All opinions are subject to modification and technical correction prior to official publication in the North Carolina Reports and North Carolina Court of Appeals Reports. In the event of discrepancies between the electronic version of an opinion and the print version appearing in the North Carolina Reports and North Carolina Court of Appeals Reports, the latest print version is to be considered authoritative.
STATE OF NORTH CAROLINA
v.
HENRY LEE HUNT
On writ of certiorari pursuant to N.C.G.S. § 7A-32(b)
to review an order entered 21 January 2003 by Judge Jack A.
Thompson in Superior Court, Robeson County, denying defendant's
petition for writ of habeas corpus. Heard in the Supreme Court
8 April 2003.
Roy Cooper, Attorney General, by G. Patrick Murphy,
Barry S. McNeill, and William P. Hart, Special Deputy
Attorneys General, for the State.
D. Stuart Meiklejohn, pro hac vice, and Steven L.
Holley, pro hac vice, for defendant-appellant.
Hunter, Higgins, Miles, Elan & Benjamin, by Robert Neal
Hunter, Jr.; and Gaskins & Gaskins, by Herman E.
Gaskins, Jr., on behalf of the North Carolina Academy
of Trial Lawyers, amicus curiae.
Louis D. Bilionis on behalf of North Carolina Law
Professors Anthony V. Baker; Sara Sun Beale; Louis D.
Bilionis; John Charles Boger; Kenneth S. Broun;
James E. Coleman, Jr.; Michael Kent Curtis; Marshall L.
Dayan; Irving Joyner; Robert P. Mosteller; Eric L.
Muller; Gene R. Nichol; J. Wilson Parker; H. Jefferson
Powell; Richard A. Rosen; Fred J. Williams; and
Ronald F. Wright, Jr., amici curiae.
North Carolina Conference of District Attorneys, by
William D. Kenerly, amicus curiae.
BRADY, Justice.
Henry Lee Hunt (petitioner), convicted of two capital
murders over seventeen years ago, challenges the lawfulness of
the charging instruments used to indict him for first-degreemurder. These instruments, known as short-form indictments,
have been used to charge murder suspects under North Carolina law
for over a hundred years. This appeal therefore raises a
question of critical importance to the legal validity of
virtually every murder conviction secured in this state over the
past century.
The dispositive issue in the present case is whether
the United States Supreme Court's recent decision in Ring v.
Arizona, 536 U.S. 584, 153 L. Ed. 2d 556 (2002), renders North
Carolina's short-form murder indictment unconstitutional. We
conclude that it does not and therefore affirm the decision of
the trial court.
Petitioner is currently incarcerated on North
Carolina's death row. On 28 May 1985, petitioner was indicted in
Superior Court, Robeson County, on two counts of first-degree
murder and two counts of conspiracy to commit murder in
connection with the killings of Jackie Ray Ransom and Larry
Jones. Petitioner was indicted pursuant to short-form murder
indictments authorized by N.C.G.S. § 15-144.
Petitioner was tried and convicted on all counts at the
18 November 1985 session of Superior Court, Robeson County. The
facts underlying petitioner's conviction were presented fully in
our opinion reviewing petitioner's case on direct appeal. See
State v. Hunt, 323 N.C. 407, 373 S.E.2d 400 (1988). Briefly,
those facts indicate that petitioner's codefendant, Elwell
Barnes, recruited petitioner to assist in the killing of Jack
Ransom. Barnes had agreed to kill Ransom for $2,000 so thatRansom's wife could obtain the proceeds of a life insurance
policy. On 8 September 1984, petitioner killed Ransom.
Believing that another individual, Larry Jones, had discussed
Ransom's murder with police, petitioner shot and killed Jones on
14 September 1984.
Pursuant to our statutory capital sentencing
procedures, the State introduced evidence to the jury supporting
two aggravating circumstances for each of petitioner's first-
degree murder convictions. As for the murder of Ransom, the
State presented evidence as to the following aggravating
circumstances: (1) a prior conviction for a felony involving the
use or threat of violence to another person, N.C.G.S. §
15A-2000(e)(3) (1983) (amended 1994); and (2) capital felony
committed for pecuniary gain, N.C.G.S. § 15A-2000(e)(6). For the
murder of Jones, the State introduced evidence supporting the
following aggravating circumstances: (1) a prior conviction for
a felony involving the use or threat of violence to another
person, N.C.G.S. § 15A-2000(e)(3); and (2) murder committed for
the purpose of avoiding or preventing a lawful arrest, N.C.G.S. §
15A-2000(e)(4). The jury found that the State had established
each of the submitted aggravators beyond a reasonable doubt and
recommended a sentence of death for each of the murders. The
trial court entered judgments accordingly.
Petitioner sought and received extensive direct and
collateral review of his convictions and sentences. On direct
appeal, this Court found no error in petitioner's convictions and
sentences. Hunt, 323 N.C. 407, 373 S.E.2d 400. The UnitedStates Supreme Court vacated the sentences of death and remanded
the case to this Court with instructions to review the penalty
phase of petitioner's trial in light of McKoy v. North Carolina,
494 U.S. 433, 108 L. Ed. 2d 369 (1990). Hunt v. North Carolina,
494 U.S. 1022, 108 L. Ed. 2d 602 (1990). On remand, this Court
found any error in the penalty proceeding harmless beyond a
reasonable doubt and again found no reversible error in
petitioner's convictions and sentences. State v. Hunt, 330 N.C.
501, 411 S.E.2d 806 (1992). The United States Supreme Court
subsequently denied petitioner's writ of certiorari to review our
decision. Hunt v. North Carolina, 505 U.S. 1226, 120 L. Ed. 2d
913 (1992).
Petitioner filed his first post-conviction motion for
appropriate relief (MAR) pursuant to N.C.G.S. § 15A-1415 in
Superior Court, Robeson County, on 3 December 1992. On 2 June
1994, several of petitioner's claims were dismissed as
procedurally barred. This Court affirmed that dismissal. State
v. Hunt, 336 N.C. 783, 447 S.E.2d 436 (1994). Beginning on
12 September 1994, the Superior Court conducted a five-week
evidentiary hearing in connection with the remaining MAR claims.
On 16 September 1996, the court denied petitioner's MAR. Both
this Court and the United States Supreme Court denied writs of
certiorari. State v. Hunt, 345 N.C. 758, 485 S.E.2d 304, cert.
denied, 522 U.S. 861, 139 L. Ed. 2d 107 (1997).
On 10 April 1998, petitioner initiated federal habeas
corpus proceedings under 28 U.S.C. § 2254. The United States
District Court for the Eastern District of North Carolina grantedthe State's motion for summary judgment and denied petitioner's
section 2254 petition. Petitioner appealed to the United States
Court of Appeals for the Fourth Circuit, which affirmed the
district court's order on 23 May 2002. Hunt v. Lee, 291 F.3d 284
(4th Cir. 2002). The United States Supreme Court denied
certiorari review on 2 December 2002. Hunt v. Lee, ___ U.S. ___,
154 L. Ed. 2d 517 (2002). Upon exhaustion of federal habeas
corpus review, petitioner's execution was scheduled to occur
between 12:01 a.m. and 12:00 p.m. on 24 January 2003.
On 23 December 2002, petitioner filed a petition for
writ of habeas corpus in Superior Court, Orange County, pursuant
to chapter 17 of the North Carolina General Statutes. Petitioner
alleged that the Superior Court, Robeson County, did not have
jurisdiction to try his case, as the indictments under which the
court proceeded were defective. Specifically, petitioner
contended that his indictments failed to allege: (1) the
specific elements of intent, premeditation, and deliberation; and
(2) the aggravating circumstances presented by the State in
support of its contention that petitioner should receive the
death penalty.
In an order entered 14 January 2002, the Orange County
trial court denied in part and granted in part the petition for
writ of habeas corpus. The trial court first denied petitioner's
argument that the indictment failed to allege intent,
premeditation, and deliberation. The trial court concluded that
the argument was meritless based upon well-established case law
from both this Court and the United States Supreme Court. However, the trial court granted a writ of habeas corpus as to
petitioner's second argument based upon the United States Supreme
Court's recent decision in Ring, 536 U.S. 584, 153 L. Ed. 2d 556.
The trial court concluded that the court in which petitioner was
convicted and sentenced did not have jurisdiction because,
pursuant to Ring, the aggravating circumstances relied upon by
the State at sentencing should have been alleged in petitioner's
indictments. Pursuant to Rule 25(4) of the General Rules of
Practice for the Superior and District Courts, the trial court
concluded that the United States Supreme Court's decision in Ring
rendered petitioner's second claim a meritorious challenge to
the Superior Court's jurisdiction.
The trial court went on to conclude that if the
petition is deemed not to present a jurisdictional challenge,
. . . it presents a meritorious non-jurisdictional challenge and
should be transferred to Robeson County for disposition as a
[MAR]. The State petitioned this Court for a writ of certiorari
to review the trial court's order, but this Court denied the
State's petition on 16 January 2003. State v. Hunt, 356 N.C.
686, 576 S.E.2d 333 (2003).
On 14 January 2003, petitioner filed a second MAR,
along with a stay of execution, in Superior Court, Robeson
County, alleging that he was factually innocent based upon
evidence unavailable at the time of his trial. The trial court
denied the second MAR and stay on 22 January 2003.
On 17 January 2003, Superior Court Judge Jack A.
Thompson, who was assigned to Robeson County, held a hearing toconsider the writ of habeas corpus returned to Superior Court,
Robeson County, pursuant to Rule 25(4). Judge Thompson conducted
a de novo review and thereafter entered an order on 21 January
2003 denying the petition. According to Judge Thompson, this
Court had consistently rejected the very same arguments raised by
petitioner: that the indictments should have contained the
aggravating circumstances that the State intended to introduce at
trial. Judge Thompson found that nothing in Ring required a
different result or reconsideration of the issue raised. As
such, Judge Thompson concluded that Superior Court, Robeson
County, had subject matter jurisdiction over the crimes for which
petitioner was indicted and denied the petition, as it lacked
merit and presented no probable grounds for review. See N.C.G.S.
§ 17-4(4) (2001).
Thereafter, petitioner filed a petition for writ of
habeas corpus with this Court to review Judge Thompson's
21 January 2003 order and further moved for stay of execution.
On 22 January 2003, this Court allowed petitioner's motion for a
temporary stay and allowed the petition for writ of habeas corpus
for the limited purpose of considering whether the failure to
include aggravating circumstances in petitioner's indictments is
inconsistent with Ring v. Arizona, 536 U.S. 584, 153 L. Ed. 2d
556, and thus violative of the United States Constitution.
We begin our analysis of the above-stated issue with a
brief history of those North Carolina statutes governing the
crime of murder and proceedings in capital cases. Prior to any
statutory codification of the crime of homicide, North Carolinacommon law divided homicide into three classes: (1) murder, the
killing of a human being with malice aforethought, express or
implied, for which the offender was punished by death;
(2) manslaughter, a killing with sudden provocation and without
malice, for which the convicted was entitled to his clergy; and
(3) simple homicide, a killing that was justified or excusable,
for which one would be deemed unfortunate but not punished.
State v. Boon, 1 N.C. 191, 201-02 (1802); see also State v.
Rhyne, 124 N.C. 847, 33 S.E. 128 (1899).
In 1893, our General Assembly codified the common-law
crime of murder and divided it into two degrees, first-degree and
second-degree murder. See State v. Davis, 305 N.C. 400, 422, 290
S.E.2d 574, 588 (1982). Under what is now N.C.G.S. § 14-17, the
common-law definition of murder remained unchanged. State v.
Streeton, 231 N.C. 301, 304, 56 S.E.2d 649, 652 (1949). Section
14-17 now provides:
A murder which shall be perpetrated by
means of a nuclear, biological, or chemical
weapon of mass destruction as defined in
N.C.G.S. § 14-288.21, poison, lying in wait,
imprisonment, starving, torture, or by any
other kind of willful, deliberate, and
premeditated killing, or which shall be
committed in the perpetration or attempted
perpetration of any arson, rape or a sex
offense, robbery, kidnapping, burglary, or
other felony committed or attempted with the
use of a deadly weapon shall be deemed to be
murder in the first degree, a Class A felony,
and any person who commits such murder shall
be punished with death or imprisonment in the
State's prison for life without parole as the
court shall determine pursuant to N.C.G.S. §
15A-2000, except that any such person who was
under 17 years of age at the time of the
murder shall be punished with imprisonment in
the State's prison for life without parole.
Provided, however, any person under the ageof 17 who commits murder in the first degree
while serving a prison sentence imposed for a
prior murder shall be punished with death or
imprisonment in the State's prison for life
without parole as the court shall determine
pursuant to N.C.G.S. § 15A-2000. All other
kinds of murder, including that which shall
be proximately caused by the unlawful
distribution of opium or any synthetic or
natural salt, compound, derivative, or
preparation of opium, or cocaine or other
substance described in N.C.G.S. § 90-90(1)d.,
when the ingestion of such substance caused
the death of the user, shall be deemed murder
in the second degree, and any person who
commits such murder shall be punished as a
Class B2 felon.
N.C.G.S. § 14-17 (2001). However, the legislature select[ed]
from all murders denounced by the common law those deemed most
heinous by reason of the mode of their perpetration and
classifie[d] them as murder in the first degree, for which a
greater punishment is prescribed. Davis, 305 N.C. at 422, 290
S.E.2d at 588. Any other intentional and unlawful killing of a
human being with malice aforethought, express or implied, remains
murder as at common law, but is classified by the statute as
murder in the second degree and a lesser sentence is prescribed.
Id. at 423, 290 S.E.2d at 588.
In 1887, North Carolina first authorized the indictment
of suspects for both first-degree and second-degree murder using
a shortened version of an indictment. Act of Feb. 10, 1887, ch.
58, 1887 N.C. Sess. Laws 106 (An act to simplify indictments in
certain cases) (enacting what is now N.C.G.S. § 15-144). This
unique charging instrument, which has become known in our
parlance as the short-form murder indictment, has been used in
virtually every capital prosecution in North Carolina since then,and neither this Court nor the United States Supreme Court has
ever deemed it unconstitutional. The importance of the short-
form murder indictment is illustrated by its widely accepted use
and impact.
Petitioner was indicted pursuant to two short-form
murder indictments providing, in pertinent part, the following:
The jurors for the State upon their oath present that on or
about the date of offense shown and in [Robeson County], [Henry
Lee Hunt] unlawfully, willfully and feloniously and of malice
aforethought did kill and murder [victim's name]. The
indictments noted that they were sufficient to charge both first-
and second-degree murder and that the offenses were committed in
violation of N.C.G.S § 14-17.
In North Carolina, capital defendants are not only
subject to indictment in accordance with N.C.G.S. § 15-144, but
also receive additional consideration concerning appointment of
counsel in the case of indigency and are prosecuted under certain
criminal procedures specifically reserved for capital cases.
These additional protections ensure that such defendants receive
all the due process of law to which they are entitled. Indigent
capital defendants like petitioner receive the assistance of two
attorneys, a lead and an associate attorney. N.C.G.S. §
7A-450(b1) (2001) (effective 1 July 1985). The associate
attorney must be appointed in a timely manner. Id. Subsequent
to the time of Hunt's prosecution, this Court concluded that the
failure to appoint a capital defendant assistant counsel isgrounds for a new trial. State v. Hucks, 323 N.C. 574, 374
S.E.2d 240 (1988).
Chapter 15A, article 100 of our state's General
Statutes, aptly titled Capital Punishment, governs the
procedures by which North Carolina capital defendants are
prosecuted. N.C.G.S. § 15A-2000(a) provides, the same as it did
at the time of petitioner's trial, notice to capital defendants
that the trial court will hold a proceeding separate from the
determination of their guilt to ascertain whether they should be
sentenced to death or to life imprisonment. N.C.G.S. §
15A-2000(a)(1) (2001). A judge presides over the proceeding,
which is held before a jury. The jury must determine the
following: whether sufficient aggravating circumstance(s), as
listed in N.C.G.S. § 15A-2000(e), exist; whether sufficient
mitigating circumstance(s) exist; and based upon the weighing of
the above-noted circumstances, whether defendant should be
sentenced to death or to life imprisonment. N.C.G.S. §
15A-2000(b). The jury considers only the aggravating
circumstances drawn from the exclusive list of eleven contained
in N.C.G.S. § 15A-2000(e). The list contains neither a
nonstatutory category nor a catchall provision. The State must
prove to the jury that the aggravating circumstances exist beyond
a reasonable doubt before it can consider whether the aggravators
support a sentence of death. N.C.G.S. § 15A-2000(c)(1). The
defendant must demonstrate the existence of mitigating
circumstances by a preponderance of the evidence. State v.
Holden, 321 N.C. 125, 158-59, 362 S.E.2d 513, 534 (1987), cert.denied, 486 U.S. 1061, 100 L. Ed. 2d 935 (1988). The jury's
recommendation that the defendant be sentenced to death must be
unanimous. N.C.G.S. § 15A-2000(b).
In addition to these statutory protections, either
party may request what has become known as a Watson hearing when
there is a question as to the legal sufficiency of a set of facts
supporting the aggravating circumstances. State v. Blake, 317
N.C. 632, 634 n.1, 346 S.E.2d 399, 400 n.1 (1986); see also State
v. Watson, 310 N.C. 384, 388, 312 S.E.2d 448, 452 (1984)
(acknowledging that a pretrial hearing at which the trial court
could determine whether there was evidence of aggravating
circumstances promoted judicial economy and administrative
efficiency). At the hearing, the trial court must determine
whether there is any evidence of the aggravating circumstances
defined by N.C.G.S. § 15A-2000(e). Blake, 317 N.C. at 634 n.1,
346 S.E.2d at 400 n.1. Furthermore, Rule 24 of the General Rules
of Practice for the North Carolina Superior and District Courts
mandates that a pretrial conference be held in all cases where a
defendant is charged with a crime punishable by death. Gen. R.
Pract. Super. & Dist. Cts. 24, 2003 Ann. R. N.C. 23, 23-24
(Lexis) (effective July 1994). At the Rule 24 hearing, as it
has become known, the parties must consider, among other things,
the charges against the defendant and the existence of evidence
of aggravating circumstances. Id. However, the State is not
bound by the aggravating circumstances discussed at the hearing,
nor can the trial court order the State to declare the exact
aggravating circumstances upon which it will rely. State v.Chapman, 342 N.C. 330, 339, 464 S.E.2d 661, 666 (1995), cert.
denied, 518 U.S. 1023, 135 L. Ed. 2d 1077 (1996).
It is against this backdrop that we consider whether
the United States Supreme Court's decision in Ring renders
unconstitutional North Carolina's short-form murder indictments,
the form of indictment under which petitioner was charged. The
United States Supreme Court's decisions in Jones v. United
States, 526 U.S. 227, 143 L. Ed. 2d 311 (1999), and Apprendi v.
New Jersey, 530 U.S. 466, 147 L. Ed. 2d 435 (2000), laid the
groundwork for the Court's decision in Ring. Briefly, in Jones,
the Court examined the defendant's conviction and sentence under
a federal carjacking statute. Jones, 526 U.S. at 229, 143 L. Ed.
2d at 317. In Jones, the defendant's sentence had been increased
based upon the existence of what the government treated as a
sentencing factor found by a trial judge and proven by a
preponderance of the evidence. The United States Supreme Court
concluded that the so-called sentencing factors were actually
elements of separate offenses and that they must be charged by
indictment, proven beyond a reasonable doubt and submitted to a
jury for its verdict. Id. at 251-52, 143 L. Ed. 2d at 331.
Similarly, in Apprendi, the United States Supreme Court
examined a portion of New Jersey's hate-crime legislation that
provided that a trial judge could increase a defendant's sentence
beyond the statutory maximum if the judge found, by a
preponderance of the evidence, that the underlying crime was
motivated by race or other impermissible factor. Apprendi, 530
U.S. at 468-69, 147 L. Ed. 2d at 442. The only issue before theSupreme Court was whether the above-noted statutory scheme
violated the Sixth Amendment's guarantee to a trial by jury. The
Court noted that the statutory labels element or sentencing
factor were irrelevant in determining whether the Sixth
Amendment required that the factors be proven to a jury beyond a
reasonable doubt. Id. at 494, 147 L. Ed. 2d at 457. Rather, the
inquiry should be whether the required finding expose[s] the
defendant to a greater punishment than that authorized by the
jury's guilty verdict. Id. The Court held that [o]ther than
the fact of a prior conviction, any fact that increases the
penalty for a crime beyond the prescribed statutory maximum must
be submitted to a jury, and proved beyond a reasonable doubt.
Id. at 490, 147 L. Ed. 2d at 455.
In Ring, the United States Supreme Court held that
Arizona's capital sentencing scheme violated the Sixth Amendment
right to trial by jury. Ring, 536 U.S. at 609, 153 L. Ed. 2d at
576-77. The Court concluded that [b]ecause Arizona's enumerated
aggravating factors operate as 'the functional equivalent of an
element of a greater offense,' the Sixth Amendment requires that
they be found by a jury and be proven beyond a reasonable doubt.
Id. at 609, 153 L. Ed. 2d at 577 (quoting Apprendi, 530 U.S. at
494 n.19, 147 L. Ed. 2d at 435 n.19).
Significantly, the United States Supreme Court in Ring
observed that North Carolina was one of the twenty-nine states
that commit[s] sentencing decisions to juries in death penalty
cases. Ring, 536 U.S. at 608 n.6, 153 L. Ed. 2d at 576 n.6.
This Court has previously held that North Carolina's capitalsentencing scheme comports with both Jones and Apprendi. State
v. Braxton, 352 N.C. 158, 531 S.E.2d 428 (2000), cert. denied,
531 U.S. 1130, 148 L. Ed. 2d 797 (2001); State v. Lawrence, 352
N.C. 1, 530 S.E.2d 807 (2000), cert. denied, 531 U.S. 1083, 148
L. Ed. 2d 684 (2001); State v. Wallace, 351 N.C. 481, 528 S.E.2d
326, cert. denied, 531 U.S. 1018, 148 L. Ed. 2d 498 (2000). We
now hold that North Carolina's capital sentencing scheme complies
with Ring in that aggravating circumstances must be submitted to
and found by the jury beyond a reasonable doubt. See N.C.G.S. §
15A-2000(c)(1).
In North Carolina criminal prosecutions, the use of
indictments is a well-established practice. Our state
Constitution has consistently provided that
no person shall be put to answer any criminal
charge but by indictment, presentment, or
impeachment. But any person, when represented
by counsel, may, under such regulations as
the General Assembly shall prescribe, waive
indictment in noncapital cases.
N.C. Const. art. I, § 22; accord N.C. Const. of 1868, art. I,
§ 12 (1949); N.C. Const. of 1776, Declaration of Rights § 8. An
indictment, as referred to in the above-noted constitutional
provision, is a written accusation of a crime drawn up by the
public prosecuting attorney and submitted to the grand jury, and
by them found and presented on oath or affirmation as a true
bill. State v. Thomas, 236 N.C. 454, 457, 73 S.E.2d 283, 285
(1952). To be sufficient under our Constitution, an indictment
must allege lucidly and accurately all the essential elements of
the offense endeavored to be charged. State v. Greer, 238 N.C.
325, 327, 77 S.E.2d 917, 919 (1953). The purpose of such constitutional provisions
is: (1) such certainty in the statement of
the accusation as will identify the offense
with which the accused is sought to be
charged; (2) to protect the accused from
being twice put in jeopardy for the same
offense; (3) to enable the accused to prepare
for trial[;] and (4) to enable the court, on
conviction or plea of nolo contendere or
guilty[,] to pronounce sentence according to
the rights of the case.
Id.
Early common law required that indictments allege every
element of the crime for which a defendant was charged, the
manner in which the crime was carried out, and the means
employed. State v. Moore, 104 N.C. 743, 750, 10 S.E. 183, 185
(1889) (noting that a particular short-form indictment would be
invalid at common law because it [did] not charge the means
whereby the prisoner slew the deceased, nor the manner of the
slaying); 1 J.F. Archbold, Criminal Procedure, Pleading and
Evidence in Indictable Cases 787 n.1 (8th ed. 1880) (At common
law, it is essentially necessary to set forth particularly the
manner of the death and the means by which it was effected, and
this statement may . . . be one of considerable length and
particularity.). Until the 1800s, many states, including North
Carolina, strictly adhered to the common-law pleading practices.
4 Wayne R. LaFave et al., Criminal Procedure § 19.1(a) (2d ed.
1999) [hereinafter LaFave, Criminal Procedure]; see also State v.
Owen, 5 N.C. 452, 453 (1810) (overturning verdict because
indictment did not set forth the length and depth of the mortal
wounds). In the mid-1800s, disturbed by the reversal of
convictions based upon technical errors in criminal pleadings,
many states began statutory reforms to relax certain common-law
pleading requirements. 4 LaFave, Criminal Procedure § 19.1(b).
At the time of the reform movement, North Carolina's Constitution
confer[red] upon the General Assembly power to regulate and
prescribe criminal as well as civil procedure, not inconsistent
with its provisions, 'of all the courts below the Supreme
Court.' Moore, 104 N.C. at 751, 10 S.E. at 186 (quoting N.C.
Const. of 1868, art. IV, § 12); cf. N.C. Const. art. IV, § 12
(Except as otherwise provided by the General Assembly, the
Superior Court shall have original general jurisdiction
throughout the State.). Thus, within constitutionally mandated
parameters[,] the legislature has the power to prescribe the form
of a bill of indictment. State v. Lowe, 295 N.C. 596, 603, 247
S.E.2d 878, 883 (1978).
In 1811, reacting to a case in which the verdict was
overturned based upon an indictment's failure to allege, among
other things, the depth of the victim's wound, the North Carolina
legislature passed what is now codified as N.C.G.S. § 15-153.
State v. Moses, 13 N.C. 452, 463 (1830)(The act of 1811 . . .
passed the year after [the Owen] case was decided and we have
reason to believe was caused by it.)(citing Owen, 5 N.C. 452).
N.C.G.S. § 15-153 provides in substance the same as its 1811
ancestor, that an indictment
is sufficient . . . if it expresses the
charge against the defendant in a plain,
intelligible, and explicit manner; and the
same shall not be quashed, nor the judgmentthereon stayed, by reason of any informality
or refinement, if in the bill or proceeding,
sufficient matter appears to enable the court
to proceed to judgment.
N.C.G.S. § 15-153 (2001); see also State v. Taylor, 280 N.C. 273,
277, 185 S.E.2d 677, 680 (1972) (noting that N.C.G.S. § 15-153
was designed to free the courts from the fetters of form,
technicality and refinement not concerned with the substance of
the charge).
The enactment of legislation authorizing the short-form
murder indictment in 1887 was an attempt by the General Assembly
to reform our criminal pleading practice. See State v. Avery,
315 N.C. 1, 12-14, 337 S.E.2d 786, 792-93 (1985); Moore, 104 N.C.
at 750-51, 10 S.E. at 185-86; see also ch. 58, 1887 N.C. Sess.
Laws at 106 (entitled An act to simplify indictments in certain
cases). The statute authorizing the use of short-form murder
indictments, N.C.G.S. § 15-144, provides the same now as it did
when enacted: [I]t is sufficient in describing murder to allege
that the accused person feloniously, willfully, and of his malice
aforethought, did kill and murder [victim's name] . . . .
N.C.G.S. § 15-144 (2001).
Since the genesis of the short-form murder indictment
in 1887, its validity has continually been avowed by the General
Assembly. In 1893, when the legislature divided the common-law
crime of murder into two degrees, it provided, by the same act,
that [n]othing herein contained shall be construed to require
any alteration or modification of the existing form of indictment
for murder. Act of Feb. 11, 1893, ch. 85, sec. 3, 1893 N.C.
Sess. Laws 76, 76-77 (The relevant portion of the current versionof the statute, N.C.G.S. § 15-172 (2001), provides the following:
Nothing contained in the statute law dividing murder into
degrees shall be construed to require any alteration or
modification of the existing form of indictment for murder.);
see also State v. Kirksey, 227 N.C. 445, 448-49, 42 S.E.2d 613,
615 (1947) (noting that the existing form of indictment
referred to in section 15-172 included short-form murder
indictments as authorized by section 15-144).
This Court affirmed the General Assembly's intent to
preserve the short-form murder indictment's usage, even after the
most recent changes to the North Carolina Constitution and
statutory changes to our criminal procedure laws. In 1971, North
Carolina adopted the present incarnation of our state
Constitution mandating the following: In all criminal
prosecutions, every person charged with a crime has the right to
be informed of the accusation . . . . N.C. Const. art. I, § 23.
Shortly thereafter, in 1973, the General Assembly passed our
Criminal Procedure Act (the Act), which was, as its name
indicates, sweeping legislation regarding pretrial procedures in
criminal prosecutions. Act of Apr. 11, 1974, ch. 1286, sec. 1,
1973 N.C. Sess. Laws (2d Sess.) 490, 490 (An act to amend the
laws relating to pretrial criminal procedure). As part of the
Act, the legislature provided that criminal pleadings must
contain [a] plain and concise factual statement in each count
which . . . asserts facts supporting every element of a criminal
offense and the defendant's commission thereof with sufficient
precision clearly to apprise the defendant or defendants of theconduct which is the subject of the accusation. Id. at 535
(codified as N.C.G.S. § 15A-924(a)(5)).
Upon examining a challenge to short-form murder
indictments in light of the above-noted constitutional and
statutory provisions, this Court expressly found that such
indictments remained a valid charging instrument, as neither
Article I, Section 23 of our state Constitution nor N.C.G.S. §
15A-924(a)(5) expressly or implicitly repealed the statute
authorizing the indictment's use. Avery, 315 N.C. at 14, 337
S.E.2d at 793. In sum, although changes were made to the way our
courts indict for crimes other than murder, the short-form murder
indictment remained a special instrument, statutorily
distinguished from other indictments. The General Assembly again
reaffirmed the validity of the short-form indictment by expanding
its use to charge other serious felonies, including rape, see
N.C.G.S. § 15-144.1 (2001) (enacted in 1977); Lowe, 295 N.C. at
603-04, 247 S.E.2d at 883-84 (affirming validity of short-form
rape indictment), and statutory sex offense, see N.C.G.S. §
15-144.2 (2001) (enacted in 1979); State v. Edwards, 305 N.C.
378, 380, 289 S.E.2d 360, 362 (1982) (upholding short-form
indictments charging sex offenses).
The Fifth and Sixth Amendments to the United States
Constitution operate in tandem to guarantee those accused of a
federal crime the right to indictment as the method by which they
are informed of the nature and cause of the accusations against
them. U.S. Const. amends. V, VI; Harris v. United States, 536
U.S. 545, 549, 153 L. Ed. 2d 524, 532 (2002); see also Jones, 526U.S. at 252, 143 L. Ed. 2d at 331 (noting that the so-called
sentencing factors were actually elements of separate crimes and
must therefore be charged in indictment); Almendarez-Torres v.
United States, 523 U.S. 224, 228, 140 L. Ed. 2d 350, 358 (1998)
(noting that indictment must allege all of the elements of a
crime); Hamling v. United States, 418 U.S. 87, 117, 41 L. Ed. 2d
590, 620 (1974) (same). The United States Constitution does not,
however, apply the same principles to state-court prosecutions.
For instance, the United States Supreme Court has never applied
the Fifth Amendment's guarantee to indictment by a grand jury to
state prosecutions. Alexander v. Louisiana, 405 U.S. 625, 633,
31 L. Ed. 2d 536, 543-44 (1972); see also Hodgson v. Vermont, 168
U.S. 262, 272, 42 L. Ed. 461, 464 (1897) ([T]he words 'due
process of law' in the Fourteenth Amendment of the Constitution
of the United States do not necessarily require an indictment by
a grand jury in a prosecution by a State for murder.); Hurtado
v. California, 110 U.S. 516, 538, 28 L. Ed. 232, 239 (1884)
(same). In observing that it had never applied the above-noted
Fifth Amendment guarantee to states, the Supreme Court expressly
stated that the Due Process Clause . . . does not require the
States to observe the Fifth Amendment's provision for presentment
or indictment by a grand jury. Alexander, 405 U.S. at 633, 31
L. Ed. 2d at 543.
Perhaps most important, in Apprendi and Ring--cases
pivotal to petitioner's claim in the present case--the United
States Supreme Court clearly indicated that those decisions did
not concern or have any applicability to allegedly defectiveindictments. Ring, 536 U.S. at 597 n.4, 153 L. Ed. 2d at 569 n.4
(Ring does not contend that his indictment was constitutionally
defective.); Apprendi, 530 U.S. at 477 n.3, 147 L. Ed. 2d at 447
n.3 (Apprendi has not here asserted a constitutional claim based
on the omission of any reference to sentence enhancement or
racial bias in the indictment.). In Apprendi, the Court
expressly recognized that the Fourteenth Amendment has not . . .
been construed to include the Fifth Amendment right to
'presentment or indictment of a Grand Jury.' Apprendi, 530 U.S.
at 477 n.3, 147 L. Ed. 2d at 447 n.3. In Harris, the United
States Supreme Court recently affirmed that while only federal
prosecutions require presentment or indictment by grand jury, the
Sixth Amendment guarantee to trial by an impartial jury,
including the right to have all elements proven beyond a
reasonable doubt, applies in both state and federal prosecutions.
Harris, 536 U.S. at 549, 153 L. Ed. 2d at 532-33.
In contrast to its application of the Fifth Amendment's
indictment guarantee, the United States Supreme Court has
unequivocally applied the Sixth Amendment's edict that the
accused be informed of criminal accusations against him. In re
Oliver, 333 U.S. 257, 273, 92 L. Ed. 682, 694 (1948). In
defining the parameters of state criminal defendants' rights to
notice under the Sixth Amendment, the Supreme Court has concluded
that such defendants have a right to reasonable notice
sufficient to ensure that they are afforded an opportunity to
defend against the charges. Id. As stated by the Supreme Court
over one hundred years ago in Hodgson, in all criminal prosecutions the accused must
be informed of the nature and cause of the
accusation against him; that in no case can
there be, in criminal proceedings, due
process of law where the accused is not thus
informed, and that the information which he
is to receive is that which will acquaint him
with the essential particulars of the
offen[s]e, so that he may appear in court
prepared to meet every feature of the
accusation against him.
168 U.S. at 269, 42 L. Ed. at 463 (emphasis added).
This Court has recognized that the Fifth Amendment's
guarantee to indictment by a grand jury does not apply in the
context of a challenge to state-court indictment. In Wallace,
351 N.C. 481, 528 S.E.2d 326, we examined a challenge to short-
form indictments charging murder, rape, and sex offense in which
the defendant claimed that the indictments failed to allege all
elements of the crimes charged. In so doing, this Court
acknowledged that the due process and notice requirements under
the Sixth Amendment inured to state prosecutions, as stated by
the Supreme Court in Hodgson. Id. at 507, 528 S.E.2d at 342-43.
We further recognized that the Fifth Amendment's guarantee to
indictment by a grand jury was not applicable to the states, and
as such, all the elements or facts which might increase the
maximum punishment for a crime do not necessarily need to be
listed in an indictment. Id. at 508, 528 S.E.2d at 343. Our
holding in Wallace is consistent with the United States Supreme
Court's decision in Ring: that the Fifth Amendment would notrequire aggravators, even if they were fundamental equivalents of
elements of an offense, to be pled in a state-court indictment.
Short-form indictments, including the ones used to
charge petitioner in the instant case, comport with the statutory
provisions governing indictment practices. Given the
instrument's genesis and history, short-form murder indictments
are special instruments that arose separate from and coexist with
the statutory requirements of N.C.G.S. § 15A-924(a)(5), which
mandates that indictments contain a plain and concise factual
statement in each count. Consistent with the concept of
construing statutes in pari materia, our General Assembly could
not have intended a conflict with other indictment statutes or a
statutory violation arising from the use of short-form
indictments. See Brown v. Flowe, 349 N.C. 520, 523-24, 507
S.E.2d 894, 896 (1998) (noting that [w]hen multiple statutes
address a single subject, this Court construes them in pari
materia to determine and effectuate the legislative intent).
In support of his argument that the aggravating
circumstances must have been pled in his indictments, petitioner
relies heavily on our decision in State v. Lucas, 353 N.C. 568,
548 S.E.2d 712 (2001). In Lucas, this Court invalidated the
defendant's two noncapital felony sentences, partially because
certain factors increasing the defendant's sentences were not
pled in his indictment. Id. at 597-98, 548 S.E.2d at 731.
Defendant's application of Lucas misapprehends the law. In
Lucas, we were not concerned with a short-form indictment. As we
indicated in Lucas, if the State wishes to seek a firearmenhancement in addition to a conviction for murder, rape, or sex
offense, the enhancement must be pled in the indictment, even if
the charging instrument is a short-form indictment. Id. at 598,
548 S.E.2d at 732. However, the principles of Lucas do not
otherwise apply to short-form indictments.
Unlike a short-form indictment, the indictment in Lucas
was not exempt from the statutory requirement, pursuant to
N.C.G.S. § 15A-924, that indictments must state every element of
the crime charged. It follows that crimes charged pursuant to a
short-form indictment--murder, rape, and sex offense--are not
governed by the principles espoused in Lucas. Such an
application of Lucas comports with well-established case law
holding that in prosecutions where short-form indictments are not
used and the indictment alleges elements of a lesser crime, there
is no statutory authority (sometimes referred to as
jurisdiction) to enter judgment based upon a verdict finding
defendant guilty of the greater crime. See State v. Jerrett, 309
N.C. 239, 307 S.E.2d 339 (1983) (noting that although the
legislature may prescribe the form of indictment sufficient to
allege a crime without listing all elements and had done so in
certain cases, it had not done so in the case of kidnapping);
State v. Perry, 291 N.C. 586, 231 S.E.2d 262 (1977) (holding,
prior to provisions for short-form rape indictments, that, unlike
murder indictment, indictment sufficient to charge second-degree
rape was not sufficient to charge first-degree rape); see also
State v. Moore, 316 N.C. 328, 341 S.E.2d 733 (1986); State v.
Goss, 293 N.C. 147, 235 S.E.2d 844 (1977). The legislature hasthus made it clear that murder and other crimes for which it has
authorized the use of short-form indictments are to be treated
differently in the application of N.C.G.S. § 15A-924 (indictment
must express the charge in a plain, intelligible, and explicit
manner). Cf. N.C. Const. art. I, § 12 (treating capital crimes
differently by prohibiting waiver of indictment in those cases);
N.C.G.S. § 15A-642(b) (2001) (same); Thomas, 236 N.C. at 457, 73
S.E.2d at 285 (same).
As there is no statutory requirement that aggravating
circumstances be pled in murder indictments, the only remaining
potential bar to the use of the short-form murder indictment
would be constitutional. See State v. Harris, 145 N.C. 456, 458,
59 S.E. 115, 116 (1907) ('To be informed of the accusation
against him' is the requirement of our Bill of Rights, and unless
such legislation is in violation of this principle or in
contravention of some express constitutional provision, it should
and must be upheld by the courts.). As noted supra, neither
Ring nor Apprendi purports to address or dictate the contents of
a state-court murder indictment. Furthermore, to this date, the
United States Supreme Court has not applied the Fifth Amendment
indictment requirements to the states. See Alexander, 405 U.S.
at 633, 31 L. Ed. 2d at 543-44. Thus, in answering the question
before the Court today, Ring does not require that aggravating
circumstances be alleged in state-court indictments.
Our independent review of decisions from our sister
states reveals that to this date every state court addressing the
above-noted issue has held that Ring does not require thataggravating circumstances be alleged in the indictment. See,
e.g., Stallworth v. State, ___ So. 2d ___, ___, 2003 Ala. Crim.
App. LEXIS 21, at *22-23 (Ala. Crim. App. Jan. 31, 2003) (No.
CR-98-0366) (indicating that Ring did not change prior case law
holding that aggravators do not need to be pled in an
indictment); Bottoson v. Moore, 833 So. 2d 693, 695 (Fla.) (per
curiam) (rejecting arguments based upon Ring), cert. denied, ___
U.S. ___, 154 L. Ed. 2d 564 (2002); Terrell v. State, 276 Ga. 34,
___, 572 S.E.2d 595, 602 (2002) (concluding in a post-Ring
challenge to an indictment that the indictment need not allege
aggravating circumstances); State v. Gilbert, 103 S.W.3d 743, 747
(Mo. 2003) (en banc) (holding that Ring had no effect on the
court's previous rejection of the argument that indictments need
to allege aggravators); State v. Oatney, 335 Or. 276, ___, 66
P.3d 475, 487 (2003) (holding that Ring did not address the issue
of whether aggravators needed to be pled in the indictment and,
therefore, that court's prior holding that an indictment need not
contain aggravators remained unchanged); State v. Berry, ___
S.W.2d ___, ___, 2003 Tenn. Crim. App. LEXIS 316, *16 (Tenn.
Crim. App. Apr. 10, 2003) (No. M2001-02023-CCA-R3-DD) (holding,
post-Ring, that Apprendi did not apply to require the State to
include aggravators in indictments).
The only possible constitutional implication that Ring
and Apprendi may have in relation to our capital defendants is
that they must receive reasonable notice of aggravating
circumstances, pursuant to the Sixth Amendment's notice
requirement. The General Assembly has the undoubted right toenact legislation . . . to modify old forms of bills of
indictment[] or [to] establish new ones, provided the form
established is sufficient to apprise the defendant with
reasonable certainty of the nature of the crime of which he
stands charged. Harris, 145 N.C. at 457-58, 59 S.E. at 116.
As mentioned above, this Court has consistently and
unequivocally upheld short-form murder indictments as valid under
both the United States and the North Carolina Constitutions.
See, e.g., Braxton, 352 N.C. at 173-75, 531 S.E.2d at 437;
Wallace, 351 N.C. at 503-08, 528 S.E.2d at 341-43; State v.
Kilpatrick, 343 N.C. 466, 472, 471 S.E.2d 624, 628 (1996); Avery,
315 N.C. at 12-14, 337 S.E.2d at 792-93. Relevant to our
discussion herein, in previous challenges to the short-form
murder indictment's failure to allege statutory aggravating
circumstances, this Court has held that constructive, statutory
notice via the statute in which the aggravators are listed--
N.C.G.S. § 15A-2000(e)--is adequate to satisfy the constraints of
due process as dictated by the United States Constitution's Sixth
Amendment and the North Carolina Constitution. Holden, 321 N.C.
at 154, 362 S.E.2d at 531 (The notice provided by this statute
is sufficient to satisfy the constitutional requirements of due
process.); State v. Young, 312 N.C. 669, 675, 325 S.E.2d 181,
185 (1985) (holding that the statutory notice provided by section
15A-2000(e) is sufficient to satisfy constitutional requirements
of due process); State v. Williams, 304 N.C. 394, 422, 284 S.E.2d
437, 454 (1981) (same), cert. denied, 456 U.S. 932, 72 L. Ed. 2d
450 (1982); State v. Taylor, 304 N.C. 249, 257, 283 S.E.2d 761,768 (1981) (same), cert. denied, 463 U.S. 1213, 77 L. Ed. 2d 1398
(1983).
Petitioner argues that the above-noted cases do not
support the argument that aggravators need not be pled in an
indictment. Petitioner contends that the cases are inapplicable
because this Court has analyzed aggravators as sentencing
factors, rather than as elements of offenses, and that this
reasoning is the basis for our conclusion that aggravators need
not be pled in the indictment. See, e.g., State v. Golphin, 352
N.C. 364, 396-97, 533 S.E.2d 168, 193-94 (2000), cert. denied,
532 U.S. 931, 149 L. Ed. 2d 305 (2001); Taylor, 304 N.C. at 257,
283 S.E.2d at 768. Petitioner also contends that these cases are
no longer controlling because in at least one case, Golphin, 352
N.C. at 397, 533 S.E.2d at 193, we specifically relied upon the
United States Supreme Court's decision in Walton v. Arizona, 497
U.S. 639, 111 L. Ed. 2d 511 (1990), which was expressly overruled
by the Court in Ring.
Petitioner's arguments are unavailing for two reasons.
First, this Court has concluded, post-Apprendi, that the failure
to list other elements of first-degree murder, including
premeditation and deliberation, in a short-form murder indictment
does not violate either the North Carolina or the United States
Constitution. Braxton, 352 N.C. at 173-75, 531 S.E.2d at 436-38.
Thus, if aggravators are the functional equivalent of elements
for the purposes of complying with the Sixth Amendment notice
requirement, this Court has already indicated that aggravators,
being akin to other elements of murder such as premeditation anddeliberation, do not necessarily have to be listed in the short-
form murder indictment for a defendant to receive sufficient
notice. Second, our reference to Walton in Golphin is of no
import to the issue presented here, as Ring overruled only that
portion of Walton referring to aggravators as sentencing factors
for the purpose of defendant's Sixth Amendment right to trial by
jury. See Ring, 536 U.S. at 609, 153 L. Ed. 2d at 576-77
(overruling Walton to the extent that it allows a sentencing
judge, sitting without a jury, to find an aggravating
circumstance necessary for imposition of the death penalty).
The nature of the aggravators themselves ensures that
defendants will be reasonably apprised of the evidence that could
lead to a sentence of death. N.C.G.S. § 15A-2000(e) limits to
eleven the list of possible aggravators against which defendants
must defend themselves. The list of aggravating circumstances is
exclusive, relatively short, and contains no catchall provision.
Cf. Lynch v. State, 841 So. 2d 362, 378 (Fla. 2003) (holding that
there is no reason for the State to notify defendants of
aggravators, as the list of aggravators that can be imputed to
defendants is limited to those enumerated in the relevant state
statute).
Petitioner argues that the analysis this Court applied
in Lucas is squarely applicable to the instant case, as the
firearm sentencing enhancement at issue in Lucas is
indistinguishable from the aggravating circumstances at issue in
the present case. We disagree. As noted supra, the
application of our decision in Lucas is limited to thosesituations in which a short-form indictment is not the charging
instrument. Furthermore, capital prosecutions present an
inherently different situation than those in which defendants are
indicted for crimes that may or may not subject them to a firearm
or other sentencing enhancement. Unlike defendants for whom the
State had an option to seek a firearm enhancement, neither
capital defendants nor their attorneys will ever be blind-sided
with aggravating circumstances. Just because a defendant is
indicted for a certain noncapital crime, it does not necessarily
follow that the State will later seek to attach a firearm
enhancement. However, first-degree murder is the only crime to
which the exclusive list of section 15A-2000(e) aggravators can
apply. N.C.G.S. § 15A-2000(e) is necessarily implicated at the
very moment a defendant is informed of the State's intent to seek
the death penalty against him, or perhaps even earlier. As we
have previously held, once N.C.G.S. § 15A-2000(e) has been
triggered, the exclusiveness of the list of only eleven
aggravators in that section is sufficient to provide reasonable
notice. See Holden, 321 N.C. at 153-54, 362 S.E.2d at 531;
Young, 312 N.C. at 675, 325 S.E.2d at 185; Williams, 304 N.C. at
422, 284 S.E.2d at 454; Taylor, 304 N.C. at 257, 283 S.E.2d at
768. Given the limited applicability of section 15A-2000(e), due
process does not require that short-form murder indictments state
the aggravators or even allude to the statutory provision in
which they are enumerated.
Moreover, as noted by amici, many complications would
invariably arise if we required aggravators to be pled in murderindictments. These problems include determining whether the
grand jury would need to be death-qualified and what
procedures, if any, would be employed so that the State could
acquire a superseding indictment containing aggravating
circumstances it may discover after defendant has been indicted.
In addition, with the aggravating circumstances already
determined by the grand jury, both the State and the defendant
may lose the benefit of the pretrial Watson hearing. These and
other procedural challenges that our court system would
inevitably have to confront are akin to the myriad of technical
problems that short-form murder indictments were intended to
alleviate when first authorized in 1887. See 4 LaFave, Criminal
Procedure § 19.1(b), (c).
We are further persuaded that short-form murder
indictments need not contain aggravators because they are not the
only mechanism in place today by which capital defendants, with
the assistance of their two attorneys, could receive actual
notice of aggravating circumstances. The parties to a capital
prosecution must consider the existence of aggravating
circumstances at the Rule 24 hearing. See Gen. R. Pract. Super.
& Dist. Cts. 24, 2003 Ann. R. N.C. at 23-24. Defendants have the
option of requesting a bill of particulars as to the evidence of
the aggravating circumstances the State may seek to introduce
against defendant, although the State is not bound by the
aggravators it discloses prior to trial. N.C.G.S § 15A-925(c).
Certain aggravating circumstances and evidence related thereto
may become evident during the pretrial discovery period, at apretrial probable cause hearing held pursuant to N.C.G.S. §
15A-606, or at other pretrial proceedings. See, e.g., Parker v.
State, 917 P.2d 980, 986-87 (Okla. Crim. App. 1996) (concluding
that an indictment's failure to allege element of crime was cured
by the defendant's actual notice of facts constituting the
element at preliminary hearing), cert. denied, 519 U.S. 1096, 136
L. Ed. 2d 721 (1997). These additional protections also lend
support to our holding that aggravating circumstances need not be
alleged in an indictment. Given the above-noted discussion, we
cannot conclude that Ring requires state-court murder indictments
to allege the aggravating circumstances to be presented against
capital defendants.
*** Converted from WordPerfect ***