1. Homicide--first-degree murder--sufficiency of evidence
The trial court did not err by denying defendant's motion to
dismiss a charge of first-degree murder for insufficient
evidence where the evidence was close and circumstantial; the
evidence on a motion to dismiss must be viewed in the light most
favorable to the State, including none of defendant's evidence
unless it is favorable to the State. Whether the trial court
erred by excluding evidence tending to exonerate defendant and
inculpate someone else is a different question.
2. Evidence--guilt of another--admissible
There was prejudicial error in a first-degree murder
prosecution where the trial court excluded evidence which cast
doubt upon the State's evidence that defendant was the
perpetrator of the crime and which implicated another person
beyond conjecture or mere implication. The evidence was relevant
and admissible and it is apparent that there is a reasonable
possibility of a different result had the trial court not erred.
N.C.G.S. § 8C-1, Rule 402; N.C.G.S. § 15A-1443(a).
Appeal as of right pursuant to N.C.G.S. § 7A-27(a) from a
judgment imposing a sentence of death entered by Smith
(W. Osmond), J., on 22 September 1998 in Superior Court, Wake
County, upon a jury verdict finding defendant guilty of
first-degree murder. Heard in the Supreme Court 17 October 2000.
Michael F. Easley, Attorney General, by David F. Hoke,
Assistant Attorney General, for the State.
James G. Exum, Jr., and Mary March Exum for defendant-
appellant.
FREEMAN, Justice.
We address two questions in this appeal of defendant's
conviction for murder -- first, whether the State's evidence was
sufficient to warrant its submission to the jury, and second,
whether certain evidence tending to exonerate defendant andimplicate another in this crime was erroneously excluded from the
jury's consideration. We conclude that the evidence, when viewed
in the light most favorable to the State, was sufficient to
warrant its submission to the jury and to sustain defendant's
conviction of murder in the first degree. But no matter how
ample and damning this evidence may be, when other evidence
tending to show the crime was perpetrated by another is
erroneously excluded from the jury's consideration, the
sufficiency of the remainder is eroded, the evidentiary
foundation for the conviction is unreliable, and the defendant is
entitled to a new trial.
The facts of this case, presented in the light most
favorable to the State, are as follows: The body of the victim,
an elderly lady, was found in the bedroom of her apartment by her
son on 13 December 1996. The victim had been bound and gagged,
and her bedroom apparently ransacked. The mattress was on the
floor; a checkbook cover and various papers apparently from the
victim's purse were strewn about; the dresser drawers were awry,
and such contents as jewelry, belts, and sewing articles had been
dumped on the floor and on the bed. The victim's empty change
purse, into which her son testified she typically put the money
he gave her, was on the mattress. Only in attempting to replace
the mattress did the son discover his mother's body. He called
emergency personnel, who found no vital signs and did not attempt
resuscitation. The victim's hands had been tightly tied behind
her back with a nightgown and a shoelace apparently from her own
shoe, found beside her under the mattress; her ankles had beentied with a nightgown; another was around her neck; and dried
blood had collected around her mouth, into which a sock had been
stuffed and tightly secured with a belt and a robe.
The bedroom was in disarray, but the remainder of the
apartment was orderly, and there were no signs of forced entry.
A briefcase containing a green toboggan, a chess set, and
religious books was sitting open on the living room sofa.
The State's forensic pathologist testified that the victim
had died of asphyxiation by strangulation and that the autopsy
could not rule out the evening of Tuesday, 10 December 1996, as a
time of death and as being perfectly consistent with the degree
of composition.
A neighbor from the Sir Walter Raleigh Apartments, where the
victim lived, reported to an investigating officer that she had
smelled cooking food coming from the victim's apartment the
morning of 10 December; another neighbor testified she had last
seen the victim in the apartment building that afternoon. A
surveillance videocamera mounted at the only entrance to the
apartment building showed the victim entering at 7:58 that night.
No portion of the videotape showed the victim leaving the
building after that time.
The videotape showed defendant entering the apartment
building at 9:24 p.m. on 10 December and leaving that night at
11:38. It did not show defendant entering or leaving the
building thereafter. A resident of the apartment building who
knew defendant recognized his image on the videotape and recalled
entering the building with him the night of the 10th and greetinghim. Defendant told him he was coming to visit a friend. He
knew defendant carried a briefcase.
Defendant could not be found after the warrant was issued
for his arrest, but he was located six months later in Newport
News, Virginia. In a statement taken there, defendant said that
he knew the victim and called her Auntie, and that he had been
in her apartment and had left his briefcase and chess set there.
Although he said he had been in Virginia the entire month of
December, he admitted that a surveillance camera photograph taken
on 10 December depicted him. The director of the Newport News
shelter said that records indicated defendant had checked into
the shelter on 19 December and had stayed there twenty-one
nights, but that defendant had not stayed there between the 10th
and the 13th of December.
A witness for the State testified that she had met defendant
in September 1996 in downtown Raleigh and had permitted him to
move into her apartment. He stayed there two or three weeks, but
she asked him to leave because he took money from her purse
twice, later admitting to her that he had done so. Defendant
subsequently called the witness several times, but she
immediately hung up the phone. Many hang-up calls were recorded
by her answering machine during the first part of December, one
being made, phone records showed, from the victim's apartment at
10:01 p.m. on December 10th.
A number of fingerprints -- one from the exterior door frame
of the victim's apartment; six on a pharmacy bag in the victim's
kitchen trash; and four, plus a partial bloody fingerprint, on afolded piece of paper found in the victim's bedroom -- were all
identified as belonging to defendant. The DNA profile of the
single bloody print matched defendant.
The trial court admitted some evidence offered by defendant
tending to exonerate him. This included the testimony of one
resident of the Sir Walter Raleigh Apartments that she had seen
the victim outside her door Wednesday morning, 11 December. A
second resident testified that he had seen the victim in the
lobby later the afternoon or evening of the 11th. Both admitted
on cross-examination that it could have been Tuesday,
10 December, not Wednesday, that they had seen the victim.
Conflicting evidence regarding the time of the victim's
death was also presented by defendant and elicited on cross-
examination of the forensic expert testifying for the State. In
his initial report, the State's forensic expert had stated the
time of death was Thursday, 12 December. This he later changed
to 11 December. He testified that death occurred thirty-six to
forty-eight hours before the body was refrigerated at the morgue
at 6:00 p.m. on 13 December. He never opined that the murder
occurred on the night of the 10th, but he stated merely that he
could not rule it out as a date of death. A forensic pathologist
testifying for the defense said that, although he could not
absolutely rule out 10 December as a time of death, he believed
it to be very unlikely. His evaluation of reports and
photographs of the body indicated to him the victim had more
likely died well into Wednesday or Thursday. These included
the EMT report that rigor mortis was present in the body when itwas found; as rigor mortis generally leaves the body within
twenty-four to thirty-six hours, its presence on 13 December
indicated that the victim had probably died on Wednesday or
Thursday, not on Tuesday night, 10 December.
Defendant presented evidence that he had been hospitalized from
28 November to 30 November to have a cyst removed from his neck.
Defendant's treating physician opined the cyst removal could have
led to minor bleeding, which defendant argues explains the bloody
fingerprint. Defendant also notes that investigators had lifted 134
fingerprints from the scene but had identified only one print in the
bedroom as belonging to him; of the remainder, eighty belonged to
the victim. A print on the top center of the headboard was
unidentifiable as either defendant's or the victim's, as were some
fifty to sixty prints lifted from the bedroom, including the dresser
from which the items used to strangle the victim presumably had been
taken. Altogether, only eleven prints, including those on the
pharmacy bag and receipt, belonged to defendant. Two latent
prints were found on a bottle of malt liquor in the victim's trash
can: one belonged to the victim; the other was not defendant's but
was otherwise unidentified. Likewise, a print on the right outside
of the bedroom door was neither defendant's nor the victim's.
Finally, defendant's evidence revealed that the witness with
whom defendant stayed for two weeks in November admitted on cross-
examination that defendant always returned the money he took from
her and that he had given her money he had earned, which she kept in
her purse.
Other evidence that defendant sought to introduce but that wasbarred by the trial court's rulings implicated another person,
Marvin Mitchell, as the perpetrator of this crime. According to
testimony proffered by the victim's son and granddaughter, Mitchell
was an ex-boyfriend of the victim's, who had a history of assaulting
her and stealing from her. The victim's son moved his mother into
the Sir Walter Raleigh Apartments because he feared for her safety.
His mother feared Mitchell and was disillusioned with the criminal
justice system because it had failed to detain Mitchell sufficiently
when she brought charges against him. The victim's granddaughter
would have testified that her grandmother, whom Mitchell had
assaulted as recently as late summer or early fall of 1996, was
afraid of him and that Mitchell took money from her all the time.
The granddaughter would have testified to Mitchell's assaults on her
grandmother during the period she lived with her grandmother -- from
the victim's black eye to Mitchell's breaking the glass of a window
in the victim's home and reaching through and grabbing her, holding
her by the hair. The latter precipitated the granddaughter's
decision to move out. The granddaughter would have testified that
she had seen Mitchell drink forty-oz. bottles of Schlitz malt
liquor, the same beverage as the bottle found in the victim's
kitchen trash with her fingerprints and those of someone else who
was not defendant. The granddaughter would also have testified that
she had met defendant one time and that her grandmother had
introduced him as their cousin.
Other evidence the jury was not permitted to hear included
officers' testimony that Mitchell had been a suspect in the city-
county investigation of the victim's murder. Although he stated toinvestigators that he had never been to the Sir Walter Raleigh
Apartments and did not even know where they were, Mitchell had been
seen there before by three other residents. Mitchell gave
investigators an alibi for the entire week of 9-13 December, yet he
was identified on the surveillance videotape by the victim's
granddaughter entering and leaving the Sir Walter Raleigh Apartments
twice during the week of the murder -- on 9 and 11 December. The
day the victim's body was discovered, Mitchell moved to another
residence.
[1]Defendant asserts on appeal that the trial court erred in
denying his motion to dismiss for insufficiency of evidence to
convict. We conclude the evidence of defendant's guilt as presented
to the jury was sufficient as a matter of law to support its doing
so. But the trial court's erroneous exclusion of evidence that
tended both to exonerate defendant and implicate another perpetrator
of the victim's murder so infects the evidence supporting conviction
that it cannot be said the error did not affect the outcome of
defendant's trial. See N.C.G.S. § 15A-1443(a) (1999).
When a defendant moves for dismissal based on insufficiency of
the evidence,
the trial court must determine whether there is
substantial evidence of each essential element of the
offense charged (or of a lesser offense included therein),
and of the defendant['s] being the one who committed the
crime. If that evidence is present, the motion to dismiss
is properly denied. 'Substantial evidence is such relevant
evidence as a reasonable mind might accept as adequate to
support a conclusion.' State v. Smith, 300 N.C. 71, 78-79,
265 S.E.2d 164, 169 (1980).
State v. McElrath, 322 N.C. 1, 366 S.E.2d 442 (1988) (quoting State
v. Bullard, 312 N.C. 129, 160, 322 S.E.2d 370, 387 (1984) (citationomitted).
In ruling on a motion to dismiss, the evidence must
be considered by the court in the light most favorable to
the State, and the State is entitled to every reasonable
inference to be drawn from the evidence. Contradictions
and discrepancies must be resolved in favor of the State,
and the defendant's evidence, unless favorable to the
State, is not to be taken into consideration. The test of
the sufficiency of the evidence on a motion to dismiss is
the same whether the evidence is direct, circumstantial,
or both. All evidence actually admitted, both competent
and incompetent, which is favorable to the State must be
considered.
Bullard, 312 N.C. at 160, 322 S.E.2d at 387-88 (citations omitted),
quoted in McElrath, 322 N.C. at 9-10, 366 S.E.2d at 447.
As in McElrath, the specific question before us is whether,
upon viewing all the evidence in the light most favorable to the
State and upon granting the State every reasonable inference to be
drawn from the evidence, a reasonable juror might accept the
evidence as adequate to support the conclusion this defendant was in
fact the perpetrator of this . . . crime. Id. at 10, 366 S.E.2d at
447 (citations omitted). And, as in McElrath, we answer this
question, yes.
The law's bias towards the State that governs the trial court's
appraisal of the evidence on defendant's motion to dismiss,
including its considering none of defendant's evidence unless it is
favorable to the State, supports the trial court's denial of such
motions even when the evidence is close and circumstantial. See
McElrath, 322 N.C. 1, 366 S.E.2d 442. Whether the trial court erred
in excluding from the jury's consideration such evidence,
unfavorable to the State's case, that defendant would otherwise have
presented tending to exonerate him and indicating another
perpetrator of this crime is, however, a different question,governed by different rules of law. Rule 401 of the North Carolina
Rules of Evidence and cases construing it address this genre of
question. The admissibility of evidence of the guilt of one other
than the defendant is governed now by the general principle of
relevancy [stated in Rule 401.] State v. Cotton, 318 N.C. 663,
667, 351 S.E.2d 277, 280 (1987).
[2]The rule of relevancy for evidence of this nature is that
it must do more than cast doubt over the defendant's guilt merely
because it is possible some other person could have been responsible
for the crime with which he has been charged.
Evidence that another committed the crime for which the
defendant is charged generally is relevant and admissible
as long as it does more than create an inference or
conjecture in this regard. It must point directly to the
guilt of the other party. Under Rule 401 such evidence
must tend both to implicate another and be inconsistent
with the guilt of the defendant.
Id. at 667, 351 S.E.2d at 279-80 (citations omitted). In Cotton,
three sexual assaults had occurred in the vicinity where the victim
lived of whose assault the defendant was convicted. One of the
other victims described an assailant of the same physical type as
the defendant, dressed similarly; and, most notably, a modus
operandi so similar to the other two that the jury reasonably could
have concluded that the three attacks were committed by the same
person. Id. at 667, 351 S.E.2d at 280. But the court excluded the
other victim's positive identification of another perpetrator, even
though the victim of the crime charged to defendant was equivocal in
identifying him as her assailant. Doing so, we held, was
prejudicial error. Cf. State v. Annadale, 329 N.C. 557, 406 S.E.2d
837 (1991) (crimes committed by another person with modus operandisimilar to offense with which the defendant charged correctly
determined insufficiently similar and too remote in time).
In State v. McElrath, the defendant was precluded from
introducing a map -- evidence of a larceny scheme in which his
murdered son-in-law and companions appeared to be involved. We held
that the preclusion was error. Such evidence casts doubt upon the
State's evidence that defendant was the killer and suggests instead
an alternative scenario for the victim's ultimate demise. 322 N.C.
at 14, 366 S.E.2d at 449.
In State v. Rose, by contrast, a detective responding to a
question whether he had an opinion as to the number of persons
involved in the murders said he had believed, immediately after the
murders, that a particular, named individual other than the
defendant had knowledge of the murders and might have been involved.
339 N.C. 172, 451 S.E.2d 211 (1994), cert. denied, 515 U.S. 1135,
132 L. Ed. 2d 818 (1995). We noted that, absent evidence
exculpating the defendant, this opinion was mere conjecture of
another's involvement, not evidence that another person had
committed the murders. Id.; see also State v. Hamilton, 351 N.C.
14, 20, 519 S.E.2d 514, 518 (1999) (evidence of knife threat to
victim ten years before murder did not point directly to guilt of
that person as perpetrator), cert. denied, 529 U.S. 1102, 146 L. Ed.
2d 783 (2000); State v. Moseley, 338 N.C. 1, 449 S.E.2d 412 (1994)
(no error in excluding testimony about dark hair found under
fingernail of victim when it failed to point directly to another's
guilt and was not inconsistent with that of the defendant), cert.
denied, 514 U.S. 1091, 131 L. Ed. 2d 738 (1995); State v. Brewer,325 N.C. 550, 386 S.E.2d 569 (1989) (excluded testimony concerning
suspicious occupants of a car similar to another on same back road,
one of which was involved in car chase and shootings, and one of
which was allegedly driven by the deputy's son, gave rise to no more
than speculation and conjecture), cert. denied, 495 U.S. 951, 109 L.
Ed. 2d 541 (1990).
'Evidence which tends to show nothing more than that someone
other than the accused had an opportunity to commit the offense,
without tending to show that such person actually did commit the
offense and that therefore the defendant did not do so, is too
remote to be relevant and should be excluded.' Brewer, 325 N.C. at
564, 386 S.E.2d at 576, (quoting State v. Britt, 42 N.C. App. 637,
641, 257 S.E.2d 468, 471 (1979)). But defendant's excluded evidence
in the case before us is significantly different. Here, defendant
not only proffered evidence that someone other than he had the
opportunity to kill the victim, but proffered the identity of that
person and a history of his violent, recent dealings with her. That
person had both the opportunity to kill her -- pictured as he was
on the surveillance videotape entering and leaving the victim's
apartment the evening of 11 December -- and, given his history with
the victim, a possible motive. The State's evidence of defendant's
own guilt was circumstantial, although ample evidence supported his
recent interaction with the victim. Equally ample was excluded
evidence of Marvin Mitchell's own recent interaction with her, and
the history of his dealings with her point to more sinister motives
than any left behind in defendant's fingerprints or personal
effects. Relevant evidence is, as a general matter, admissible. N.C.G.S. § 8C-1, Rule 402 (1999). [T]he standard [of relevance] in
criminal cases is particularly easily satisfied. 'Any evidence
calculated to throw light upon the crime charged' should be admitted
by the trial court.' McElrath, 322 N.C. at 13, 366 S.E.2d at 449
(quoting State v. Huffstetler, 312 N.C. 92, 104, 322 S.E.2d 110, 118
(1984), cert. denied, 471 U.S. 1009, 85 L. Ed. 2d 169 (1985)).
Because the excluded evidence cast doubt upon the State's
evidence that defendant was the perpetrator of this crime and
because it implicated another person as that perpetrator beyond
conjecture or mere implication, it was relevant and admissible. We
hold that the trial court erred in barring its admission. Further,
it is apparent from the equivocal evidence of defendant's guilt and
other, excluded evidence of Marvin Mitchell's involvement with the
victim that, had the trial court not so erred, there is a
reasonable possibility that a different result would have been
reached at the trial out of which [this] appeal arises. N.C.G.S. §
15A-1443(a).
For these reasons, we hold that defendant is entitled to a new
trial in this case.
NEW TRIAL.
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