**FINAL**
ROBERT BACON, RICHARD CAGLE, AND ELTON McLAUGHLIN v. R. C. LEE, WARDEN OF
CENTRAL PRISON, MICHAEL F. EASLEY, GOVERNOR OF NORTH CAROLINA, & ROY
COOPER, ATTORNEY GENERAL OF NORTH CAROLINA
No. 209A91-4
(Filed 2 August 2001)
1. Constitutional Law--North Carolina--due process--clemency procedu
res--Governor was former
Attorney General
A plaintiff's attempt to impose additional constraints upon the Governor of North Carolina's discharge of
clemency powers arising from alleged violations of plaintiff's due process rights, based on the fact that the
Governor previously served as Attorney General of North Carolina and therefore counsel of record for the State
during the majority of plaintiff's appellate and post-conviction proceedings, is unpersuasive and the trial court
erred by restraining the Governor's consideration of plaintiff's clemency request in a capital case because: (1)
clemency proceedings are conducted by the executive branch under its discretionary authority, independent of
direct appeal and collateral relief proceedings; (2) minimal due process applicable to state clemency procedures
do not include the right of an inmate seeking clemency to have his or her request reviewed by a Governor
possessing the level of impartiality normally required of a judge presiding over an adjudicatory proceeding; (3)
plaintiff received notice of clemency procedures and he has fully availed himself of these procedures; (4) plaintiff
has not alleged that the Governor has or will render a decision in a manner that violates plaintiff's rights; (5)
despite the potential for the Governor's previous roles influencing his clemency determinations, the people of
North Carolina have opted to vest their elected Governor with virtually plenary clemency authority under Article
III, Section 5(6) of the North Carolina Constitution; and (6) the Rule of Necessity reveals that the Governor
cannot delegate the exercise of the clemency authority under Article III, Section 5(6) of our Constitution, and
there is no evidence that the Lieutenant Governor is required to act based on the Governor's inability to perform
his duties.
2. Constitutional Law--equal protection--cruel and unusual punishmen
t--clemency procedures--
Governor was former Attorney General
A plaintiff's attempt to impose additional constraints upon the Governor of North Carolina's discharge of
clemency powers arising from alleged violations of plaintiff's equal protection rights and right to be free from
cruel and unusual punishment under the United States Constitution, based on the fact that the Governor
previously served as Attorney General of North Carolina and therefore counsel of record for the State during the
majority of plaintiff's appellate and post-conviction proceedings, is unpersuasive and the trial court erred by
restraining the Governor's consideration of plaintiff's clemency request in a capital case because: (1) plaintiff
cannot show that he has been or will be treated differently than other similarly situated death row inmates for
purposes of pursuing clemency; and (2) plaintiff's basic premise that clemency is constitutionally required in a
capital punishment system is erroneous as a matter of law.
3. Constitutional Law--North Carolina--law of the land clause--cleme
ncy procedures--Governor was
former Attorney General
A plaintiff's attempt to impose additional constraints upon the Governor of North Carolina's discharge of
clemency powers under the North Carolina Constitution arising under the law of the land clause of Article 1,
based on the fact that the Governor previously served as Attorney General of North Carolina and therefore
counsel of record for the State during the majority of plaintiff's appellate and post-conviction proceedings, is
unpersuasive and the trial court erred by restraining the Governor's consideration of plaintiff's clemency request
in a capital case because due process rights that apply to clemency procedures in North Carolina extend no
further than the minimal safeguards for due process rights. On writ of certiorari pursuant to N.C.G.S. § 7A-32(
b) to review
an order issued 15 May 2001 by LaBarre, J., in Superior Court, Wake County,
restraining the Governor of North Carolina, Michael F. Easley, from
considering the clemency request of plaintiff Robert Bacon. Heard in the
Supreme Court 7 June 2001.
Thomas F. Loflin III for plaintiff-appellees; J. Kirk Osborn for
plaintiff-appellee McLaughlin; and Stephen R. Greenwald, pro hac
vice, for plaintiff-appellees Bacon and McLaughlin.
Roy A. Cooper, Attorney General, by Barry S. McNeill, Edwin W.
Welch, and Valérie B. Spalding, Special Deputy Attorneys General,
for defendant-appellants.
MARTIN, Justice.
Plaintiffs instituted the instant civil action to challenge the
constitutionality of the Governor's exercise of his clemency power under
Article III, Section 5(6) of the Constitution of North Carolina.
(See footnote 1)
Plaintiff Robert Bacon (Bacon) was convicted of the first-degree
murder of Glennie Leroy Clark at the 18 May 1987 Criminal Session of
Superior Court, Onslow County. After a capital sentencing proceeding, the
jury recommended a sentence of death, and the trial court entered judgment
in accordance with that recommendation. On 5 April 1990 this Court found
no error in Bacon's first-degree murder conviction but remanded the case to
the trial court for a new capital sentencing proceeding. State v. Bacon,
326 N.C. 404, 390 S.E.2d 327 (1990). On 19 February 1991 a second jury
recommended the death penalty, and the trial court entered judgment in
accordance with that recommendation. On 29 July 1994 this Court found no
error in Bacon's capital sentencing proceeding. State v. Bacon, 337 N.C.
66, 446 S.E.2d 542 (1994). On 21 February 1995 the United States SupremeCourt denied Bacon's petition for writ of certiorari. Bac
on v. North
Carolina, 513 U.S. 1159, 130 L. Ed. 2d 1083 (1995).
On 25 September 1995 Bacon filed a motion for appropriate relief
(MAR) in Superior Court, Onslow County. On 20 November 1995 the trial
court denied Bacon's MAR. On 15 February 1996 Bacon filed a motion to
reconsider the denial of his MAR. The trial court granted Bacon's motion
and heard oral argument. On 10 May 1996 the trial court issued an order
denying all claims within Bacon's MAR. On 7 February 1997 this Court
denied Bacon's petition for writ of certiorari to review the trial court's
order. State v. Bacon, 345 N.C. 348, 483 S.E.2d 179 (1997). On 6 October
1997 the United States Supreme Court denied Bacon's petition for writ of
certiorari. Bacon v. North Carolina, 522 U.S. 843, 139 L. Ed. 2d 75
(1997).
On 26 November 1997 Bacon filed a petition for writ of habeas
corpus in the United States District Court for the Eastern District of
North Carolina. That court granted the writ as to Bacon's claim of
ineffective assistance of counsel. Bacon and the State of North Carolina
both appealed to the United States Court of Appeals for the Fourth Circuit.
On 30 August 2000 the Fourth Circuit reversed the district court on Bacon's
claim of ineffective assistance of counsel and otherwise affirmed the
district court's denial of relief. Bacon v. Lee, 225 F.3d 470 (4th Cir.
2000). On 26 March 2001 the United States Supreme Court denied Bacon's
petition for writ of certiorari. Bacon v. Lee, ___ U.S. ___, 149 L. Ed. 2d360 (2001). On 9 May 2001 Bacon submitted a clemency req
uest to the
Governor of North Carolina.
Governor Easley served as Attorney General of North Carolina from
January 1993 to January 2001 and therefore served as counsel of record for
the State of North Carolina during the majority of Bacon's appellate and
post-conviction proceedings.
Plaintiff Richard Cagle (Cagle) was convicted of the first-degree
murder of Dennis Craig House and was thereafter sentenced to death at the
15 June 1995 Criminal Session of Superior Court, Cumberland County. On
24 July 1997 this Court found no error in Cagle's first-degree murder
conviction and death sentence. State v. Cagle, 346 N.C. 497, 488 S.E.2d
535 (1997). On 15 December 1997 the United States Supreme Court denied
Cagle's petition for writ of certiorari. Cagle v. North Carolina, 522 U.S.
1032, 139 L. Ed. 2d 614 (1997).
Cagle filed a MAR in 1998, which the trial court denied in 2000.
Cagle filed a motion to reconsider the denial of his MAR in March 2000,
which was denied in November 2000. On 11 January 2001 the trial court
entered an amended order dismissing Cagle's MAR upon reconsideration.
Governor Easley served as Attorney General of North Carolina and
therefore served as counsel of record for the State of North Carolina
during Cagle's appellate and post-conviction proceedings from 1995 until
January 2001.
Plaintiff Elton McLaughlin (McLaughlin) was convicted of the
first-degree murders of James Elwell Worley, Shelia Denise Worley, and
Psoma Wine Baggett at the 10 September 1984 Special Session of Superior
Court, Bladen County. After a capital sentencing proceeding, the trial
court sentenced McLaughlin to death for the James Worley murder and to life
imprisonment for the other two murders. On 7 September 1988 this Court
found no error in McLaughlin's convictions and sentences. State v.McLaughlin, 323 N.C. 68, 372 S.E.2d 49 (1988). The United States
Supreme
Court thereafter granted certiorari and vacated the death
sentence in light of McKoy v. North Carolina, 494 U.S. 433, 108
L. Ed. 2d 369 (1990). McLaughlin v. North Carolina, 494 U.S.
1021, 108 L. Ed. 2d 601 (1990).
On 3 October 1991 this Court remanded the case for a
new capital sentencing proceeding. State v. McLaughlin, 330 N.C.
66, 408 S.E.2d 732 (1991). McLaughlin was again sentenced to
death in 1993. On 8 September 1995 this Court found no error in
his second capital sentencing proceeding. State v. McLaughlin,341 N.C. 426, 462 S.E.2d 1 (1995). On 20 February 1996 the
United States Supreme Court denied McLaughlin's petition for writ
of certiorari. McLaughlin v. North Carolina, 516 U.S. 1133, 133
L. Ed. 2d 879 (1996).
In 1997 McLaughlin filed a MAR in Superior Court,
Bladen County, which the trial court denied in 1998. On 24 June
1999 this Court denied McLaughlin's petition for writ of
certiorari to review the trial court's order denying his MAR.
State v. McLaughlin, 537 S.E.2d 489 (N.C. 1999). On 19 November
1999 the United States Supreme Court denied McLaughlin's petition
for writ of certiorari. McLaughlin v. North Carolina, 528 U.S.
1025, 145 L. Ed. 2d 418 (1999). McLaughlin has since initiated
habeas corpus proceedings in the United States District Court for
the Eastern District of North Carolina.
Governor Easley served as District Attorney for the
Thirteenth Prosecutorial District, which includes Bladen County,
from 1982 to 1992. In this capacity he served as the local
prosecutor at McLaughlin's trial in 1984. As noted above, the
United States Supreme Court vacated McLaughlin's 1984 death
sentence in 1990. McLaughlin v. North Carolina, 494 U.S. 1021,
108 L. Ed. 2d 601. McLaughlin received his second death sentence
in 1993. The imposition of this death sentence, as well as part
of McLaughlin's appeal and post-conviction proceedings arising
therefrom, occurred during Governor Easley's service as Attorney
General of North Carolina.
On 11 May 2001 plaintiffs instituted the instant civil
action with the filing of a complaint entitled, Class Action:Complaint for Temporary, Preliminary & Permanent Injunctive
Relief & for a Declaratory Judgment. Named defendants include
R. C. Lee, Warden of Central Prison in Raleigh; Michael F.
Easley, Governor of North Carolina; and Roy Cooper, Attorney
General of North Carolina.
Plaintiffs allege in their first claim for relief that
they have the right to petition for [executive] clemency at any
time after conviction, pursuant to Art. III, § 5(6) of the North
Carolina Constitution, and that they have a due process right
under Article I, Sections 1, 19, 21, 27, and 35 of the North
Carolina Constitution and the Eighth and Fourteenth Amendments to
the United States Constitution for their clemency petition to be
considered and decided by a neutral and impartial decision maker,
untainted by his prior participation in [any] Plaintiff's
prosecution. Plaintiffs allege that because Governor Easley
was the Attorney General of North Carolina throughout part, or
all, of each and every Plaintiff's appellate and post-conviction
review proceedings in state and/or federal court, and was also
the local prosecutor in the initial trial proceedings of
Plaintiff McLaughlin, he has an inherent conflict of interest
that precludes him from fairly considering any Plaintiff's
clemency request, and [therefore] does not qualify as a neutral
and impartial decision maker.
Plaintiffs' second claim for relief is grounded in
each of the Plaintiffs' [sic] cognizable liberty interest in his
continued life and existence, and his right, under the North
Carolina Constitution and the U.S. Constitution, to equalprotection of law against deprivation of such cognizable
interest. Plaintiffs further allege, upon information and
belief, that there is a class of five convicted capital
defendants under sentence of death in North Carolina who were not
involved in litigation in opposition to the Attorney General's
Office when Defendant Easley was the Attorney General.
According to plaintiffs, Governor Easley may consider clemency
petitions originating from that class of five death row inmates
without violating those inmates' due process rights. In
contrast, because of previous proceedings involving Governor
Easley and the class consisting of plaintiffs and putative class
members, clemency requests arising from within this class of
persons will be considered and decided by a party who does not
qualify as a neutral and impartial decision maker, resulting in
unconstitutionally disparate treatment and a denial of equal
protection of the law under Art. I, §§ 1, 19, 21, 27 & 35 of the
North Carolina Constitution and under the Eighth [Amendment] and
equal protection and due process clauses of the Fourteenth
Amendment to the U.S. Constitution.
Plaintiffs, in their third claim for relief, allege a
cruel and unusual punishment [claim] under the Eighth and
Fourteenth Amendments to the U.S. Constitution, and under Art. I,
§§ 19 & 27 of the North Carolina Constitution.
In their prayer for relief, plaintiffs seek injunctive
relief and entry of a declaratory judgment that the exercise of
the power of clemency by Defendant Easley with respect to any of
the Plaintiffs would constitute a violation of such Plaintiff'srights to due process, equal protection of the law and freedom
from cruel and unusual punishment under the state and federal
constitutions, and in violation of 42 U.S.C. § 1983.
On 14 May 2001 defendants filed a response in the trial
court alleging plaintiffs were not entitled to relief as a matter
of law. On 15 May 2001 the trial court issued a temporary
restraining order that stayed Bacon's execution scheduled for
18 May 2001 and restrained Governor Easley from considering
Bacon's clemency request. Also, on 15 May 2001, defendants filed
directly in this Court their Emergency Petitions for Writs of
Certiorari, Prohibition & Supersedeas, and Motion to Vacate
Superior Court's Order and to Dismiss Bacon's Civil Complaint,
to which plaintiffs filed a response.
On 15 May 2001 this Court, pursuant to N.C. R. App.
P. 2, vacated the trial court's temporary restraining order to
the extent it prohibited or restrained the Governor of North
Carolina from conducting a clemency hearing in Bacon's case under
Article III, Section 5(6) of the Constitution of North Carolina.
Later that day, Governor Easley met with attorneys and
representatives for Bacon and with attorneys for the State of
North Carolina.
(See footnote 2)
On 17 May 2001 this Court, in the exercise of its
supervisory authority pursuant to Article IV of the Constitution
of North Carolina and N.C. R. App. P. 2, entered an order
allowing the defendants' emergency petition for writ ofcertiorari, staying any further proceedings in the trial court,
and calendaring this matter for oral argument before this Court
on 7 June 2001. In its order, the Court expressed no opinion as
to the merit, or lack of merit, of Plaintiffs' legal challenge to
the Governor's power of executive clemency under Article III,
Section 5(6) of the Constitution of North Carolina.
I.
Before addressing the allegations raised in the instant
complaint, we briefly consider the background of the doctrine of
executive clemency and the justiciability of clemency procedures.
First, the genesis of executive clemency in the United States is
found in the English common law. See, e.g., Herrera v. Collins,
506 U.S. 390, 411-12, 122 L. Ed. 2d 203, 224 (1993); Schick v.
Reed, 419 U.S. 256, 262, 42 L. Ed. 2d 430, 436 (1974); Ex parte
Grossman, 267 U.S. 87, 110, 69 L. Ed. 527, 531 (1925); United
States v. Wilson, 32 U.S. (7 Pet.) 150, 160, 8 L. Ed. 640, 643-44
(1833). In Wilson, Chief Justice Marshall stated:
As this power had been exercised from
time immemorial by the executive of that
nation whose language is our language, and to
whose judicial institutions ours bear a close
resemblance; we adopt their principles
respecting the operation and effect of a
pardon, and look into their books for the
rules prescribing the manner in which it is
to be used by the person who would avail
himself of it.
32 U.S. (7 Pet.) at 160, 8 L. Ed. at 643-44.
In England the power to grant pardons belonged almost
exclusively to the Monarch. See Schick, 419 U.S. at 260-62, 42
L. Ed. 2d at 435-36 (by 1787 the English prerogative to pardon
was unfettered except for a few specifically enumeratedlimitations such as impeachments). Traditionally, the exercise
of clemency authority has been considered a matter of grace,
see, e.g., Ohio Adult Parole Auth. v. Woodard, 523 U.S. 272,
280-81, 140 L. Ed. 2d 387, 396 (1998), or an act of grace, see,
e.g., Wilson, 32 U.S. (7 Pet.) at 160, 8 L. Ed. at 644. Clemency
was designed to give the executive the authority to exempt the
individual on whom it is bestowed from the punishment the law
inflicts for a crime he has committed. Id. In Ex parte
Grossman, the United States Supreme Court observed that clemency
may afford relief from [the] undue harshness or evident mistake
in the operation or enforcement of the criminal law. 267 U.S.
at 120, 69 L. Ed. at 535.
The United States Supreme Court recently reaffirmed the
traditional conception of clemency as an Executive Branch
function separate from adjudicatory proceedings within the
Judicial Branch. See Herrera, 506 U.S. at 411-13, 122 L. Ed. 2d
at 224-25. The Court noted that one of the great advantages of
clemency in England was 'that there is a magistrate, who has it
in his power to extend mercy, wherever he thinks it is deserved:
holding a court of equity in his own breast, to soften the rigour
of the general law, in such criminal cases as merit an exemption
from punishment.' Id. at 412, 122 L. Ed. 2d at 224 (quoting 4
William Blackstone, Commentaries on the Laws of England *397).
Consequently, pardon and commutation decisions have not
traditionally been the business of courts; as such, they are
rarely, if ever, appropriate subjects for judicial review. Connecticut Bd. of Pardons v. Dumschat, 452 U.S. 458, 464, 69 L.
Ed. 2d 158, 165 (1981).
We observe that all fifty states have incorporated
clemency provisions in their respective constitutions.
(See footnote 3)
The
people of North Carolina have vested their Governor with
virtually absolute clemency authority since the adoption of their
first Constitution in 1776. See N.C. Const. of 1776, § XIX
([T]he Governor . . . shall have the Power of granting Pardons
and Reprieves, except where the Prosecution shall be carried on
by the General Assembly . . . .). In that first Constitution,
the people vested the pardon and reprieve power exclusively in
the Governor, their executive. In the Constitution of 1868, the
people of North Carolina again vested their executive with
plenary authority to grant reprieves, commutations, and pardons,
after conviction, for all offences, (except in cases ofimpeachment,) upon such conditions as he may think proper
. . . . N.C. Const. of 1868, art. III, § 6. Under the
Constitution of 1971, the third and present State Constitution,
the power to grant pardons, reprieves, and commutations continues
to be the exclusive prerogative of the executive. The
Constitution provides in part:
The Governor may grant reprieves,
commutations, and pardons, after conviction,
for all offenses (except in cases of
impeachment), upon such conditions as he may
think proper, subject to regulations
prescribed by law relative to the manner of
applying for pardons.
N.C. Const. art. III, § 5(6).
(See footnote 4)
Plaintiffs contend that the United States Supreme Court
effectively overruled its prior jurisprudence regarding
executive clemency procedures in Ohio Adult Parole Auth. v.
Woodard, 523 U.S. 272, 140 L. Ed. 2d 387 (1998). According to
plaintiffs, Woodard completely changed the landscape, and swept
away the precedential value of any cases decided before it that
turned on the notion that clemency proceedings were immune from
due process safeguards. In Woodard, the defendant was sentenced to death in the
state courts of Ohio for an aggravated murder committed in the
course of a carjacking. Woodard, 523 U.S. at 277, 140 L. Ed. 2d
at 393. When he failed to obtain a stay of execution more than
forty-five days prior to his scheduled execution date, the Ohio
Adult Parole Authority (the Authority) informed the defendant,
with three days' notice, that on 9 September 1994 he could have a
clemency interview, followed by a hearing on 16 September. Id.
at 277, 289, 140 L. Ed. 2d at 394, 401. In response, the
defendant did not request an interview but instead objected to
the proposed date for the interview and requested that his
counsel be permitted to attend, and participate in, the clemency
interview and hearing. Id. at 277, 140 L. Ed. 2d at 394. The
Authority failed to respond to the defendant's requests. Id. On
14 September 1994 the defendant filed suit in the United States
District Court for the Southern District of Ohio alleging that
Ohio's clemency process violated, among other things, his
Fourteenth Amendment due process rights. Woodard v. Ohio Adult
Parole Auth., 107 F.3d 1178, 1181-82 (6th Cir. 1997).
The district court granted the State of Ohio's motion
for judgment on the pleadings. Id. at 1181. On appeal, the
United States Court of Appeals for the Sixth Circuit affirmed in
part and reversed in part. Id. at 1194. The court determined
that there was no federally created life or liberty interest in
clemency. Id. at 1183-84 (relying on Dumschat, 452 U.S. at 464-
65, 69 L. Ed. 2d at 164-66). Because the Governor's decision to
grant clemency remained within his sole discretion, regardless ofthe Authority's recommendation, the court also determined that
the defendant did not have any state-created life or liberty
interest in clemency. Id. at 1184-85. The court then considered
a second strand of due process analysis center[ed] on the role
of clemency in the entire punitive scheme. Id. at 1186.
Relying on Evitts v. Lucey, 469 U.S. 387, 393, 83 L. Ed. 2d 821,
827 (1985), the Sixth Circuit observed that [t]he Constitution
does not require a state . . . to provide a system of appeals,
but if the state chooses to do so, the appeal, too, must comply
with the basic requirements of due process. Woodard, 107 F.3d
at 1186. According to the court, this reasoning applied to other
post-conviction avenues of relief made available by the
government, including clemency. Id. The court determined that
due process at the clemency stage will necessarily be minimal
. . . because of the great distance from the truly fundamental
process. Id. at 1187. As a result, the Sixth Circuit remanded
the case to the district court to address defendant's due process
claim under this second strand of due process analysis. Id. at
1188.
The United States Supreme Court reversed the Sixth
Circuit's decision. The Court's principal opinion, a plurality
opinion of four justices authored by Chief Justice Rehnquist,
reaffirmed the Dumschat holding -- that clemency decisions 'have
not traditionally been the business of courts; as such, they are
rarely, if ever, appropriate subjects for judicial review.'
Woodard, 523 U.S. at 276, 140 L. Ed. 2d at 395-96 (quoting
Dumschat, 452 U.S. at 464, 69 L. Ed. 2d at 165). According tothe principal opinion, [c]lemency proceedings are not part of
the trial -- or even of the adjudicatory process. They do not
determine the guilt or innocence of the defendant . . . . They
are conducted by the executive branch, independent of direct
appeal and collateral relief proceedings. Id. at 284, 140 L.
Ed. 2d at 398. If the procedural constraints that Woodard
requested were implemented, the executive's clemency authority
would cease to be a matter of grace committed to the executive
authority. Id. at 285, 140 L. Ed. 2d at 399. Accordingly, the
Court determined that Ohio's clemency procedures did not violate
the Fourteenth Amendment Due Process Clause. Id. at 288, 140 L.
Ed. 2d at 400-01.
Justice O'Connor, concurring by separate opinion,
determined that a prisoner under a death sentence retains a life
interest after proper conviction to which due process safeguards
attach. Id. at 289, 140 L. Ed. 2d at 401 (O'Connor, J.,
concurring). She concluded that some minimal procedural
safeguards apply to clemency proceedings. Id. Judicial
intervention might, for example, be warranted in the face of a
scheme whereby a state official flipped a coin to determine
whether to grant clemency, or in a case where the State
arbitrarily denied a prisoner any access to its clemency
process. Id. Justice O'Connor ultimately concluded, however,
that none of the defendant's allegations amount[ed] to a due
process violation as a matter of law. See id. at 290, 140 L.
Ed. 2d at 402 (no remand to district court necessary in order to
make factual determinations on Woodard's due process claim). Justice Stevens, concurring in part and dissenting in
part, stated that a prisoner retained a life interest protected
by the Due Process Clause. Id. at 292, 140 L. Ed. 2d at 403
(Stevens, J., concurring in part and dissenting in part). He
concluded that because clemency proceedings involved the final
stage of the decisional process that precedes an official
deprivation of life, they must satisfy the basic requirements of
due process. Id. at 295, 140 L. Ed. 2d at 405. Accordingly,
Justice Stevens stated in dissent that the case should be
remanded to the district court to determine whether Ohio's
procedures meet the minimum requirements of due process. Id.
Justice O'Connor's concurring opinion represents the
holding of the Court because it was decided on the narrowest
grounds and provided the fifth vote. See Romano v. Oklahoma, 512
U.S. 1, 9, 129 L. Ed. 2d 1, 11 (1994) (the Court acknowledged the
fifth vote and concurrence on narrow grounds is controlling);
Gregg v. Georgia, 428 U.S. 153, 169 n.15, 49 L. Ed. 2d 859, 872
n.15 (1976) (the holding of the Court may be viewed as that
position taken by those Members who concurred in the judgments on
the narrowest grounds). Three justices joined in the principal
opinion authored by Chief Justice Rehnquist, and three justices
concurred in Justice O'Connor's concurring opinion. Thus, eight
justices essentially concluded that Woodard's due process
allegations failed as a matter of law.
II.
[1]/A HREF>The primary question presented by the instant case
is whether Governor Easley's consideration of clemency requestsfrom plaintiffs or putative class members violates the Fourteenth
Amendment Due Process Clause in light of the Woodard decision.
More particularly, we must determine whether the minimal due
process applicable to state clemency procedures includes the
right of an inmate seeking clemency to have his or her request
reviewed by an executive possessing the level of impartiality
normally required of a judge presiding over an adjudicatory
proceeding.
As a preliminary matter, we note that, pursuant to
Article III, Section 5(6) of the State Constitution, the Governor
may grant clemency at any time after conviction. N.C. Const.
art. III, § 5(6). Nevertheless, we take judicial notice of the
fact that the executive in North Carolina does not ordinarily
consider clemency requests in capital cases until the applicant
has exhausted all avenues of relief within the federal and state
judiciary. We recognized this custom and practice of the
executive in our order of 17 May 2001, where we observed that
Woodard claims will normally only be raised after finality has
attached to the capital murder conviction in our criminal courts
and the condemned inmate has made his [or her] final plea for
mercy to the Governor.
Apart from Bacon, the instant record does not reflect
that Cagle, McLaughlin, or any putative class member has
exhausted his or her federal and state post-conviction remedies.
In the absence of this threshold showing, the claims asserted by
these named plaintiffs and putative class members are not ripe
for review. Cf. United States v. Smith, 96 F.3d 1350, 1351 (11thCir. 1996) (per curiam); Samra v. State, 771 So. 2d 1108, 11
17
(Ala. Crim. App. 1999), aff'd, 771 So. 2d 1122 (Ala.), cert.
denied, 531 U.S. 933, 148 L. Ed. 2d 255 (2000). Moreover, we do
not address the claims asserted by the putative class members
because the instant action has not been certified as a class
action. Accordingly, we remand the claims asserted by Cagle and
McLaughlin to the trial court for entry of an order of dismissal
without prejudice.
We review Bacon's claims pursuant to our supervisory
authority under Article IV of the Constitution of North Carolina
and N.C. R. App. P. 2. The Rules of Civil Procedure do not apply
to proceedings in this Court. See N.C.G.S. § 1A-1, Rule 1 (1999)
(These rules shall govern the procedure in the superior and
district courts of the State of North Carolina.). We now
consider Bacon's due process claim.
We initially note that, since Woodard, the federal
courts have generally followed a cautious approach to the
question of the amount of process due inmates seeking clemency.
For instance, in Roll v. Carnahan, 225 F.3d 1016 (8th Cir. 2000),
prisoners in Missouri contended their Governor could not be fair
and impartial when considering clemency petitions because he was
engaged in a campaign for the United States Senate where one of
the issues was clemency in capital cases. Id. at 1017. While
recognizing that Woodard ensured minimal due process rights
within clemency proceedings, the court concluded the complaint
that the governor will not be objective fail[ed] becauseclemency decisions were left to the sole discretion of the
Governor under the Missouri Constitution. Id. at 1018.
Similarly, in Duvall v. Keating, 162 F.3d 1058 (10th
Cir.), cert. denied, 525 U.S. 1061, 142 L. Ed. 2d 571 (1998), a
prisoner argued he was denied due process in his pursuit of
clemency because the Governor of Oklahoma had previously stated
he would not grant clemency to murderers. Id. at 1060. The
Oklahoma Constitution provided for a clemency petition to be
reviewed by the Pardon and Parole Board (the Board) following an
impartial investigation. Id. Although the Governor's decision
was discretionary, he could commute a sentence only upon the
favorable recommendation of the Board. Id. In that case, the
Board deadlocked and thus did not send a recommendation to the
Governor. Id. The court, relying on Woodard, held:
Because clemency proceedings involve
acts of mercy that are not constitutionally
required, the minimal application of the Due
Process Clause only ensures a death row
prisoner that he or she will receive the
clemency procedures explicitly set forth by
state law, and that the procedure followed in
rendering the clemency decision will not be
wholly arbitrary, capricious or based upon
whim, for example, flipping a coin.
Id. at 1061. The court declined to review the substantive
merits of the clemency decision. Id. (citing Dumschat, 452 U.S.
at 464, 69 L. Ed. 2d at 165). Because the prisoner had not shown
he was deprived of any procedure allowed him by the State
Constitution or otherwise shown that the procedures used were
arbitrary, the court concluded that the prisoner had not been
denied due process. Id. at 1061-62. In another case, a prisoner alleged he had been denied
due process in pursuit of clemency for various reasons, including
that the State Attorney General had formerly served as his
prosecutor and later as counsel to the Parole Board and counsel
to the Governor. Workman v. Summers, 136 F. Supp. 2d 896, 897
(M.D. Tenn. 2001). The court held that [t]he decision of the
Governor to grant or deny clemency is not reviewable and limited
its analysis to a review of state clemency procedures. Id. at
898. Because the prisoner had not shown that he had been denied
access to the clemency process or had been subjected to an
arbitrary determination or arbitrary procedure, the court held
that he had received the minimal due process required for a
clemency proceeding. Id. at 899.
The United States Court of Appeals for the Fourth
Circuit considered, and rejected, a similar claim in Buchanan v.
Gilmore, 139 F.3d 982 (4th Cir. 1998), albeit before the issuance
of Woodard. There, the court reviewed a claim that the Governor
of Virginia should be disqualified from considering a prisoner's
application for clemency because he had served as Attorney
General in prior proceedings in that prisoner's case. Buchanan,
139 F.3d at 983. The court ordered the case to be dismissed,
concluding the prisoner essentially sought a second, procedurally
barred, habeas corpus review through his section 1983 petition.
Id. at 984. It noted that under Virginia law the Lieutenant
Governor was authorized to act only when the Governor was unable
to discharge his duties, and cited with approval another federal
decision applying the Rule of Necessity to clemency proceedingsin similar situations. Id. at 983-84 (citing Pickens
v. Tucker,
851 F. Supp. 363 (E.D. Ark.), aff'd, 23 F.3d 1477 (8th Cir.),
cert. denied, 511 U.S. 1079, 128 L. Ed. 2d 457 (1994)).
We find the rationale of these decisions persuasive and
conclude that Bacon has not alleged any cognizable violation of
his due process rights in connection with the clemency procedures
available to him under North Carolina law. We do not believe
Woodard intended to repudiate entirely the cardinal principle
that clemency decisions are normally not a matter to be litigated
in courts of law. See, e.g., Dumschat, 452 U.S. at 464, 69 L.
Ed. 2d at 165. Instead, we conclude, after review of Woodard,
that state clemency procedures generally comport with due process
when a prisoner is afforded notice and the opportunity to
participate in clemency procedures, and the clemency decision,
though substantively a discretionary one,
(See footnote 5)
is not reached by
means of a procedure such as a coin toss. See Woodard, 523 U.S.
at 289-90, 140 L. Ed. 2d at 401-02 (O'Connor, J., concurring) .
Our consideration of the amount of process due Bacon incidental
to his clemency request is guided in part by Justice O'Connor's
observation in Woodard: It is clear that 'once society has
validly convicted an individual of a crime and therefore
established its right to punish, the demands of due process are
reduced accordingly.' 523 U.S. at 288, 140 L. Ed. 2d at 401(quoting Ford v. Wainwright, 477 U.S. 399, 429, 91 L. Ed. 2d 335,
359 (1986) (O'Connor, J., concurring in result in part and
dissenting in part)).
In our view, Bacon's due process rights are not
violated by Governor Easley's consideration of his clemency
request. It is undisputed that Bacon received notice of clemency
procedures and that he has fully availed himself of these
procedures. Moreover, Bacon has not alleged that Governor Easley
has, or will, render a decision in a manner that violates
Woodard. Bacon contends, however, that Governor Easley has an
inherent conflict of interest that precludes him from fairly
considering Bacon's clemency request because of his prior
service as Attorney General of North Carolina.
We disagree with Bacon's assertion that the people's
elected executive could be divested of one of his or her express
constitutional powers, in this case the exclusive authority over
clemency decisions under Article III, Section 5(6) of the
Constitution of North Carolina, because he or she previously
served as Attorney General. All executives assume office after a
unique composite of life experiences which undoubtedly influences
their discharge of clemency power. Despite the potential for the
executive's previous roles -- whether as attorney, chemist,
farmer, or otherwise -- to influence his or her clemency
determinations, the people of North Carolina have nonetheless
opted to vest their Governor with virtually plenary clemency
authority. Significantly, Governor Easley is not the first North
Carolina executive to have served previously as Attorney General.
In 1917 former Attorney General Thomas Bickett assumed the office
of Governor of North Carolina. As Governor, Bickett considered,
and granted, a number of clemency, pardon, and reprieve petitions
from prisoners whose appeals he had handled while serving as
Attorney General. See State v. Foster, 172 N.C. 960, 90 S.E. 785
(1916) (Attorney General Bickett personally signed the State's
brief; argued the State's case before this Court; and later, as
Governor, granted Foster a commutation); State v. Johnson, 172
N.C. 920, 90 S.E. 426 (1916) (Attorney General Bickett personally
signed the State's brief on appeal and later commuted Johnson's
sentence).
(See footnote 6)
Both then, and now, acceptance of Bacon's argument
would undeniably repudiate the people's constitutional election
concerning the role of their elected executive within the
clemency process. See N.C. Const. of 1868, art. III, § 6; N.C.
Const. of 1971, art. III, § 5(6). After careful review, we are
unpersuaded that Woodard intended to disrupt the orderly role of
the executive in discharging clemency power by making his or her
background or previous life experiences a justiciable controversy
under the Due Process Clause of the Fourteenth Amendment. Our
holding remains unaltered regardless of whether Bacon's dueprocess allegations are premised on an inherent conflict of
interest theory, as alleged in the complaint, or on an actual
bias theory, as asserted in brief before this Court.
Our conclusion is supported by the nature of executive
clemency and its constitutional placement within our tripartite
system of government. The nature of executive clemency is
fundamentally different than adjudicatory proceedings within the
Judicial Branch of government. A primary goal of adjudicatory
proceedings is the uniform application of law. In furtherance of
this objective, courts generally consider themselves bound by
prior precedent, i.e., the doctrine of stare decisis. See, e.g.,
Payne v. Tennessee, 501 U.S. 808, 827, 115 L. Ed. 2d 720, 736-37
(1991) (Stare decisis is the preferred course because it
promotes the evenhanded, predictable, and consistent development
of legal principles, fosters reliance on judicial decisions, and
contributes to the actual and perceived integrity of the judicial
process.); Bulova Watch Co. v. Brand Distribs., 285 N.C. 467,
472, 206 S.E.2d 141, 145 (1974) (observing that stare decisis
promotes stability in the law and uniformity in its
application). Furthermore, courts generally consider only
evidence of record in their disposition of adjudicatory
proceedings. As recognized by the United States Supreme Court:
'It is a constituent part of the judicial system that the judge
sees only with judicial eyes . . . . The looseness which would
be introduced into judicial proceedings would prove fatal to the
great principles of justice, if the judge might notice and act
upon facts not brought regularly into the cause.' Herrera, 506U.S. at 413, 122 L. Ed. 2d at 225 (quoting Wilson, 32 U.
S. (7
Pet.) at 161, 8 L. Ed. at 644).
In contrast, because the nature of clemency is
inherently one of executive grace or mercy, the decision to
grant or deny a clemency request does not bind the executive, or
his or her successor, in future clemency reviews.
The purpose of vesting the power of
judgment in an official is to enable him to
make different decisions in different cases
in the light of what he determines to be
materially different factual
situations. . . .
. . . .
. . . The exercise by one Governor of
this judgment, resulting in the commutation
of the sentence of one man convicted of
murder . . . and the refusal to commute the
sentence of another convicted of such crime,
cannot be called freakish or arbitrary
merely because another Governor might,
theoretically, have reached opposite
conclusions.
State v. Jarrette, 284 N.C. 625, 657-58, 202 S.E.2d 721, 742-43
(1974), death sentence vacated, 428 U.S. 903, 49 L. Ed. 2d 1206
(1976); see also John V. Orth, The North Carolina State
Constitution: A Reference Guide 97 (1993). Also, unlike
judicial proceedings, the clemency decision-maker is generally
not limited in discharging his or her extrajudicial function by
rules of evidence, rules of procedure, or other indicia of
judicial proceedings. Cf. Dumschat, 452 U.S. at 466, 69 L. Ed.
2d at 166 (recognizing that unfettered discretion conferred on
Connecticut's Board of Pardons placed no limit on what procedure
is to be followed, what evidence may be considered, or what
criteria are to be applied); Whitaker v. State, 451 S.W.2d 11,15 (Mo. 1970) (The exercise of the power of pardon lies in
the
uncontrolled discretion of the governor, and in determining
whether to exercise the power he is not restricted by strict
rules of evidence.); Janice Rogers Brown, The Quality of Mercy,
40 UCLA L. Rev. 327, 331 (1992) (Clemency involves a search for
answers that goes beyond judicial fact-finding . . . .).
Finally, the clemency decision is necessarily influenced by the
unique background and life experiences, and presumably the social
and political philosophy, of the executive decision-maker.
As one commentator stated in highlighting differences
between judicial proceedings and the exercise of clemency
authority:
Mercy cannot be quantified or
institutionalized. It is properly left to
the conscience of the executive entitled to
consider pleas and should not be bound by
court decisions meant to do justice.
. . . .
Mercy is not the same as justice nor is
it the opposite. Executive clemency allows
for discretion in a way that courtroom
procedure cannot. It broadens the relevance
of the philosophical and moral implications
of an individual crime in a way that a
judicial determination of guilt or innocence
should not. As one clemency applicant
eloquently describes it: When a chief
executive considers clemency, he or she acts
as the distilled conscience of the
citizenry.
Brown, The Quality of Mercy, 40 UCLA L. Rev. at 328-30 (footnotes
omitted) (emphasis added).
In sum, clemency determinations by the Executive Branch
are fundamentally different than adjudicatory proceedings within
the Judicial Branch. Bacon's unilateral attempt, therefore, tosuperimpose recusal principles developed by, and applicable to,
judges is wholly foreign to the executive's consideration of
clemency requests.
Moreover, we do not read Woodard to diminish
substantially the undeniable textual commitment of clemency to
the Executive Branch of government. By analogy to presidential
clemency powers, see U.S. Const. art. II, § 2(1) (President has
the power to grant reprieves and pardons for offenses against
the United States, except in cases of impeachment), we do not
believe that Bacon's proposed expansion of the range of
justiciable matters relating to executive clemency would be
consistent with the federal separation of powers doctrine. See,
e.g., Buckley v. Valeo, 424 U.S. 1, 120, 46 L. Ed. 2d 659, 745
(1976) (per curiam); Humphrey's Ex'r v. United States, 295 U.S.
602, 629-30, 79 L. Ed. 1611, 1620 (1935); Kilbourn v. Thompson,
103 U.S. 168, 190-91, 26 L. Ed. 377, 387 (1880). As recently
expressed by Justice Breyer:
[T]he principal function of the separation of
powers[] . . . is to maintain the tripartite
structure of the . . . Government -- and
thereby protect individual liberty -- by
providing a safeguard against the
encroachment or aggrandizement of one branch
at the expense of the other. Buckley, [424
U.S. at 122, 46 L. Ed. 2d at 746]. See The
Federalist No. 51, p. 349 (J. Cooke ed. 1961)
(J. Madison) (separation of powers confers on
each branch the means to resist
encroachments of the others); see also,
e.g., Bowsher v. Synar, 478 U.S. 714[, 92 L.
Ed. 2d 583] (1986) (invalidating
congressional intrusion on Executive Branch);
Northern Pipeline Constr. Co. v. Marathon
Pipe Line Co., 458 U.S. 50[, 73 L. Ed. 2d
598] (1982) (Congress may not give away
Article III judicial power to an Article I
judge); Myers v. United States, 272 U.S. 52[,71 L. Ed. 160] (1926) (Congress cannot limit
President's power to remove Executive Branch
official).
Clinton v. City of New York, 524 U.S. 417, 482, 141 L. Ed. 2d
393, 441 (1998) (Breyer, J., dissenting) (citations omitted).
In Nixon v. Administrator of Gen. Servs., 433 U.S. 425,
443, 53 L. Ed. 2d 867, 891 (1977), the United States Supreme
Court applied a two-part test to resolve a separation of powers
challenge. According to the Court, in determining whether [the
challenged assertion of power] disrupts the proper balance
between the coordinate branches, the proper inquiry focuses on
the extent to which it prevents the Executive Branch from
accomplishing its constitutionally assigned functions. Id.
Next, assuming the potential for disruption is present, the Court
must determine whether that impact is justified by an overriding
need to promote objectives within the constitutional authority
of the intervening branch of government. Id. Application of
this two-part test suggests to us that Bacon's requested
superimposition of judicial recusal principles upon the executive
-- if occurring at the federal level -- would likely violate the
federal separation of powers doctrine. Similarly, [b]ecause
[state] clemency [procedures] involve acts of mercy that are not
constitutionally required, Duvall v. Keating, 162 F.3d at 1061,
expanding Woodard to make a state executive's background or life
experiences the subject of an adjudicatory proceeding is likewise
unjustified.
Bacon contends, and we agree, that separation of powers
principles under North Carolina law must necessarily yield wheninconsistent with federal law. See U.S. Const. art. VI, cl. 2.
Unlike the United States Constitution,
(See footnote 7)
however, the Constitution
of North Carolina includes an express separation of powers
provision. N.C. Const. art. I, § 6 (The legislative, executive,
and supreme judicial powers of the State government shall be
forever separate and distinct from each other.). Moreover, the
separation of powers doctrine is well established under North
Carolina law. See State ex rel. Wallace v. Bone, 304 N.C. 591,
595-601, 286 S.E.2d 79, 81-84 (1982) (Since North Carolina
became a state in 1776, three constitutions have been adopted .
. . . [E]ach of our constitutions has explicitly embraced the
doctrine of separation of powers.); Person v. Bd. of State Tax
Comm'rs, 184 N.C. 499, 503, 115 S.E. 336, 339 (1922) (the
judiciary has no supervisory power over the legislature
performing its constitutional duty of levying taxes under the
North Carolina Constitution); State v. Holden, 64 N.C. 829, 830
(1870) (the power of the Governor to declare a county or counties
in a state of insurrection and to call out the militia is a
discretionary power vested in the Governor by the Constitution
and laws of the State, and cannot be controlled by the
judiciary.). Therefore, similar to the due deference the federal
judiciary naturally exhibits toward the President's exercise of
clemency authority by virtue of the separation of powers
doctrine, we likewise believe that this Court should exhibit a
similar, or perhaps even greater, deference toward a Governor's
exercise of clemency authority when, as here, the people have
included an express separation of powers provision within their
State Constitution. Cf. Printz v. United States, 521 U.S. 898,
918-22, 138 L. Ed. 2d 914, 934-36 (1997) (recognizing the
importance of our nation's dual spheres of government as a
guarantor of liberty complementary to the separation of powers
doctrine).
Because we are not persuaded that Woodard intended to
transform state clemency procedures into another adjudicatory
proceeding, we note the basic premise of the political question
doctrine to the extent it helps explain the traditional
nonjusticiability of federal and state clemency procedures. The
political question doctrine controls, essentially, when a
question becomes not justiciable . . . because of the separation
of powers provided by the Constitution. Powell v. McCormack,
395 U.S. 486, 517, 23 L. Ed. 2d 491, 514 (1969). The . . .
doctrine excludes from judicial review those controversies which
revolve around policy choices and value determinations
constitutionally committed for resolution to the halls of
Congress or the confines of the Executive Branch. The Judiciary
is particularly ill-suited to make such decisions . . . . Japan
Whaling Ass'n v. American Cetacean Soc'y, 478 U.S. 221, 230, 92L. Ed. 2d 166, 178 (1986). It is well established that the
. . . courts will not adjudicate political questions. Powell,
395 U.S. at 518, 23 L. Ed. 2d at 515. A question may be held
nonjusticiable under this doctrine if it involves a textually
demonstrable constitutional commitment of the issue to a
coordinate political department. Baker v. Carr, 369 U.S. 186,
217, 7 L. Ed. 2d 663, 686 (1962). In the present case, Article
III, Section 5(6) of the State Constitution expressly commits the
substance of the clemency power to the sole discretion of the
Governor. N.C. Const. art. III, § 5(6). Thus, beyond the
minimal safeguards applied to state clemency procedures by
Woodard, judicial review of the exercise of clemency power would
unreasonably disrupt a core power of the executive.
In view of the foregoing, we conclude that Bacon's
demand for the equivalent of a judicial arbiter to consider his
clemency request does not fall within the minimal due process
rights applied by Woodard to state clemency procedures.
(See footnote 8)
Bacon's
due process claim therefore fails as a matter of law.
Alternatively, even if Bacon adequately alleges a
Woodard violation, the Governor cannot delegate the exercise of
the clemency authority under Article III, Section 5(6) of the
State Constitution. As such, the Rule of Necessity applies,
enabling Governor Easley to consider Bacon's clemency request. Article III, Section 5 of the State Constitution
enumerates the express duties of the Governor. N.C. Const. art
III, § 5. One of these express duties is the clemency power.
N.C. Const. art III, § 5(6). The exercise of clemency power is
the exclusive prerogative of the Governor and cannot be
delegated. See State v. Lewis, 226 N.C. 249, 251, 37 S.E.2d 691,
693 (1946) (construing clemency provision of the Constitution of
1868); State v. Clifton, 125 N.C. App. 471, 481, 481 S.E.2d 393,
399, disc. rev. improvidently allowed, 347 N.C. 391, 493 S.E.2d
56 (1997); see also Messages, Addresses, and Public Papers of
Terry Sanford: Governor of North Carolina 552 (M. Mitchell ed.
1966) (To decide when and where such mercy should be extended is
a decision which must be made by the Executive. It cannot be
delegated even in part to anyone else, and thus the decision is a
lonely one.).
(See footnote 9)
Bacon nonetheless argues that Article III, Section 6 of
the State Constitution allows the Governor to delegate the
clemency power to the Lieutenant Governor. See N.C. Const. art.
III, § 6 (Lieutenant Governor shall perform such additional
duties as the . . . Governor may assign to him.) We do not
agree. The people of North Carolina have consistently reposed in
their Governor the virtually unlimited power to bestow mercy upon
persons convicted of crime. See N.C. Const. of 1776, § XIX; N.C.
Const. of 1868, art. III, § 6; N.C. Const. of 1971, art. III,§ 5(6). With this trust and responsibility comes the associated
political accountability that, again, rests solely in the person
of the Governor.
Under our State Constitution, the people have specified
that the Lieutenant Governor may only act as Governor in the case
of the Governor's absence from the State, or during the physical
or mental incapacity of the Governor to perform the duties of his
office. N.C. Const. art. III, § 3(2). None of those conditions
have been alleged, nor do they appear in the record.
Accordingly, only the Governor, or the Lieutenant Governor in his
or her capacity as Acting Governor under Article III, section
3(2), may exercise the clemency authority established by the
people of North Carolina in their Constitution.
We therefore invoke the Rule of Necessity and conclude
that, even if any of Bacon's claims are cognizable in a court of
law, the Governor nonetheless remains fully able to consider, and
resolve, Bacon's clemency request. See, e.g., United States v.
Will, 449 U.S. 200, 213-15, 66 L. Ed. 2d 392, 405-06 (1980);
Bolin v. Story, 225 F.3d 1234, 1238-39 (11th Cir. 2000); Long v.
Watts, 183 N.C. 99, 102, 110 S.E. 765, 767 (1922). We draw
further support from federal cases that have applied the Rule of
Necessity within the specific context of state clemency
procedures. See Buchanan v. Gilmore, 139 F.3d at 983-84; Pickens
v. Tucker, 851 F. Supp. at 365-66. In both Buchanan and Pickens,
as here, the respective State Constitutions vested clemency power
exclusively in the Governor and provided that the Lieutenant
Governor could act only when the Governor was unable to performhis duties. Buchanan, 139 F.3d at 983; Pickens, 851 F. Supp.
at
366. Accordingly, despite the fact that each Governor had
formerly served as Attorney General, the courts applied the Rule
of Necessity and determined that the Governor could exercise his
exclusive clemency authority. Likewise, in the present case, the
Rule of Necessity operates to enable Governor Easley to consider,
and resolve, Bacon's clemency request.
(See footnote 10)
III.
[2]Bacon alleges, in his second claim for relief, that
Governor Easley's consideration of his clemency request violates
his right to equal protection of the law under the United States
Constitution.
(See footnote 11)
Specifically, Bacon alleges that equal
protection is denied where one group of convicted capital
defendants will have their clemency petitions decided by a
neutral and impartial decision-maker, and another group,
similarly situated, by a decision-maker who does not qualify as
neutral and impartial because of his previous involvement in
their cases as Attorney General, or local prosecutor. We observe, as an initial matter, that Woodard di
d not
recognize an equal protection claim within the context of
executive clemency. Woodard, 523 U.S. 272, 140 L. Ed. 2d 387.
In any event, Bacon's equal protection claim fails because we
cannot conclude that Bacon has been, or will be, treated
differently for purposes of pursuing clemency than other
similarly situated death row inmates. See Nordlinger v. Hahn,
505 U.S. 1, 10, 120 L. Ed. 2d 1, 12 (1992) (requiring a minimal
showing that defendants treated similarly situated persons
differently to support an equal protection claim); see also
Personnel Adm'r of Mass. v. Feeney, 442 U.S. 256, 273, 60 L. Ed.
2d 870, 884 (1979) (citing the settled rule that the Fourteenth
Amendment guarantees equal laws, not equal results); San Antonio
Indep. Sch. Dist. v. Rodriguez, 411 U.S. 1, 33, 36 L. Ed. 2d 16,
43 (1973) (It is not the province of this Court to create
substantive constitutional rights in the name of guaranteeing
equal protection of the laws.). Accordingly, Bacon's equal
protection claim fails as a matter of law.
Bacon also alleges, in his third claim for relief, a
violation of his right to be free from cruel and unusual
punishment under the Eighth and Fourteenth Amendments to the
United States Constitution. Bacon's claim rests upon the premise
that a capital punishment system without clemency would
constitute cruel and unusual punishment. Accordingly, he
argues, the Constitution must give some structural limitation to
what constitutes a clemency proceeding. Bacon's basic premise -- that clemency is
constitutionally required in a capital punishment system -- is
erroneous as a matter of law. In Herrera the United States
Supreme Court observed that although the Constitution vests in
the President a pardon power, it does not require the States to
enact a clemency mechanism. 506 U.S. at 414, 122 L. Ed. 2d at
225; see also Young v. Hayes, 218 F.3d 850, 853 (8th Cir. 2000)
(The Constitution of the United States does not require that a
state have a clemency procedure . . . .); Duvall v. Keating, 162
F.3d at 1062 (finding no basis for the plaintiffs' allegation of
an Eighth Amendment violation within the clemency context).
Consequently, Bacon's Eighth Amendment claim fails as a matter of
law.
IV.
[3]We now consider Bacon's claims asserted directly
under the Constitution of North Carolina. See Corum v.
University of North Carolina, 330 N.C. 761, 413 S.E.2d 276, cert.
denied, 506 U.S. 985, 121 L. Ed. 2d 431 (1992). Within his
first, second, and third claims for relief, Bacon asserts claims
under Article I, Sections 1, 19, 21, 27, and 35 of the State
Constitution.
Bacon's principal claim under the State Constitution
arises under the law of the land clause. See N.C. Const. art. I,
§ 19. We have previously determined that the term law of the
land as used in this provision is synonymous with due process
of law as used in the Fourteenth Amendment to the United States
Constitution. In re Moore, 289 N.C. 95, 98, 221 S.E.2d 307, 309(1976). While [d]ecisions by the federal courts as to the
construction and effect of the due process clause of the United
States Constitution are binding on this Court . . . , such
decisions, although persuasive, do not control an interpretation
by this Court of the law of the land clause in our state
Constitution. McNeill v. Harnett County, 327 N.C. 552, 563, 398
S.E.2d 475, 481 (1990); see also State v. Carter, 322 N.C. 709,
713, 370 S.E.2d 553, 555 (1988) (recognizing that this Court
ha[s] the authority to construe [the Constitution of North
Carolina] differently from the construction by the United States
Supreme Court of the Federal Constitution, as long as our
citizens are thereby accorded no lesser rights than they are
guaranteed by the parallel federal provision); Bulova Watch Co.,
285 N.C. at 474, 206 S.E.2d at 146 (observing that in the
construction of the provision of the State Constitution, the
meaning given by the Supreme Court of the United States to even
an identical term in the Constitution of the United States is,
though highly persuasive, not binding on this Court).
Since the establishment of their first Constitution in
1776, the people of North Carolina have committed the power to
grant or deny clemency to the sole discretion of the Governor.
See N.C. Const. of 1776, § XIX; N.C. Const. of 1868, art. III, §
6; N.C. Const. of 1971, art. III, § 5(6). Moreover, in each of
their three Constitutions, the people have included an express
separation of powers clause. See N.C. Const. of 1776,
Declaration of Rights § 4; N.C. Const. of 1868, art. I, § 8; N.C.
Const. of 1971, art. I, § 6. Under the present Constitution, the
separation of powers clause provides that [t]he legislative,executive, and supreme judicial power of the State government
shall be forever separate and distinct from each other. N.C.
Const. art. I, § 6 (emphasis added). As noted in an eminent
treatise on the State Constitution, separation of powers is one
of the fundamental principles on which [North Carolina]
government is constructed. See Orth, The North Carolina State
Constitution: A Reference Guide 42. The same Constitution
establishing the judicial power in the Judicial Branch, and
vesting the exclusive authority to resolve clemency requests in
the Executive Branch, provided that the operation of these
functions be forever separate and distinct. N.C. Const. art.
I, § 6.
As a result, we conclude that the framers of our State
Constitution, in contemplating clemency, did not intend to impose
additional constraints upon their executive's discharge of
clemency power beyond those applicable to state clemency
procedures under the United States Constitution. As such, to the
extent that due process rights apply to clemency procedures in
North Carolina, they extend no further than the minimal due
process rights required by Woodard. Therefore, Bacon's state
constitutional claims -- all essentially attacks on the
Governor's exercise of clemency power -- are not reviewable
beyond the minimal safeguards applied to state clemency
procedures by Woodard.
Accordingly, we reverse the order of the trial court
dated 15 May 2001 and remand this case to the trial court with
instructions to enter an order of dismissal with prejudice as toall claims asserted by plaintiff Robert Bacon. We further direct
the trial court to enter an order of dismissal without prejudice
as to all claims asserted by the remaining named plaintiffs.
REVERSED.
Footnote: 1 We assume, for purposes of the presen
t case, that
jurisdiction is proper under 42 U.S.C. § 1983. See, e.g.,
Martinez v. California, 444 U.S. 277, 283 n.7, 62 L. Ed. 2d 481,
488 n.7 (1980).
Footnote: 2 On 19 July 20
01 Governor Easley's office advised the Clerk
of this Court that Bacon's clemency request remained pending
before the executive authority.
Footnote: 3 Se
e Ala. Const. amend. 38; Alaska Const. art. III, § 21;
Ariz. Const. art. V, § 5; Ark. Const. art. VI, § 18; Cal. Const.
art. V, § 8; Colo. Const. art. IV, § 7; Conn. Const. art. IV, §
13; Del. Const. art. VII, § 1; Fla. Const. art. IV, § 8; Ga.
Const. art. IV, § 2; Haw. Const. art. V, § 5; Idaho Const. art.
IV, § 7; Ill. Const. art. V, § 12; Ind. Const. art. V, § 17; Iowa
Const. art. 4, § 16; Kan. Const. art. I, § 7; Ky. Const. § 77;
La. Const. art. IV, § 5(E); Me. Const. art. V, pt. 1, § 11; Md.
Const. art. II, § 20; Mass. Const. pt. II, ch. 2, § 1, art. 8;
Mich. Const. art. V, § 14; Minn. Const. art. V, § 7; Miss. Const.
art. V, § 124; Mo. Const. art. IV, § 7; Mont. Const. art. VI, §
12; Neb. Const. art. IV, § 13; Nev. Const. art. V, § 13; N.H.
Const. pt. 2, art. 52; N.J. Const. art. V, § 2; N.M. Const. art.
V, § 6; N.Y. Const. art. IV, § 4; N.C. Const. art. III, § 5(6);
N.D. Const. art. V, § 7; Ohio Const. art. III, § 11; Okla. Const.
art. VI, § 10; Or. Const. art. V, § 14; Pa. Const. art. IV, § 9;
R.I. Const. art. IX, § 13; S.C. Const. art. IV, § 14; S.D. Const.
art. IV, § 3; Tenn. Const. art. III, § 6; Tex. Const. art. IV, §
11; Utah Const. art. VII, § 12; Vt. Const. ch. II, § 20; Va.
Const. art. V, § 12; Wash. Const. art. III, § 9; W. Va. Const.
art. VII, § 11; Wis. Const. art. V, § 6; Wyo. Const. art. IV,
§ 5.
Footnote: 4 N.C.G.S. § 147
-21 prescribes the form and content of a
pardon application. It provides:
Every application for pardon must be
made to the Governor in writing, signed by
the party convicted, or by some person in his
behalf. And every such application shall
contain the grounds and reasons upon which
the executive pardon is asked, and shall be
in every case accompanied by a certified copy
of the indictment, and the verdict and
judgment of the court thereon.
N.C.G.S. § 147-21 (1999).
Footnote: 5 By
referring to the exercise of the executive's clemency
authority as substantively discretionary, we observe that the
decision to grant or deny clemency in any particular case is
entirely dependent, at least in North Carolina, on the individual
discretion of the executive. Our intent here is to distinguish
between the necessarily discretionary nature of the clemency
decision on the merits and Woodard's procedural requirements.
Footnote:
6 Bacon notes, and we acknowledge, that Bickett served as
Governor before the advent of modern due process jurisprudence.
We also recognize, however, that historic custom and practice are
relevant to the determination of the amount of process due in a
particular context. See, e.g., Ingraham v. Wright, 430 U.S. 651,
675-79, 51 L. Ed. 2d 711, 733-35 (1977) (reviewing the historic
practice of corporal punishment in schools in determining the
process due a student being disciplined).
Footnote: 7 Although the separation of powers doctrine is
incontrovertibly a fundamental characteristic of our national
constitutional landscape, nowhere in the United States
Constitution is this principle stated expressly. Springer v.
Gov't of Philippine Islands, 277 U.S. 189, 201, 72 L. Ed. 845,
849 (1928); see also The Federalist No. 47 (James Madison)
(rejecting the proposition put forth by respectable adversaries
to the Constitution that the United States Constitution is
violative of the separation of powers doctrine as espoused by
Montesquieu).
Footnote: 8 We observe that the
myriad of constitutional and
prudential justifications supporting the executive's
discretionary and exclusive role in clemency would easily
support, in the absence of a Woodard violation, the erection of a
presumption of nonjusticiability of clemency determinations. Cf.
Heckler v. Chaney, 470 U.S. 821, 84 L. Ed. 2d 714 (1985).
Footnote: 9&nbs
p; Courts in other states have reached a similar conclusion.
See, e.g., Ex parte Lindsey, 47 Ala. App. 729, 261 So. 2d 68
(1972); In re McKinney, 33 Del. 434, 138 A. 649 (1927); People ex
rel. Milburn v. Nierstheimer, 401 Ill. 465, 82 N.E.2d 438 (1948);
In re St. Amour, 127 Vt. 576, 255 A.2d 667 (1969).
Footnote: 10 &nb
sp; We summarily reject Bacon's argument that the Rule of
Necessity is trumped by his Woodard arguments under the
Supremacy Clause of the United States Constitution. See U.S.
Const. art. VI, cl. 2. The Rule of Necessity is a doctrine
recognized within federal jurisprudence and routinely applied by
the federal courts. See, e.g., United States v. Will, 449 U.S.
200, 66 L. Ed. 2d 392.
Footnote: 11 Bacon al
so asserts an equal protection claim under
Article I, Section 19 of the State Constitution. When resolving
challenged classifications under the equal protection clause of
the State Constitution, this Court applies the same test used by
federal courts under the parallel clause in the United States
Constitution. See Department of Transp. v. Rowe, ___ N.C. ___,
___, ___ S.E.2d ___, ___ (July 20, 2001) (No. 506A98-2); Duggins
v. N.C. State Bd. of Certified Pub. Accountant Exam'rs, 294 N.C.
120, 131, 240 S.E.2d 406, 413 (1978).
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