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ered authoritative.
STATE OF NORTH CAROLINA v. KEVIN DOUGLAS JONES
No. 218A00
(Filed 1 Feb. 2001)
1. Jury_selection_capital trial_death penalty views_challenge
for cause_assessment of judge
The trial court did not abuse its discretion in a capital
trial for first-degree murder by excluding a prospective juror
based upon her responses to death penalty questions where the
prospective juror expressed a straightforward, religion-based
opposition to the death penalty, gave further equivocal answers
about following the law, and continued to state that her
religious beliefs would impair her ability to be a fair juror.
The judge gave counsel wide latitude during a lengthy questioning
period, asked questions himself, assessed the prospective juror's
responses for the overall effect, and made a decision based on
his firsthand impressions.
2. Jury_selection_capital trial_death penalty views_firm
opinions opposing_rehabilitation denied
The trial court did not abuse its discretion in a capital
prosecution for first-degree murder when it denied defendant the
opportunity to question a juror who was excused for cause. The
potential juror's answers to general questions about capital
punishment consistently reflected both her opposition to the
death penalty and a steadfast recalcitrance towards imposing it,
the transcript reveals nothing that indicates any inclination to
alter or soften her views, and defendant did not proffer any
arguments suggesting that his questions might produce different
answers.
3. Criminal Law_instructions_reasonable doubt_more than an
academic doubt
There was no plain error in a capital first-degree murder
prosecution in the trial court's instruction defining reasonable
doubt as not being an academic doubt. Defendant's argument has
been rejected consistently.
4. Trials_closing arguments_standards
A lawyer's function during closing argument is to provide
the jury with a summation of the evidence. The argument should
be limited to relevant legal issues and the standards articulated
in N.C.G.S. § 15A-1230(a) are applicable to civil as well as
criminal cases. The attorney may not become abusive, express his
personal belief as to the truth or falsity of the evidence,
express his personal belief as to which party should prevail, or
make arguments premised on matters outside the record. Trialjudges have a two-fold responsibility as overseers of the courts
to diligently ensure that attorneys honor their professional
obligations and to take appropriate action against opportunists
who purposely venture to violate courtroom protocol. Moreover,
bearing in mind the reluctance of counsel to interrupt and object
during closing argument for fear of incurring jury disfavor, it
is incumbent on the trial court to monitor vigilantly the course
of arguments, to intervene as warranted, to entertain objections,
and to impose remedies pertaining to those objections, including
requiring the attorneys to retract improper arguments and
instructing the jury to disregard such arguments.
5. Sentencing_capital_prosecutor's closing argument_invocation
of Columbine and Oklahoma City
The trial court in a capital sentencing proceeding abused
its discretion by allowing a closing argument which linked the
tragedy of the victim's death to the tragedies of Columbine and
Oklahoma City. The argument was improper because it referred to
events and circumstances outside the record, urged jurors by
implication to compare defendant's acts with the infamous acts of
others, and attempted to lead jurors away from the evidence by
appealing instead to their sense of passion and prejudice.
6. Sentencing_capital_prosecutor's argument_defendant lower
than dirt on a snake_improper
The prosecutor's closing argument in a capital sentencing
proceeding was grossly improper and prejudicial where the
prosecutor said of defendant, You got this quitter, this loser,
this worthless piece of __ who's mean...He's as mean as they
come. He's lower than the dirt of a snake's belly. The
prosecutor's repeated degrading comments about defendant shifted
the focus from the jury's opinion of defendant's character and
acts to the prosecutor's opinion, offered in the form of
conclusory name-calling, and were purposely intended to deflect
the jury from its proper role as fact-finder by appealing to
passion and prejudice.
7. Sentencing_capital--prosecutor's argument_improper_standards
The trial court abused its discretion by allowing a
prosecutor undue latitude in a capital sentencing proceeding. An
improper argument that was not prejudicial at the guilt phase may
be prejudicial during a capital sentencing proceeding, which by
its nature involves evidence of defendant's character. It is
appropriate for the closing argument in a capital sentencing
proceeding to incorporate reasonable inferences and conclusions
about defendant drawn from the evidence presented, but conclusory
arguments that are not reasonable or that are premised on matters
outside the record (such as the name calling and comparisons to
infamous acts in this case) cannot be countenanced. An argument
must be devoid of counsel's personal opinion, avoid name calling
and references to matters beyond the record, be premised onlogical deductions rather than appeals to passion or prejudice,
and be constructed from fair inferences drawn only from evidence
properly admitted at trial.
Appeal as of right pursuant to N.C.G.S. § 7A-27(a) from a
judgment imposing a sentence of death entered by Greeson, J., on
21 April 2000 in Superior Court, Forsyth County, upon a jury
verdict finding defendant guilty of first-degree murder. Heard
in the Supreme Court 17 April 2001.
Roy Cooper, Attorney General, by David F. Hoke, Assistant
Attorney General, and William P. Hart, Special Deputy
Attorney General, for the State.
J. Clark Fischer for defendant-appellant.
ORR, Justice.
In a superseding indictment issued on 30 August 1999,
defendant was charged with the first-degree murder of Ronald Ray
Mabe. He was tried capitally at the 10 April 2000 Criminal
Session of Superior Court, Forsyth County. The jury found
defendant guilty of first-degree murder on three theories --
premeditation and deliberation, felony murder, and lying in wait
-- and, on 21 April 2000, after a capital sentencing proceeding,
recommended a sentence of death. The trial judge entered
judgment accordingly, and defendant filed a timely notice of
appeal to this Court.
After consideration of the questions presented by defendant
and a thorough review of the transcript of the proceedings, the
record on appeal, the briefs, and oral arguments, we find:
(1) no error meriting reversal of defendant's conviction, and
(2) reversible error in defendant's capital sentencingproceeding. As a consequence of so holding, it is unnecessary
for us to address at this time defendant's additional contention
that his death sentence was disproportionate.
Evidence presented during the guilt portion of the trial
tended to show that on the evening of 9 November 1998, defendant
went to the home of a friend, Samuel Evans, Jr. Defendant told
Evans he had traded his car to Evans' brother for some crack
cocaine. The two then proceeded to smoke the drugs in one of
Evans' cars, which was parked on the property. After consuming
the contraband, defendant apparently became concerned that his
grandfather would be upset over the loss of his car and that he
needed to get it back. He told Evans that he was going to his
uncle's house to see if [he] could borrow some money or
something, and he left. Evans testified that he did not know if
the victim, Ronald Mabe, was in fact defendant's uncle, but he
knew defendant was referring to Mr. Mabe, who lived nearby.
Lynda Reed lived with defendant's father in Albertville,
Alabama, in November of 1998. She testified that defendant
arrived at their home on 18 November, and that the two had a
conversation about Mr. Mabe. According to Ms. Reed, defendant
asked if she knew that Mr. Mabe was dead, and she told him no.
When she asked what had happened to Mr. Mabe, defendant started
to cry and said, It was me. I am the one who killed him.
After defendant recounted his involvement with Mr. Evans on 9
November, he told Ms. Reed that he went to Mr. Mabe's home
because he knew that Mr. Mabe kept money there. He said he
planned to take what he could in order to get money for morecrack and to get his car back. He then told Ms. R
eed that while
he was on the way to Mr. Mabe's home, he picked up a two-by-four
he found on the side of the road. Ms. Reed further testified
that defendant told her that he proceeded to the Mabe home and
that he initially struck the victim with the two-by-four when
Mr. Mabe answered the door. After the victim fell and began to
scream, defendant said he became frightened that someone might
hear the commotion, so he struck Mr. Mabe again. According to
Ms. Reed, defendant said he struck Mr. Mabe three times in all,
and told her that when the victim was finally rendered helpless,
defendant took Mr. Mabe's wallet and a handgun hidden under a bed
mattress. Other evidence at trial showed that defendant returned
to the Evans residence shortly after the murder and that
defendant and Evans traded the stolen gun for crack cocaine later
that same night.
Upon hearing defendant's story, Ms. Reed told defendant's
father that defendant could not remain in the house. Defendant
and his father left shortly thereafter. Ms. Reed later informed
the local police about what defendant had told her.
The victim's wallet was later found in a wooded area not far
from his home. Police also seized a bloody two-by-four from
behind a neighbor's woodshed. A forensic serologist determined
that the bloodstains on the wood were of human blood, and a
forensic chemist concluded that at least one of two hairs found
on the wood were microscopically consistent with the head hair
of Ronald Mabe. Other expert testimony offered by the State
tended to show that the victim died of blunt trauma to the head,and that the victim had sustained a series of blunt-trauma
injuries. The injuries were consistent with being struck
numerous times by a two-by-four.
On appeal to this Court, defendant brings forth eleven
questions for review -- three dealing with the guilt-innocence
portion of his trial, and eight dealing with his sentencing
proceeding, including proportionality review.
Jury Selection and Guilt-Innocence Phase Issues
[1]Defendant first contends that he was prejudiced by the
exclusion of a prospective juror based upon her responses to
questions about her opposition to the death penalty and her
apparent inability to impose such a sentence. In defendant's
summary view, the voir dire of venire woman Karen Strausser
failed to demonstrate she would be unable to meet her obligations
as a capital juror and that, as a consequence of such failing,
her dismissal from the jury panel was improper. We disagree.
The test for determining when a prospective juror may be
excused for cause is whether his or her views would 'prevent or
substantially impair the performance of his duties as a juror in
accordance with his instructions and his oath.' Wainwright v.
Witt, 469 U.S. 412, 424, 83 L. Ed. 2d 841, 849 (1985) (quoting
Adams v. Texas, 448 U.S. 38, 45, 65 L. Ed. 2d 581, 589 (1980)).
Although the fact that a prospective juror voiced reservations
about capital punishment or expressed conscientious or religious
scruples against its imposition is not, in itself, a sufficient
basis for excusal, see Witherspoon v. Illinois, 391 U.S. 510,
522, 20 L. Ed. 2d 776, 785 (1968), we note that the finaldecision to excuse a prospective juror is within the discretion
of the trial court because 'there will be situations where the
trial judge is left with the definite impression that a
prospective juror would be unable to faithfully and impartially
apply the law,' State v. Nobles, 350 N.C. 483, 495, 515 S.E.2d
885, 893 (1999) (quoting Wainwright, 469 U.S. at 425-26, 83 L.
Ed. 2d at 852); see also N.C.G.S. § 15A-1212(8) (1999) (providing
that a challenge for cause may be made on the grounds that a
juror would be unable to render a verdict in accordance with the
laws of North Carolina). Moreover, in a case in which a
prospective juror's responses were at best equivocal, this
Court concluded that it must defer to the trial court's judgment
as to whether the prospective juror could impartially follow the
law. State v. Bowman, 349 N.C. 459, 471, 509 S.E.2d 428, 436
(1998), cert. denied, 527 U.S. 1040, 144 L. Ed. 2d 802 (1999).
The juror in question here, Ms. Strausser, was questioned at
length by the attorneys for both parties about both her feelings
regarding the death penalty and her ability to render a decision
that complied with the law. From the outset, Ms. Strausser
expressed a straightforward opposition to capital punishment in
general and explained that it was religion-based. Nevertheless,
when asked whether she could set aside her sentiments and
faithfully apply the law, Ms. Strausser initially told the court
that she could if [she] had to. Further inquiry into the
matter by the trial judge, the defense, and the prosecution
revealed a number of ambivalent, if not contradictory, responses.
At one point, Ms. Strausser said that if [she] had to choose thedeath penalty, then, by law, [she'd] have to do it --
ostensibly, a qualifying answer. However, she also expressed her
opposition to the death penalty numerous times, explained that
she would have problems living with herself if she imposed such a
penalty, and stated more than once that her religious beliefs
would impair her ability to be a fair juror. Moreover, when
asked if she would always vote for life imprisonment,
Ms. Strausser nodded affirmatively.
Ultimately, the equivocating nature of her responses, in
light of the totality of what she said, led the trial judge to
conclude that Ms. Strausser would be unable to faithfully and
impartially apply the law in this case. Consequently, he
allowed the State's challenge for cause. See State v. Smith, 352
N.C. 531, 545, 532 S.E.2d 773, 783 (2000) (holding that the
question of whether a juror's bias makes him excusable for cause
is the court's decision, in the exercise of its sound discretion
and judgment), cert. denied, ___ U.S. ___, 149 L. Ed. 2d 360
(2001). We find nothing in the record suggesting that the trial
judge abused the discretion accorded him under the circumstances.
Amid a lengthy questioning period, he afforded counsel wide
latitude, asked questions himself, assessed the prospective
juror's responses for their overall effect, and made a decision
based on his firsthand impressions. Thus, absent any evidence of
discretionary abuse, we must defer to the trial court's judgment
as to whether the prospective juror could impartially follow the
law. Bowman, 349 N.C. at 471, 509 S.E.2d at 436. As a result,
we conclude that defendant's assignment of error on this issue iswithout merit.
[2]Defendant next argues that the trial court erred when it
denied defendant the opportunity to question a juror who was
excused for cause. In sum, defendant concludes that the
prospective juror, Vicki Kelley, had not expressed an unequivocal
opposition to the death penalty during questioning by the
prosecution, and thus she was eligible for rehabilitative
questioning by the defense. We disagree with both contentions.
A capital defendant is not entitled to rehabilitate a
prospective juror if such juror has expressed unequivocal
opposition to the death penalty in response to questions
propounded by the prosecutor and the trial court. State v.
Cummings, 326 N.C. 298, 307, 389 S.E.2d 66, 71 (1990). Moreover,
[w]hen challenges for cause are supported by prospective jurors'
answers to questions propounded by the prosecutor and by the
court, the court does not abuse its discretion, at least in the
absence of a showing that further questioning by defendant would
likely have produced different answers, by refusing to allow the
defendant to question the juror challenged. State v. Oliver,
302 N.C. 28, 40, 274 S.E.2d 183, 191 (1981). Thus, in order to
determine whether the trial judge in the case sub judice abused
his discretion by not permitting defendant an opportunity to
question Ms. Kelley before granting the State's challenge for
cause, we must decide: (1) if her answers and statements to the
State's questions amounted to an expressed unequivocal opposition
to the death penalty, and (2) if there was any showing that
further questioning by defendant would have produced differentanswers from the prospective juror.
During questioning by the State, Ms. Kelley stated that she
did not think she could fairly and impartially consider the death
penalty as punishment. She said that her view was based on her
personal beliefs, and that the death penalty seemed contradictory
to what she had learned during twenty-five years of practice as a
nurse. And while Ms. Kelley at one point said she hoped she
could follow the law, she also said she would probably not be
able to give equal consideration to a death penalty option.
Perhaps most telling of all was Ms. Kelley's response to the
court's inquiry into the case's proper legal standard. When
asked whether her views about the death penalty would prevent or
substantially impair the performance of her duties as a juror,
Ms. Kelley replied, Yes. In light of how you worded it, yes.
Immediately after that response, the court excused the juror and
denied defendant's request to question her.
In our view, the trial court did not exceed its
discretionary powers by allowing Ms. Kelley to be excused without
further questioning. Her answers to general questions about
capital punishment consistently reflected both her opposition to
the penalty and a steadfast recalcitrance towards imposing it.
Moreover, when asked point blank if her views would prevent or
substantially impair the performance of her duties as a juror,
her reply was a definitive yes.
Ms. Kelley's final response, by itself, is not necessarily
dispositive in determining her perspective on the issue.
However, when viewed in context, as a summary culmination of herprevious answers and statements, the reply can hardly be
construed as anything but an expression of Ms. Kelley's
unequivocal opposition to the death penalty. Cummings, 326
N.C. at 307, 389 S.E.2d at 71. We note, too, that after
Ms. Kelley was excused, the defense asked merely for an
opportunity to question the juror. Defendant proffered no
accompanying argument suggesting that his questions might produce
different answers from Ms. Kelley, and our independent review of
the transcript reveals nothing that indicates any inclination on
her part to alter, or even soften, her views. Thus, in sum, we
hold that the prospective juror's statements constituted an
expression of unequivocal opposition to the death penalty, and
that there was an absence of a showing that further questioning
by defendant would likely have produced different answers.
Oliver, 302 N.C. at 40, 274 S.E.2d at 191. As a result, we
conclude the trial judge did not abuse his discretion by excusing
the prospective juror when he did. Defendant's claim to the
contrary, therefore, is deemed to be without merit.
[3]In his final argument concerning guilt-phase issues,
defendant contends the trial court committed plain error by
defining reasonable doubt in a manner that was legally incorrect
and that lowered the State's burden of proof. More specifically,
defendant takes issue with the trial court's explanation that
reasonable doubt is not a mere possible [doubt], it's not an
academic [doubt], and it's not a forced doubt. In defendant's
view, the trial court, by defining reasonable doubt as not an
academic doubt, impermissibly lowered the prosecution'sconstitutional burden of proof. We disagree.
In preamble to discussion of defendant's substantive
argument, we note defendant failed at trial to object to the
instruction as given. The North Carolina Rules of Appellate
Procedure set forth the necessary procedure for preserving jury
instruction issues for appellate review:
A party may not assign as error any portion of the jury
charge or omission therefrom unless he objects thereto
before the jury retires to consider its verdict,
stating distinctly that to which he objects and the
grounds of his objections; provided, that opportunity
was given to the party to make the objection out of the
hearing of the jury, and, on request of any party, out
of the presence of the jury.
N.C. R. App. P. 10(b)(2).
Thus, as defendant did not object to the instruction at
trial, he has failed to properly preserve the issue for review by
this Court. See generally N.C. R. App. P. 10(b)(1). Defendant
also made no constitutional claims at trial regarding the
instruction in question and therefore will not be heard on any
constitutional grounds here. See State v. Benson, 323 N.C. 318,
321-22, 372 S.E.2d 517, 518-19 (1988). As a result of the
foregoing, our review of the record is limited to determining
whether the giving of the instruction in question amounted to
plain error. See N.C. R. App. P. 10(c)(4); State v. Hardy, 353
N.C. 122, 131, 540 S.E.2d 334, 342 (2000), cert. denied, ___ U.S.
___, ___ L. Ed. 2d ___, 70 U.S.L.W. 3235 (2001). Under a plain
error analysis, defendant is entitled to a new trial only if the
error was so fundamental that, absent the error, the jury
probably would have reached a different result. See State v.
Collins, 334 N.C. 54, 62, 431 S.E.2d 188, 193 (1993). Moreover,we remain mindful that when the 'plain error' rule is applied,
'[i]t is the rare case in which an improper instruction will
justify reversal of a criminal conviction when no objection has
been made in the trial court.' State v. Odom, 307 N.C. 655,
661, 300 S.E.2d 375, 378 (1983) (quoting Henderson v. Kibbe, 431
U.S. 145, 154, 52 L. Ed. 2d 203, 212 (1977)).
As for defendant's substantive contention, this Court has
consistently rejected defendant's argument that the trial court's
comparative reference to academic doubt was improper. In fact,
this very issue was argued and decided against defendant's
position in a case recently heard by this Court. See State v.
Hooks, 353 N.C. 629, 634-35, 548 S.E.2d 501, 506 (2001) (holding
that it was not improper for trial court to define reasonable
doubt as not, inter alia, an academic doubt); see also State v.
Conner, 335 N.C. 618, 636-38, 440 S.E.2d 826, 836-37 (1994)
(approving an instruction defining reasonable doubt as not a
mere vain, fanciful, academic or forced doubt); State v. Adams,
335 N.C. 401, 420-21, 439 S.E.2d 760, 770 (1994) (approving the
trial court's definition of reasonable doubt as one that is not
a mere possible, fanciful or academic doubt). As a result, we
conclude that defendant has failed to demonstrate any error at
all, much less error that was so fundamental that, absent such
error, the jury probably would have reached a different result.
State v. Torain, 316 N.C. 111, 116, 340 S.E.2d 465, 468 (holding
that [a] prerequisite to our engaging in a 'plain error'
analysis is the determination that the instruction complained of
constitutes 'error' at all), cert. denied, 479 U.S. 836, 93 L.Ed. 2d 77 (1986). Accordingly, defendant's contentions regarding
the instruction on reasonable doubt are without merit.
Sentencing Issues
I.
[4]In assignments of error concerning his sentencing
hearing, defendant argues, inter alia, that portions of the
State's closing argument were so grossly improper that the trial
court committed reversible error by: (1) failing to sustain
defendant's objection to the State's comparative references to
the Columbine school shooting and the Oklahoma City bombing, and
(2) failing to intervene ex mero motu when the State disparaged
defendant by engaging in name-calling and personal insults. We
agree with both contentions, and note from the outset that the
issue of improper closing arguments has become a mainstay, if not
a troublesome refrain, in cases before this Court. In virtually
every capital case, many other criminal cases, and a growing
number of civil cases, this issue is being vigorously advocated
as grounds for reversible error. Therefore, we take this
opportunity to revisit in some detail: (1) the limits of proper
closing argument, (2) the professional and ethical responsibility
of attorneys making such arguments, (3) the duty of our trial
judges to be diligent in overseeing closing arguments, and
(4) the possible ramifications for failing to keep such arguments
in line with existing law.
A lawyer's function during closing argument is to provide
the jury with a summation of the evidence, Herring v. New York,
422 U.S. 853, 861-62, 45 L. Ed. 2d 593, 599-600 (1975), which inturn serves to sharpen and clarify the issues for resolution by
the trier of fact, id. at 862, 45 L. Ed. 2d at 600, and should
be limited to relevant legal issues. See State v. Allen, 353
N.C. 504, 508-11, 546 S.E.2d 372, 374-76 (2001). Closing
argument is a reason offered in proof, to induce belief or
convince the mind, 2 R.C.L. Arguments of Counsel § 1, at 404
(1914), and [t]he sole object of all [such] argument is the
elucidation of the truth, id.
In the context of a criminal jury trial, specific guidelines
for closing argument have been set out by the General Assembly:
(a) During a closing argument to the jury an
attorney may not become abusive, inject his personal
experiences, express his personal belief as to the
truth or falsity of the evidence or as to the guilt or
innocence of the defendant, or make arguments on the
basis of matters outside the record except for matters
concerning which the court may take judicial notice.
An attorney may, however, on the basis of his analysis
of the evidence, argue any position or conclusion with
respect to a matter in issue.
N.C.G.S. § 15A-1230(a) (1999). While this statutory provision is
applicable to jury trials in criminal cases, the standards
articulated are likewise applicable in civil cases. In closing
arguments to the jury, an attorney may not: (1) become abusive,
(2) express his personal belief as to the truth or falsity of the
evidence, (3) express his personal belief as to which party
should prevail, or (4) make arguments premised on matters outside
the record.
If attorneys were to scrupulously comply with these
seemingly simple requirements, then the issue of alleging
improper arguments on appeal would prove an exception instead of
the rule. Regrettably, such has not been the case; in fact, itappears to this Court that some attorneys intentionally push the
envelope with their jury arguments in the belief that there will
be no consequences for doing so. See, e.g., State v. Call, 353
N.C. 400, 419, 545 S.E.2d 190, 202-03, cert. denied, ___ U.S.
___, ___ L. Ed. 2d ___, 70 U.S.L.W. 3360 (2001).
In considering the professional obligation of counsel, we
call attention to Rule 12 -- Courtroom decorum -- in the
General Rules of Practice for the Superior and District Courts,
which provides, in pertinent part: Abusive language or
offensive personal references are prohibited, [t]he conduct of
the lawyers before the court and with other lawyers should be
characterized by candor and fairness, and [c]ounsel are at all
times to conduct themselves with dignity and propriety. Gen. R.
Pract. Super. and Dist. Ct. 12, paras. 7, 8, 2, 2002 Ann. R. N.C.
10. Further, the Rules of Professional Conduct of the North
Carolina State Bar provide in the preamble that [a] lawyer is a
representative of clients, an officer of the legal system and a
public citizen having special responsibility for the quality of
justice. R. Prof. Conduct N.C. St. B. 0.1 preamble, para. 1,
2002 Ann. R. N.C. 560. Professional conduct Rule 3.4(e),
meanwhile, provides additional guidance; it requires that a
lawyer shall not,
in trial, allude to any matter that the lawyer does not
reasonably believe is relevant or that will not be
supported by admissible evidence, assert personal
knowledge of facts in issue except when testifying as a
witness, . . . or state a personal opinion as to the
justness of a cause, the credibility of a witness, the
culpability of a civil litigant, or the guilt or
innocence of an accused.
R. Prof. Conduct N.C. St. B. 3.4(e), 2002 Ann. R. N.C. 630. We do not imply that every improper argument necessarily
constitutes a violation of these rules of professional practice
and conduct; rather, we emphasize that attorneys appearing before
our courts are expected, at a minimum, to conduct themselves in
accordance with such rules. In a similar vein, trial judges have
a two-fold responsibility as overseers of our courts: (1) to
diligently ensure that attorneys honor the aforementioned
professional obligations, and (2) to take appropriate action
against opportunists who purposely venture to violate courtroom
protocol. See, e.g., Couch v. Private Diagnostic Clinic, 351
N.C. 92, 520 S.E.2d 785 (1999) (remanding case to trial court for
hearing to determine sanctions against the offending attorney);
see also Couch v. Private Diagnostic Clinic, 147 N.C. App. ___,
554 S.E.2d 356 (2001) (upholding trial court sanctions against
attorney who violated rules of professional conduct during
closing arguments at trial; sanctions included suspension of the
attorney's practicing privileges for a year and a $50,000-plus
penalty).
In considering specific cases of improper argument, we
acknowledge our oft-quoted refrain -- that counsel are given
wide latitude in arguments to the jury and are permitted to argue
the evidence that has been presented and all reasonable
inferences that can be drawn from that evidence. See, e.g.,
State v. Richardson, 342 N.C. 772, 792-93, 467 S.E.2d 685, 697,
cert. denied, 519 U.S. 890, 136 L. Ed. 2d 160 (1996). However,
wide latitude has its limits. In Couch, the attorney in
question engaged in a grossly improper jury argument thatincluded at least nineteen explicit characterizations of the
defense witnesses and opposing counsel as liars. 351 N.C. at
93, 520 S.E.2d at 785. While our divided Court did not grant the
defendant-hospital a new trial, the Court unanimously remanded
the case to the trial court for the determination of the
appropriate sanction, holding that the attorney's conduct
violated Rule 12 of the General Rules of Practice for the
Superior and District Courts and was not in conformity with the
Rules of Professional Conduct. Id.
With regard to criminal cases, this Court has on numerous
occasions found closing arguments to be outside the bounds of
propriety, with varying consequences. For some violations --
those in which the defendant failed to object or that lacked a
definitive showing of prejudice caused by the improper argument
-- we have opted to warn or discipline the offending attorney in
lieu of awarding a new trial. See, e.g., State v. Gell, 351 N.C.
192, 216, 524 S.E.2d 332, 347 (affirming this Court's long-held
view that it is improper for prosecutors to make Bible-based
arguments to the jury), cert. denied, 531 U.S. 867, 148 L. Ed. 2d
110 (2000). However, in cases of clear-cut violations -- those
couched as appeals to a jury's passions or that otherwise
resulted in prejudice to a defendant -- this Court has not
hesitated to overturn the results of the trial court. State v.
Smith, 279 N.C. 163, 165-67, 181 S.E.2d 458, 459-60 (1971)
(reversing defendant's rape conviction because of the
prosecutor's inflammatory and prejudicial closing argument, in
which the prosecutor described defendant as lower than the bonebelly of a cur dog); see also State v. Miller
i>, 271 N.C. 646,
659-61, 157 S.E.2d 335, 344-47 (1967) (holding that the
prosecutor committed reversible error by, inter alia, calling
defendants storebreakers and expressing his opinion that a
witness was lying).
As for the effect of a defendant's failure to object to
improper remarks, this Court is mindful of the reluctance of
counsel to interrupt his adversary and object during the course
of closing argument for fear of incurring jury disfavor. Thus,
it is incumbent on the trial court to monitor vigilantly the
course of such arguments, to intervene as warranted, to
entertain objections, and to impose any remedies pertaining to
those objections. Such remedies include, but are not necessarily
limited to, requiring counsel to retract portions of an argument
deemed improper or issuing instructions to the jury to disregard
such arguments.
In sum, with regard to the substantive analysis pertaining
to the limits of closing argument, we note that Justice Carlisle
W. Higgins, while writing for a unanimous Court in State v.
Smith, 279 N.C. 163, 181 S.E.2d 458, some thirty years ago,
articulated precisely what this Court is now reiterating. We
quote in its entirety the substantive portion of that opinion:
The foregoing are the more flagrant of the
solicitor's transgressions. Too much of his argument,
however, was pitched in the same tone. When the
prosecutor becomes abusive, injects his personal views
and opinions into the argument before the jury, he
violates the rules of fair debate and it becomes the
duty of the trial judge to intervene to stop improper
argument and to instruct the jury not to consider it.
Especially is this true in a capital case. When it is
made to appear the trial judge permitted the prosecutorto become abusive, to inject his personal experiences,
his views and his opinions into the argument before the
jury, it then becomes the duty of the appellate court
to review the argument. In these circumstances
prejudice to the cause of the accused is so highly
probable that we are not justified in assuming its
nonexistence. Berger v. United States, 295 U.S. 78,
89, 79 L. Ed. 1314[, 1321 (1935)].
In State v. Miller, 271 N.C. 646, 157 S.E.2d 335
(also a Mecklenburg County case), Chief Justice Parker
for this Court said: It is especially proper for the
court to intervene and exercise power to curb improper
arguments of the solicitor when the State is
prosecuting one of its citizens, and should not allow
the jury to be unfairly prejudiced against him.
Pertinent to the present inquiry is the opinion of
Mr. Justice Sutherland in Berger v. United States, [295
U.S. at 88, 79 L. Ed. at 1321]:
The United States Attorney is the
representative not of an ordinary party to a
controversy, but of a sovereignty whose obligation
to govern impartially is as compelling as its
obligation to govern at all; and whose interest,
therefore, in a criminal prosecution is not that
it shall win a case, but that justice shall be
done. As such, he is in a peculiar and very
definite sense the servant of the law, the twofold
aim of which is that guilt shall not escape or
innocence suffer. He may prosecute with
earnestness and vigor -- indeed, he should do so.
But, while he may strike hard blows, he is not at
liberty to strike foul ones. It is as much his
duty to refrain from improper methods calculated
to produce a wrongful conviction as it is to use
every legitimate means to bring about a just one.
It is fair to say that the average jury, in a
greater or less degree, has confidence that these
obligations, which so plainly rest upon the
prosecuting attorney, will be faithfully observed.
Consequently, improper suggestions, insinuations
and, especially, assertions of personal knowledge
are apt to carry much weight against the accused
when they should properly carry none.
Smith, 279 N.C. at 166-67, 181 S.E.2d at 460 (citationsomitted).
(See footnote 1)
II.
[5]The standard of review for improper closing arguments
that provoke timely objection from opposing counsel is whether
the trial court abused its discretion by failing to sustain the
objection. See, e.g., State v. Huffstetler, 312 N.C. 92, 111,
322 S.E.2d 110, 122 (1984)(holding that appellate courts will
review the exercise of such discretion when counsel's remarks are
extreme and calculated to prejudice the jury); see also State v.
Riddle, 311 N.C. 734, 738, 319 S.E.2d 250, 253 (1984). In order
to assess whether a trial court has abused its discretion when
deciding a particular matter, this Court must determine if the
ruling could not have been the result of a reasoned decision.
State v. Burrus, 344 N.C. 79, 90, 472 S.E.2d 867, 875 (1996).
Thus, the question before us is whether the trial court failed to
make a reasoned decision when it overruled defendant's timely
objection to the prosecutor's references to the Columbine school
shooting and the Oklahoma City bombing.
When applying the abuse of discretion standard to closing
arguments, this Court first determines if the remarks were
improper. As demonstrated in part I of this opinion, improper
remarks include statements of personal opinion, personal
conclusions, name-calling, and references to events and
circumstances outside the evidence, such as the infamous acts ofothers. Next, we determine if the remarks were of such a
magnitude that their inclusion prejudiced defendant, and thus
should have been excluded by the trial court. See Coble v.
Coble, 79 N.C. 589 (1878)(holding that it is reversible error if
the trial court, upon defendant's objection, fails to prevent
opposing counsel from unduly humiliating and degrading
defendant); and Tyson, 133 N.C. at 698, 45 S.E. at 840 (holding
that when counsel grossly abuse their privilege of closing
arguments, the presiding judge should interfere at once, when
objection is made at the time, and correct the abuse).
We now must apply the above standard of review to the case
at bar. In this assignment of error, defendant ultimately
contends that, over his objection, the prosecutor, in his closing
argument, improperly and prejudicially referred to the Columbine
[school] shootings and the Oklahoma City [federal building]
bombing[] as examples of national tragedies.
(See footnote 2)
In our view, suchremarks cannot be construed as anything but a thinly veiled
attempt to appeal to the jury's emotions by comparing defendant's
crime with two of the most heinous violent criminal acts of the
recent past. Thus, the argument was improper for at least three
reasons: (1) it referred to events and circumstances outside the
record; (2) by implication, it urged jurors to compare
defendant's acts with the infamous acts of others; and (3) it
attempted to lead jurors away from the evidence by appealing
instead to their sense of passion and prejudice.
The impact of the statements in question, which conjure up
images of disaster and tragedy of epic proportion, is too grave
to be easily removed from the jury's consciousness, even if the
trial court had attempted to do so with instructions. Moreover,
the offensive nature of the remarks exceeds that of other
language that has been tied to prejudicial error in the past.
See, e.g., State v. Wyatt, 254 N.C. 220, 222, 118 S.E.2d 420, 421
(1961) (holding that a prosecutor who described defendants as
two of the slickest confidence men committed reversible error);
State v. Tucker, 190 N.C. 708, 709, 130 S.E. 720, 720 (1925)
(holding that it was prejudicial error for a prosecutor to say
that the defendants look[ed] like. . . (professional)
bootleggers); State v. Davis, 45 N.C. App. 113, 114-15, 262
S.E.2d 329, 329-30 (1980) (holding that it was prejudicial for aprosecutor to call the defendant a mean S.O.B.). As a result,
we hold that the trial court abused its discretion when it
allowed, over defendant's objection, the prosecutor's closing
argument linking the tragedies of Columbine and Oklahoma City
with the tragedy of the victim's death in this case.
[6]Defendant also contends that he was prejudiced by the
trial court's failure to intervene and stop the prosecutor from
infecting closing arguments with improper name-calling and/or
personal insults. Again, we must agree.
The standard of review for assessing alleged improper
closing arguments that fail to provoke timely objection from
opposing counsel is whether the remarks were so grossly improper
that the trial court committed reversible error by failing to
intervene ex mero motu. State v. Trull, 349 N.C. 428, 451, 509
S.E.2d 178, 193 (1998), cert. denied, 528 U.S. 835, 145 L. Ed. 2d
80 (1999). In other words, the reviewing court must determine
whether the argument in question strayed far enough from the
parameters of propriety that the trial court, in order to protect
the rights of the parties and the sanctity of the proceedings,
should have intervened on its own accord and: (1) precluded other
similar remarks from the offending attorney; and/or (2)
instructed the jury to disregard the improper comments already
made.
In applying the aforementioned standard to the facts of the
case at bar, we initially note the following: an examination of
the transcript reveals that the prosecutor engaged in name-
calling during his closing argument; for example, he said to thejury, You got this quitter, this loser, this worthless piece of
-- who's mean. . . . He's as mean as they come. He's lower than
the dirt on a snake's belly. As previously noted, in order to
constitute reversible error, the prosecutor's remarks must be
both improper and prejudicial. Improper remarks are those
calculated to lead the jury astray. Such comments include
references to matters outside the record and statements of
personal opinion. See part I, supra. Improper remarks may be
prejudicial either because of their individual stigma or because
of the general tenor of the argument as a whole. Here, the
prosecutor's characterizations exceed the boundaries of proper
argument by incorporating personal conclusions that ultimately
amounted to little more than name-calling. What the prosecutor
did not do here was argue the evidence and proper inferences and
conclusions that addressed the specific issues submitted as to
aggravating and mitigating circumstances. Such tactics risk
prejudicing a defendant -- and do so here -- by improperly
leading the jury to base its decision not on the evidence
relating to the issues submitted, but on misleading
characterizations, crafted by counsel, that are intended to
undermine reason in favor of visceral appeal.
Moreover, we note that the prosecutor's comment deriding
defendant as lower than the dirt on a snake's belly is
substantively similar to the prosecutor's comments in Smith, 279
N.C. at 165, 181 S.E.2d at 459 (prosecutor, amid numerous
improper characterizations in closing argument, referred to the
defendant as one who was lower than the bone belly of a curdog). The Court in Smith ultimately concluded that the
prosecutor's comments were prejudicial error and ordered a new
trial. Id. at 167, 181 S.E.2d at 460-61. Similarly, in the case
at bar, we hold that the prosecutor's repeated degradations of
defendant: (1) shifted the focus from the jury's opinion of
defendant's character and acts to the prosecutor's opinion,
offered as fact in the form of conclusory name-calling, of
defendant's character and acts; and (2) were purposely intended
to deflect the jury away from its proper role as a fact-finder by
appealing to its members' passions and/or prejudices. As a
consequence, we deem the disparaging remarks grossly improper and
prejudicial.
III.
[7]We should note at this point that in determining
prejudice in a capital case, such as the one before us, special
attention must be focused on the particular stage of the trial.
Improper argument at the guilt-innocence phase, while warranting
condemnation and potential sanction by the trial court, may not
be prejudicial where the evidence of defendant's guilt is
virtually uncontested. However, at the sentencing proceeding, a
similar argument may in many instances prove prejudicial by its
tendency to influence the jury's decision to recommend life
imprisonment or death. We also point out that by its very
nature, the sentencing proceeding of a capital case involves
evidence specifically geared towards the defendant's character,
past behavior, and personal qualities. Therefore, it is
certainly appropriate for closing argument at the sentencinghearing to incorporate reasonable inferences and conclusions
about the defendant that are drawn from the evidence presented.
However, mere conclusory arguments that are not reasonable --
such as name-calling -- or that are premised on matters outside
the record -- such as comparing defendant's crime to infamous
acts -- do not qualify and thus cannot be countenanced by this or
any other court in the state. If verdicts cannot be carried
without appealing to prejudice or resorting to unwanted
denunciation, they ought not to be carried at all. Tucker, 190
N.C. at 714, 130 S.E. at 723.
Finally, this Court has tried to strike a balance between
giving appropriate latitude to attorneys to argue heated cases
and the need to enforce the proper boundaries of closing argument
and maintain professionalism. The power and effectiveness of a
closing argument is a vital part of the adversarial process that
forms the basis of our justice system. A well-reasoned, well-
articulated closing argument can be a critical part of winning a
case. However, such argument, no matter how effective, must:
(1) be devoid of counsel's personal opinion; (2) avoid name-
calling and/or references to matters beyond the record; (3) be
premised on logical deductions, not on appeals to passion or
prejudice; and (4) be constructed from fair inferences drawn only
from evidence properly admitted at trial. Moreover, professional
decorum requires that tactics such as name-calling and
showmanship must defer to a higher standard. While the melodrama
inherent to closing argument might well inspire some attorneys to
favor stage theatrics over reasoned persuasion, such preferencecannot be countenanced -- as either a general proposition or on
the facts of the case sub judice. As a result, we conclude that
the trial court abused its discretion by affording the
prosecution undue latitude in its closing arguments at
sentencing. Defendant is, therefore, entitled to a new
sentencing hearing.
NO ERROR AS TO GUILT-INNOCENCE.
DEATH SENTENCE VACATED; REMANDED FOR NEW CAPITAL SENTENCING
PROCEEDING.
Footnote: 1 Joining Justice Higgins in the decisi
on were Chief Justice
William H. Bobbitt, Associate Justices (and future Chief
Justices) Susie Sharp and Joseph Branch, I. Beverly Lake,
J. Frank Huskins, and (former Governor) Dan K. Moore.
Footnote: 2
The pertinent portion of the prosecutor's analogy in
closing argument reads as follows:
MS. STANTON: Thank you, judge. The United States of
America, a great country, indeed around the world for
its freedoms: freedom of speech, freedom of privacy in
your own home. But with those freedoms comes
individual responsibility that every citizen of this
country must realize; that to have these freedoms, one
is responsible for their own conduct; one is
responsible for their own behavior.
A year ago the Columbine shootings; five years ago Oklahoma
City bombings. When this nation faces such tragedy _
MR. FINE: Objection.
THE COURT: Overruled.
MS. STANTON: _ the laws of this country come in to bring
order to that tragedy, to speak to that tragedy. Here we
are addressing a tragedy of a man's life. The tragedy notof this defendant, the tragedy of [the victim] Ronald Ray
Mabe. . . .
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