendant prevented
the victim from calling for help by pulling the phone cord from
the receptacle and hacking her to death; and (2) the jury found
four aggravating circumstances, in a combination that this Court
has never ruled to be disproportionate. However, it is not the
number of aggravating circumstances found by one jury that
controls the proportionality review. Rather, 'we will consider
the totality of the circumstances presented in each individual
case and the presence or absence of a particular [aggravating
circumstance] will not necessarily be controlling.'
Stokes, 319
N.C. at 23-24, 352 S.E.2d at 666 (quoting
Bondurant, 309 N.C. at
694 n.1, 309 S.E.2d at 183 n.1). There is no question regarding
specific intent to kill in the instant case, as there sometimes
is in felony murder cases. Here, defendant shot the victim and
then made it impossible for her to call for help or leave.
Moreover, Miller was shot at close range in her own home. This
Court has emphasized that a murder committed in the home
particularly shocks the conscience, not only because a life was
senselessly taken, but because it was taken by the surreptitious
invasion of an especially private place, one in which a person
has a right to feel secure.
Brown, 320 N.C. at 231, 358 S.E.2d
at 34,
quoted in State v. Adams, 347 N.C. 48, 77, 490 S.E.2d 220,236 (1997),
cert. denied, 522 U.S. 1096, 139 L. Ed. 2d 878
(1998).
It is also proper to compare this case to those where the
death sentence was found proportionate.
McCollum, 334 N.C. at
244, 433 S.E.2d at 164. However, it is unnecessary to cite every
case used for comparison.
Id.;
State v. Syriani, 333 N.C. 350,
400, 428 S.E.2d 118, 146,
cert. denied, 510 U.S. 948, 126 L. Ed.
2d 341 (1993). Whether the death penalty is disproportionate in
a particular case ultimately rest[s] upon the 'experienced
judgments' of the members of this Court.
State v. Green, 336
N.C. 142, 198, 443 S.E.2d 14, 47,
cert. denied, 513 U.S. 1046,
130 L. Ed. 2d 547 (1994).
In the instant case, defendant, after being taken into
Miller's home, stole from her and then, without adequate
provocation, furtively waited in her home for her to return so
that he could shoot her. While she was attempting to call for
help, defendant hacked her to death with a meat cleaver, in the
presence of her two foster children.
After comparing this case to other roughly similar cases as
to the crime and defendant, we cannot conclude as a matter of law
that the death penalty for the murder of Miller was excessive or
disproportionate. Accordingly, the judgment of the trial court
sentencing defendant to death must be left undisturbed.
NO ERROR.
Footnote: 1