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.
SHAN CARTER
Appeal as of right pursuant to N.C.G.S. § 7A-27(a) from
judgments imposing sentences of death entered by Judge Charles H.
Henry on 19 March 2001 in Superior Court, New Hanover County,
upon jury verdicts finding defendant guilty of two counts of
first-degree murder. On 22 July 2002, the Supreme Court allowed
defendant's motion to bypass the Court of Appeals as to his
appeal of additional judgments. Heard in the Supreme Court
11 March 2003.
Roy Cooper, Attorney General, by Joan M. Cunningham,
Assistant Attorney General, for the State.
Edwin L. West, III, for defendant-appellant.
MARTIN, Justice.
On 24 February 1997, Shan Carter (defendant) was
indicted for the first-degree murders of Tyrone Baker and
Demetrius Greene. He was also subsequently indicted for
discharging a firearm into occupied property, in violation of
N.C.G.S. § 14-34.1, and possession of a firearm by a convicted
felon, in violation of N.C.G.S. § 14-415.1. Defendant was tried
capitally at the 5 February 2001 session of Superior Court, New
Hanover County. The jury found defendant guilty on all counts.
Defendant's conviction of the first-degree murder of Baker wasbased on a theory of premeditation and deliberation. Defendant's
conviction of the first-degree murder of Greene was based on a
theory of premeditation and deliberation under the doctrine of
transferred intent, and was also based on the felony murder rule
with Baker's murder serving as the underlying felony. Following
a capital sentencing proceeding, the jury recommended a sentence
of death for each murder. The trial court entered judgment
accordingly. The trial court also entered consecutive sentences
of forty-six to sixty-five months for discharge of a firearm into
an occupied vehicle and twenty to twenty-four months for
possession of a firearm by a convicted felon. Defendant gave
notice of appeal pursuant to N.C.G.S. § 7A-27(a).
The evidence admitted at the guilt-innocence proceeding
tended to show the following: Defendant has been convicted
several times of illegal drug possession and sale. In late 1996,
defendant was involved in a number of break-ins and burglaries in
Wilmington, North Carolina, including one at the home of Keith
Lamont Richardson and one at the home of a victim in the instant
case, Tyrone Baker. Defendant, K'Wada Temony, and Damont White
were all involved in the burglary of Baker's home, which resulted
in the theft of approximately $35,000 in cash. At one point,
defendant referred to this $35,000 as death money. No evidence
was admitted as to what, if anything, defendant may have stolen
from Richardson. Richardson and Baker each eventually confronted
defendant and his cohorts. One of these confrontations led to
the convictions in the instant case. Sometime near the end of November 1996, Baker kidnapped
White and took him to Baker's apartment. Baker assaulted and
threatened White in an attempt to discover the location of the
missing $35,000. Baker then released White, who discussed the
incident with Temony and defendant and alerted them that Baker
was searching for those who had taken his money. In early
February 1997, Richardson learned that defendant was the person
who had broken into his home. Richardson subsequently saw
defendant on the street and angrily confronted him about the
break-in. During the confrontation, defendant drew a chrome .357
caliber revolver and Richardson fled. Defendant fired several
shots, wounding Richardson's arm.
The instant charges stem from events occurring on the
afternoon of 16 February 1997. On that afternoon, defendant and
Temony were riding in defendant's car. They stopped near a crowd
of ten to fifteen people gathered in front of a grocery store
located at the intersection of 10th and Dawson Streets in
Wilmington. A number of residents were out on the neighborhood
streets that day. Defendant and Temony exited the car; defendant
began conducting drug transactions. Baker was also near this
intersection, having visited a friend's house across the street
from the grocery store and a nearby barber shop.
Defendant apparently did not notice Baker approach the
crowd. Defendant first became aware of Baker's presence when
Baker attacked Temony, knocking him to the ground. Baker then
approached defendant menacingly, with a jacket slung over his
arm, concealing his hand. According to eyewitnesses, Baker wasunarmed. Defendant claimed at trial that although he could not
see a weapon, he feared Baker was armed and reacted in self-
defense. Defendant testified: I didn't want to shoot first, I
wanted to go ahead . . . and do what I had to do before [Baker]
did it to me. So I went ahead and pulled my gun out and I shot
at him. As Baker approached, defendant retreated, pulled a
chrome .357 caliber revolver from under his jacket, and began
shooting. Defendant testified that he pointed his gun towards
the ground and intended only to force Baker away so that
defendant could get to his car and leave. Defendant also
testified that he did not intend to kill Baker and did not know
at the time of the shooting whether any of the bullets actually
hit Baker. After defendant fired the first shot, Baker turned
and ran around the corner, moving down 10th Street. According to
defendant, [Baker] ran and I went behind him shooting at him.
D'April Greene and her three children lived in a
housing project near 10th and Dawson. On 16 February 1997,
D'April was gathering the children for a trip to the toy store.
The trip was intended to reward the children for making good
grades. Excited about the trip and anxious to ride in the front
seat, D'April's eight-year-old son, Demetrius, ran ahead of the
rest of his family. He ran across 10th Street and jumped into
the front passenger seat of D'April's car, which was parked on
10th Street approximately one hundred feet south of the grocery
store. As D'April and her other two children crossed the street
towards the car, D'April began to hear fussing near the
intersection of 10th and Dawson. This fussing was quicklyfollowed by gunfire. D'April and other witnesses then saw Baker
rounding the corner with defendant in pursuit.
As Baker ran down 10th Street, defendant followed him
around the corner, continuing to fire between four and six shots.
At some point, Baker ran in front of or near the Greene car in an
attempt to cross 10th Street. During the course of the shooting,
two of the bullets from defendant's revolver struck Baker, one in
the leg and one in the torso. Baker staggered across the street,
collapsed in a grassy area near the sidewalk, and died shortly
thereafter. A stray bullet from defendant's revolver passed
through the windshield of D'April Greene's car and struck
Demetrius Greene in the head. Demetrius died shortly thereafter.
Forensic evidence subsequently confirmed that the bullets that
struck Baker and Greene all came from the same gun, most likely a
revolver. Moreover, forensic evidence showed those bullets could
not have been fired from a gun later found in Temony's
possession.
Immediately after the shooting, defendant and Temony
got into defendant's car and fled. They stopped briefly at
defendant's home, abandoned defendant's car, and then went to a
nearby motel. According to defendant, they spent the next two
days in a motel room. Defendant claims he did not learn that
Demetrius Greene had been killed until he saw the evening news.
At some point, Temony disposed of defendant's revolver.
Meanwhile, police interviewed D'April Greene and other
witnesses and obtained an identification of defendant as the
shooter. Police subsequently searched defendant's home and car. The officers found, among other things, gun holsters, drug trade
paraphernalia, a shotgun, and some .357 caliber ammunition. On
18 February 1997, police received information that defendant had
requested a taxicab at his motel. The officers used this
opportunity to arrest defendant, sending a plain clothes officer
to the motel to pose as a taxi driver. As the police arrived at
the motel, defendant and Temony spotted them and ran. Defendant
threw his jacket to the ground as he fled. After a brief foot
chase, police arrested defendant and Temony.
Additional evidence admitted during the capital
sentencing proceeding tended to show the following: In the early
morning hours of 18 February 1997, two masked, armed intruders
broke into an apartment on Ringo Drive in Wilmington and attacked
Louis Tyson. The intruders forced Tyson to the floor and
attempted to bind him with duct tape. The intruders beat Tyson
while demanding money and then shot Tyson once in each leg. The
intruders then fled. Paper dust masks and remnants of the duct
tape were found at the scene. Defendant was linked to the Tyson
attack by evidence that: (1) duct tape and paper dust masks
matching those used during the Tyson attack were found in
defendant's motel room after his arrest in the present case; (2)
police found a shopping list, in defendant's handwriting, in the
pocket of the jacket defendant dropped when fleeing the police,
and among the items on the list were duct tape, masks, and
gloves; and (3) bloodstains found on this same jacket were
genetically matched to Tyson's blood. Evidence was also introduced concerning the murder of
Donald Brunson. In the early morning hours of 6 December 1996,
two intruders broke into the house where Brunson lived. Ana
Santiago, who was Brunson's girlfriend, and her son Carlos both
lived with Brunson. The intruders awoke Brunson, Santiago, and
Carlos at gunpoint and ordered them to lie down on the master
bedroom floor. At some point, the intruders became angry. A
shot was fired, and the intruders began beating Brunson. The
intruders dragged Brunson to Carlos' room and continued to beat
him until he was unconscious. Then they tied up all three
victims. The intruders placed Brunson in Santiago's car and
left, taking the car and Brunson with them. In the morning, the
car was found near the local waste-water treatment plant.
Brunson's nearly nude body was found nearby. He had died as a
result of gunshot wounds to his back. Temony and defendant were
charged in connection with the Brunson case after their arrest in
the present case. In connection with the Brunson murder, Temony
pled guilty to second-degree murder, kidnapping, robbery, and
burglary. Defendant was convicted of first-degree murder,
kidnapping, and robbery with a dangerous weapon.
Defendant presented a number of family members and
friends as witnesses during the capital sentencing proceeding.
These witnesses testified as to defendant's childhood, which
included frequent moves, the separation of his parents, and the
deterioration of his relationship with his father. There was
testimony that defendant had generally stayed out of trouble
until he and his family moved to Wilmington. There was alsotestimony that defendant maintains a good relationship with his
parents, siblings, nieces, and nephews.
The additional facts and descriptions of events at
trial necessary to an understanding of defendant's arguments are
set forth below.
Defendant first contends the trial court erred by
denying defendant the opportunity to fully cross-examine and
impeach the credibility of one of the state's witnesses. During
the capital sentencing proceeding, the state presented evidence
describing the circumstances of the Brunson murder. Defendant's
convictions arising from the Brunson murder were used in support
of aggravating circumstances described in N.C.G.S. §
15A-2000(e)(2) (defendant previously convicted of a capital
felony) and N.C.G.S. § 15A-2000(e)(3) (defendant previously
convicted of a felony involving the use or threat of violence to
the person). Ana Santiago appeared as a witness for the state
and described the events that had occurred in the Brunson home on
the night of the attack. During her testimony, she stated that
there had been two intruders in the house that night.
During cross-examination, defendant questioned Santiago
about prior statements she had made to police during the
investigation of the Brunson murder and during her testimony at
the Brunson murder trial. In those prior statements, Santiago
had stated that three, not two, intruders had entered the Brunson
home. Defendant questioned Santiago several times about these
prior inconsistent statements without objection. Each time,
Santiago claimed she did not recall making those priorstatements. The trial court sustained the state's objections to
further inquiry as to these statements and refused to admit a
police report, signed by Santiago, stating that three men had
entered the Brunson home. On voir dire, the police report was
admitted as an offer of proof. After some discussion with
counsel, the trial court ruled that defendant had ample
opportunity to cross-examine the witness on the issue and that
further inquiry was irrelevant to the key fact for sentencing
purposes -- the existence of defendant's prior convictions.
A person may not be sentenced to death 'on the basis
of information which he had no opportunity to deny or explain.'
Simmons v. South Carolina, 512 U.S. 154, 161, 129 L. Ed. 2d 133,
141 (1994) (quoting Gardner v. Florida, 430 U.S. 349, 362, 51 L.
Ed. 2d 393, 404 (1977) (plurality opinion)). Accordingly, under
North Carolina law, at a capital sentencing proceeding both the
state and the defendant may introduce evidence concerning the
circumstances surrounding the defendant's prior crimes when those
prior crimes support aggravating circumstances. State v.
McDougall, 308 N.C. 1, 20-21, 301 S.E.2d 308, 320 (following
State v. Taylor, 304 N.C. 249, 279, 283 S.E.2d 761, 780 (1981),
cert. denied, 463 U.S. 1213, 77 L. Ed. 2d 1398 (1983)), cert.
denied, 464 U.S. 865, 78 L. Ed. 2d 173 (1983). Once the state
introduces evidence of the circumstances surrounding these prior
crimes, it is anticipated that the defendant may elicit testimony
tending to temper that evidence. State v. Jones, 339 N.C. 114,
152, 451 S.E.2d 826, 846 (1994), cert. denied, 515 U.S. 1169, 132
L. Ed. 2d 873 (1995). The admission of evidence during a capital sentencing
proceeding, however, is not strictly governed by the Rules of
Evidence. N.C.G.S. § 15A-2000(a)(3) (2001); N.C.G.S. § 8C-1,
Rule 1101(b)(3) (2001). In McDougall, this Court described the
role of the trial court in controlling the presentation of
evidence concerning the circumstances surrounding prior crimes to
be used as aggravating circumstances at a capital sentencing
proceeding:
It is the duty of the trial judge to
supervise and control the trial to prevent
injustice to either party. The court has the
power and duty to control the examination and
cross-examination of the witnesses. The
trial judge may ban unduly repetitious and
argumentative questions as well as inquiry
into matters of tenuous relevance. The
extent of cross-examination with respect to
collateral matters is largely within the
discretion of the trial judge. The proper
exercise of this authority will prevent the
determination of this aggravating
circumstance from becoming a mini-trial of
the previous charge.
McDougall, 308 N.C. at 22, 301 S.E.2d at 321 (citations omitted);
see also State v. Locklear, 349 N.C. 118, 158, 505 S.E.2d 277,
300 (1998) (trial court may exclude evidence during capital
sentencing that is repetitive, unreliable, or lacking an
adequate foundation), cert. denied, 526 U.S. 1075, 143 L. Ed. 2d
559 (1999); State v. Strickland, 346 N.C. 443, 461, 488 S.E.2d
194, 205 (1997) (admissibility of evidence during capital
sentencing is based upon considerations of whether the evidence
is pertinent and reliable), cert. denied, 522 U.S. 1078, 139 L.
Ed. 2d 757 (1998); State v. Walls, 342 N.C. 1, 51, 463 S.E.2d
738, 764-65 (1995) (a trial court may exclude evidence of amitigating circumstance which is repetitive or unreliable), cert.
denied, 517 U.S. 1197, 134 L. Ed. 2d 794 (1996). A trial court
has broad discretion over the scope of cross-examination in
general and during a sentencing proceeding in particular. State
v. Moses, 350 N.C. 741, 770-71, 517 S.E.2d 853, 871 (1999), cert.
denied, 528 U.S. 1124, 145 L. Ed. 2d 826 (2000); State v.
Anderson, 350 N.C. 152, 180, 513 S.E.2d 296, 313, cert. denied,
528 U.S. 973, 145 L. Ed. 2d 326 (1999).
Defendant was not denied an opportunity to cross-
examine Santiago concerning her prior statements. He was allowed
to question Santiago repeatedly concerning her prior inconsistent
statements. The transcript reveals that it was only after the
tone of the cross-examination became repetitive and somewhat
confrontational that the trial court asked defense counsel to
move along and sustained the state's objections to defendant's
repeated questions. The trial court properly exercised its broad
discretion when it limited defendant's cross-examination in this
manner.
Nor did the trial court err in refusing to admit
extrinsic evidence of Santiago's prior statement, namely, the
signed police report. While the Rules of Evidence are not
controlling in a sentencing proceeding, they can provide a
helpful guide as to relevance. State v. Greene, 351 N.C. 562,
568, 528 S.E.2d 575, 579, cert. denied, 531 U.S. 1041, 148 L. Ed.
2d 543 (2000). As a general rule, under the Rules of Evidence,
once a witness testifies about a collateral matter on cross-
examination, the cross-examiner is bound by those answers of thewitness and cannot contradict them with extrinsic evidence.
1 Kenneth S. Broun, Brandis and Broun on North Carolina Evidence
§ 160 (5th ed. 1998); see also State v. Burke, 343 N.C. 129, 154,
469 S.E.2d 901, 913, cert. denied, 519 U.S. 1013, 136 L. Ed. 2d
409 (1996). Repetitive evidence on irrelevant points serves only
to prolong the trial and confuse the jury. Broun, North Carolina
Evidence at § 160.
In the present case, the exact number of attackers who
entered the Brunson home was a collateral matter, and was only
tenuously relevant to the fact that defendant was convicted of
several felonies in connection with the Brunson murder.
Santiago's prior inconsistent statements were relevant to her
credibility and defendant was allowed to explore that issue. In
sustaining the state's objection to admission of the police
report, the trial court properly exercised its discretion to
prevent the sentencing proceeding from becoming a second trial of
the Brunson murder and to prevent an unnecessary digression into
a collateral matter. Defendant's argument is without merit.
Next, defendant argues the trial court erred by denying
defendant's pretrial motion to dismiss. During the capital
sentencing proceeding at defendant's earlier trial for the
Brunson murder, the state introduced evidence of the murders of
Tyrone Baker and Demetrius Greene in support of the aggravating
circumstance described in N.C.G.S. § 15A-2000(e)(11) (the murder
was part of a course of conduct in which the defendant engaged in
other violent crimes). The state introduced the testimony of
D'April Greene; Roderick Morgan, who was an eyewitness to themurders of Tyrone Baker and Demetrius Greene; and Dr. Almeida,
who performed the autopsies of Tyrone Baker and Demetrius Greene.
The Brunson jury found the existence of the course of conduct
aggravating circumstance and recommended life imprisonment
without parole.
D'April Greene, Roderick Morgan, and Dr. Almeida
testified during the guilt-innocence proceeding in the instant
case as well. Prior to trial, defendant moved to dismiss the
murder charges on double jeopardy and collateral estoppel
grounds. Defendant argued that the capital sentencing proceeding
in the Brunson trial was, in part, a trial of the Baker and
Greene murders. According to defendant, because the jury in the
Brunson trial had already considered evidence of the Baker and
Greene murders and had been authorized to impose a sentence of
death based in part upon the Baker and Greene murders,
defendant's life had already been placed in jeopardy once for
those crimes. In effect, defendant argued, the jury's
recommendation of life imprisonment without parole in the Brunson
trial acquitted defendant of the death penalty for the Baker
and Greene murders. In his written motion, defendant moved for
dismissal of the murder charges. During the hearing on the
motion, defendant argued in the alternative that if trial
proceeded, the state should be collaterally estopped from seeking
the death penalty. The trial court denied defendant's motion and
noted his exception.
On appeal, defendant renews this argument. In his
brief, defendant relies principally on Ashe v. Swenson, 397 U.S.436, 25 L. Ed. 2d 469 (1970), to support his argument that the
state should have been collaterally estopped from seeking the
death penalty in the present case. In Ashe, the defendant was
charged with seven separate crimes in the robbery of a group of
six poker players. Id. at 437-38, 25 L. Ed. 2d at 472. The
defendant was to be tried separately on each count but was
acquitted on the first count for lack of evidence. The state
then brought the defendant to trial on the second count. Id. at
439, 25 L. Ed. 2d at 472-73. The United States Supreme Court
held that the doctrine of collateral estoppel, as embodied in the
rule against double jeopardy, prevented further prosecutions of
the defendant for other crimes arising out of those same facts.
Id. at 446-47, 25 L. Ed. 2d at 477. According to defendant, the
present case is analogous.
Defendant's reliance on Ashe is misplaced. Ashe stands
for the proposition that once a jury has conclusively determined
the existence or nonexistence of a fact, the state is
collaterally estopped under the Double Jeopardy Clause from
relitigating that same issue in a second criminal proceeding.
Id. at 442-43, 25 L. Ed. 2d at 475; see also Schiro v. Farley,
510 U.S. 222, 232, 127 L. Ed. 2d 47, 58 (1994). The holding in
Ashe turned on the fact that the only rationally conceivable
issue in dispute was whether defendant was in fact one of the
robbers, and the first jury had expressly found the evidence
insufficient to prove that fact. 397 U.S. at 445, 25 L. Ed. 2d
at 476. There was no issue as to whether the defendant in Ashe
could be properly charged and punished for each of the robberiesif he was, in fact, one of the robbers. Id. at 446, 25 L. Ed. 2d
at 477. The acquittal of a defendant in a previous proceeding
only precludes the state from relitigating in a subsequent
prosecution any issue necessarily decided in favor of the
defendant in the former acquittal. State v. McKenzie, 292 N.C.
170, 175, 232 S.E.2d 424, 428 (1977). The key inquiry is,
'taking into account the pleadings, evidence, charge, and other
relevant matter, . . . whether a rational jury could have
grounded its verdict upon an issue other than that which the
defendant seeks to foreclose from consideration.' Ashe, 397
U.S. at 444, 25 L. Ed. 2d at 475-76 (quoting Daniel K. Mayers &
Fletcher L. Yarbrough, Bis Vexari: New Trials and Successive
Prosecutions, 74 Harv. L. Rev. 1, 38-39 (1960)); see also
McKenzie, 292 N.C. at 174, 232 S.E.2d at 428. Defendant has the
burden of demonstrating that the issue he seeks to foreclose from
relitigation was actually decided in the previous proceeding.
Schiro, 510 U.S. at 233, 127 L. Ed. 2d at 59; McKenzie, 292 N.C.
at 175, 232 S.E.2d at 428.
Defendant's argument is based on the fact that the
state produced evidence at the present trial that was similar to
evidence produced at the sentencing proceeding in the Brunson
trial. The similarity of the evidence introduced in the two
proceedings is not the test. See State v. Alston, 323 N.C. 614,
617, 374 S.E.2d 247, 249 (1988). The test is whether the jury in
the Brunson trial could have rationally grounded its
recommendation of life imprisonment on an issue other than the
aggravating value of the Baker and Greene murders. See id. Defendant's guilt of the offenses charged in the
present case was never fully litigated during the Brunson trial,
and neither was the appropriate sentence for the present crimes.
Our examination of the transcript and exhibits from the Brunson
trial, placed in the present record on appeal, reveals that the
Brunson jury was never required to find the existence of all of
the elements of first-degree premeditated and deliberate murder
as to the Baker and Greene murders. Moreover, although some
evidence of the Baker and Greene murders was presented to the
Brunson jury, evidence concerning defendant's violent acts
towards Keith Richardson and Louis Tyson was also presented
during the sentencing and guilt-innocence proceedings of the
Brunson trial. The jury's finding of the course of conduct
aggravating circumstance in the Brunson trial could have been
based on defendant's other violent acts and was not necessarily
based on any finding as to the Baker and Greene murders.
Defendant did not stand charged with the Baker and Greene murders
during the Brunson trial, nor was he prosecuted for them.
Although defendant's pattern of violent conduct, including the
murders charged in the instant case, was possibly relevant to a
determination of the appropriate punishment for the Brunson
murder, the jury in the Brunson trial ultimately decided
defendant's guilt and recommended a sentence for the Brunson
murder alone.
This Court has rejected similar arguments in the past.
In State v. Williams, 305 N.C. 656, 680-81, 292 S.E.2d 243, 258,
cert. denied, 459 U.S. 1056, 74 L. Ed. 2d 622 (1982), thedefendant was tried and convicted separately of two murders,
committed hours apart in Gaston and Cabarrus Counties. The
defendant was first tried and convicted for the Cabarrus County
murder. Evidence of the Gaston County murder was introduced at
the Cabarrus County trial to support a finding of an aggravating
circumstance and defendant was sentenced to death. The defendant
was then tried and convicted for the Gaston County murder. The
jury in the Gaston County case found that the Cabarrus County
murder supported a finding of an aggravating circumstance and
recommended a sentence of death.
On appeal, the defendant argued that because the jury
at the Cabarrus County trial had already considered the facts of
the Gaston County murder and had already sentenced him based in
part upon those facts, he could not be tried for the Gaston
County murder consistent with double jeopardy protections. In
the alternative, the defendant argued that the Cabarrus County
murder could not be used to support aggravating circumstances at
the capital sentencing proceeding of the Gaston County trial.
This Court flatly rejected the defendant's argument, noting:
The defendant was not convicted of nor punished for the [Gaston
County murder] in the prior trial. The defendant has been
convicted and sentenced only once for the [Gaston County murder]
and will only once be punished therefor. Id. at 681, 292 S.E.2d
at 258.
In a different case, a defendant was convicted of two
murders and each murder was used to support the (e)(11)
aggravating circumstance in the sentencing proceeding for theother murder. State v. Pinch, 306 N.C. 1, 29, 292 S.E.2d 203,
225, cert. denied, 459 U.S. 1056, 74 L. Ed. 2d 622 (1982), and
overruled in part on other grounds by State v. Rouse, 339 N.C.
59, 451 S.E.2d 543 (1994), cert. denied, 516 U.S. 832, 133 L. Ed.
2d 60 (1995), and by State v. Robinson, 336 N.C. 78, 443 S.E.2d
306 (1994), cert. denied, 513 U.S. 1089, 130 L. Ed. 2d 650
(1995), and by State v. Benson, 323 N.C. 318, 372 S.E.2d 517
(1988), and abrogated in part on other grounds by State v.
Wilson, 322 N.C. 117, 367 S.E.2d 589 (1988). In his brief to
this Court, the defendant argued this was unconstitutional
because '[t]he double jeopardy clause prohibits the prosecution
from . . . obtaining a substantive conviction for a homicide and
then using it again as an aggravating circumstance.' Id. at 30,
292 S.E.2d at 225. This Court responded:
[T]he jury's consideration of a defendant's
commission of other crimes of violence, in
making its ultimate penalty recommendation
for that defendant's conviction of a related
but separate capital offense, is not
logically equivalent to the defendant
receiving multiple punishment for the same
crime.
Id. at 31, 292 S.E.2d at 226; see also State v. Boyd, 343 N.C.
699, 719-20, 473 S.E.2d 327, 338 (1996) (in a double homicide,
submission of the facts of one homicide to aggravate the sentence
imposed in the trial of the other homicide does not violate
double jeopardy), cert. denied, 519 U.S. 1096, 136 L. Ed. 2d 722
(1997).
Although the instant case is not identical to these
cases, defendant's argument is sufficiently analogous to the
arguments discussed therein that we believe they control theoutcome here. Defendant was not convicted of the Baker and
Greene murders at the Brunson trial and has been convicted and
sentenced only once for the Baker and Greene murders. The
Brunson jury's consideration of the instant crimes as an
aggravating circumstance in a prior capital sentencing proceeding
is not logically equivalent to the defendant having already
received either punishment or acquittal of the present crimes.
The double jeopardy clause protects against a second prosecution
or second punishment for a single offense. Pinch, 306 N.C. at
31, 292 S.E.2d at 226; see also Schiro, 510 U.S. at 229, 127 L.
Ed. 2d at 56; State v. Thompson, 349 N.C. 483, 495, 508 S.E.2d
277, 284 (1998). In the case at bar, defendant was convicted and
sentenced for two offenses quite distinct from the offenses tried
at the Brunson trial. It was entirely proper for each jury to
consider defendant's pattern of violent behavior when
determining whether defendant should pay the ultimate price for
each life he took. Pinch, 306 N.C. at 32, 292 S.E.2d at 226.
Accordingly, we decline to adopt a position which would prevent
the administration and availability of equal justice for equal
crimes. Id. at 30, 292 S.E.2d at 225. Defendant's argument is
without merit.
Next, defendant argues the trial court erred during
sentencing by excluding evidence as to the sentence recommended
and imposed in the Brunson trial. Prior to the capital
sentencing proceeding, the trial court allowed the state's motion
in limine and precluded defendant from mentioning during opening
statements that the jury in the Brunson trial had recommended asentence of life imprisonment. During the sentencing proceeding,
the trial court also sustained the state's objection to the
admission of the full case file from the Brunson trial, which
contained the jury's sentencing recommendation. According to
defendant, this may have misled the jury into believing that
defendant was already under a sentence of death for the Brunson
murder. Defendant argues such a misled jury might erroneously
assume that its death verdict would be superfluous. Thus, the
jury might mistakenly believe that it bore no actual
responsibility for defendant's death. According to defendant,
the trial court's ruling is therefore contrary to the legal
principles discussed in Caldwell v. Mississippi, 472 U.S. 320,
328-29, 86 L. Ed. 2d 231, 239 (1985).
At the outset, we note that the jury was made aware of
defendant's sentence for the Brunson murder. The clerk of court
testified as to defendant's sentence in the Brunson trial, and
this testimony was admitted without objection. It is therefore
difficult to see how the jury was misled on this issue. Assuming
arguendo that the trial court erred at all in excluding such
evidence, the fact that this same evidence was admitted without
objection at a different point makes any alleged error likely
harmless. See State v. Lee, 335 N.C. 244, 280, 439 S.E.2d 547,
565-66, cert. denied, 513 U.S. 891, 130 L. Ed. 2d 162 (1994).
Moreover, Caldwell is not controlling here. The
constitutional violation described in Caldwell involved a
prosecutor telling a jury that it need not feel the full weight
of its responsibility for deciding a death sentence, because anappellate court would review its determination and make the final
decision to impose the death penalty. Caldwell, 472 U.S. at
325-26, 86 L. Ed. 2d at 237-38. The United States Supreme Court
held this argument misleading and prejudicial because '[e]ven a
novice attorney knows that appellate courts do not impose a death
penalty, they merely review the jury's decision and that review
is with a presumption of correctness.' Id. at 331, 86 L. Ed. 2d
at 241 (quoting with approval the dissenting opinion below,
Caldwell v. State, 443 So. 2d 806, 816 (Miss. 1983) (Lee, J.,
dissenting)). In the present case, allowing the state's motion
in limine and sustaining the state's objections could not have
led the jury to believe that some other tribunal would finally
decide defendant's sentence or that the jury's sentencing
recommendation was somehow not binding. There is no indication
that the trial court's rulings encouraged the jury to ignore its
grave responsibility. As to the crimes charged in the instant
case, the decision as to punishment was the jury's alone and
neither side intimated otherwise.
Caldwell is based, at least in part, on the
considerations articulated in a case that seems more directly
relevant here, Lockett v. Ohio, 438 U.S. 586, 57 L. Ed. 2d 973
(1978) (plurality opinion). The general rule that the jury must
not be misled as to its role in a capital sentencing proceeding
is rooted in a concern that the [capital] sentencing process
should facilitate the responsible and reliable exercise of
sentencing discretion. Caldwell, 472 U.S. at 329, 86 L. Ed. 2d
at 239 (citing Lockett and several other cases). In Lockett, theUnited States Supreme Court held that a sentencer in a capital
sentencing proceeding may not be precluded from considering, as
a mitigating factor, any aspect of a defendant's character or
record and any of the circumstances of the offense that the
defendant proffers as a basis for a sentence less than death.
438 U.S. at 604, 57 L. Ed. 2d at 990.
The types of considerations described in Lockett,
Caldwell, and other cases do not require the admission of the
evidence proffered here. Even in light of these considerations,
a trial court is not limited in its authority to exclude
irrelevant evidence. Lockett, 438 U.S. at 604 n.12, 57 L. Ed. 2d
at 990 n.12. In other cases, this Court has held that a
defendant's potential or actual sentence for crimes other than
the crime of which he or she stands convicted is irrelevant to a
determination of a proper sentence and thus may be properly
excluded. Robinson, 336 N.C. at 105-06, 443 S.E.2d at 319
(defendant's sentences for other crimes arising from the same
transaction are irrelevant to sentencing determination); Lee, 335
N.C. at 279-80, 439 S.E.2d at 565 (trial court properly excluded
as irrelevant evidence that defendant would be sentenced
separately for his additional crimes); see also State v. Reeves,
337 N.C. 700, 720, 448 S.E.2d 802, 810 (1994) (convictions and
sentences for other crimes are not mitigating evidence), cert.
denied, 514 U.S. 1114, 131 L. Ed. 2d 860 (1995); cf. State v.
Robbins, 319 N.C. 465, 518, 356 S.E.2d 279, 310 (defendant's
status under the parole laws is irrelevant to a sentencing
determination), cert. denied, 484 U.S. 918, 98 L. Ed. 2d 226(1987). That defendant is currently serving a life sentence for
another unrelated crime is not a circumstance which tends to
justify a sentence less than death for the capital crime for
which defendant is being sentenced. State v. Price, 331 N.C.
620, 634, 418 S.E.2d 169, 177 (1992), sentence vacated on other
grounds, 506 U.S. 1043, 122 L. Ed. 2d 113 (1993).
In sum, the jury heard the evidence defendant claims
was wrongly excluded: that he had been sentenced to life
imprisonment at his trial for the murder of Donald Brunson.
Moreover, even if the evidence had been entirely excluded, there
would be no error because the sentence imposed on defendant for
the Brunson murder was irrelevant to the jury's sentencing
recommendation in the present case. Defendant's argument is
without merit.
Defendant next argues that the trial court gave an
erroneous instruction on the issue of self-defense. Prior to the
jury deliberations at the end of the guilt-innocence proceeding,
the trial court instructed the jury that defendant's conduct
could be excused on the basis of self-defense if it appeared
necessary to the defendant and he believed it to be necessary to
kill Tyrone Baker in order to save himself from death or great
bodily harm. At trial, defendant admitted to firing his gun
generally in Baker's direction but claimed he aimed at the ground
and did not mean to kill Baker. According to defendant, this
instruction incorrectly required the jury to find that defendant
believed it necessary to use a particular level of force, namely,
deadly force, before he could claim self-defense. Defendantargues this instruction deprived him of the excuse of self-
defense even if the jury found Baker had suffered injuries
greater than defendant had anticipated.
We addressed this issue in State v. Richardson, 341
N.C. 585, 461 S.E.2d 724 (1995). In Richardson, we approved a
jury instruction that was, in all relevant respects, identical to
the instruction at issue in the present case. Id. at 587, 597,
461 S.E.2d at 726, 731. Since Richardson, we have declined
opportunities to reconsider the issue. See, e.g., State v. Laws,
345 N.C. 585, 600, 481 S.E.2d 641, 649 (1997); State v. Johnson,
343 N.C. 489, 494, 471 S.E.2d 409, 412 (1996). After carefully
examining defendant's argument, we find no reason to depart from
our prior holdings. This argument is without merit.
Defendant next contends that the short-form indictments
charging him with murder erroneously failed to allege the
aggravating circumstances serving as the basis for imposition of
the death penalty. Defendant claims that aggravating
circumstances must be alleged in his indictment pursuant to the
United States Supreme Court decision in Ring v. Arizona, 536 U.S.
584, 153 L. Ed. 2d 556 (2002).
Defendant's argument is foreclosed by this Court's
decision in State v. Hunt, 357 N.C. 257, 582 S.E.2d 593 (2003).
As explained in Hunt, the United States Supreme Court's decision
in Ring does not require that aggravating circumstances be
alleged in a state-court murder indictment. Id. at 274, 582
S.E.2d at 604. This Court in Hunt also held that there is no
statutory requirement that a short-form murder indictment containaggravating circumstances. Id. at 272-73, 582 S.E.2d at 603-04.
Prior to trial, defendant made a general assertion that failure
to allege the aggravating circumstances in his indictment
violated his due process rights. We review this alleged
constitutional error pursuant to N.C.G.S. § 15A-1443(b). For
reasons similar to those stated in Hunt, we determine beyond a
reasonable doubt that the structure and nature of the North
Carolina capital punishment system provided defendant with
reasonable and constitutionally sufficient notice of the
aggravating circumstances that might be established by the state
during defendant's capital sentencing proceeding. See id. at
274-78, 582 S.E.2d at 604-06. This assignment of error is
without merit.
Additionally, defendant contends that the short-form
murder indictment used to charge him improperly alleged only the
elements of second-degree murder and omitted the additional
elements necessary to allege first-degree murder. Defendant
concedes, as he must, that this Court has consistently rejected
this argument. See, e.g., State v. Barden, 356 N.C. 316, 383-84,
572 S.E.2d 108, 150 (2002), cert. denied, ___ U.S. ___, 155 L.
Ed. 2d 1074 (2003); State v. Braxton, 352 N.C. 158, 174-75, 531
S.E.2d 428, 437 (2000), cert. denied, 531 U.S. 1130, 148 L. Ed.
2d 797 (2001); State v. Wallace, 351 N.C. 481, 508, 528 S.E.2d
326, 343, cert. denied, 531 U.S. 1018, 148 L. Ed. 2d 498 (2000);
see also Hunt, 357 N.C. at 275, 582 S.E.2d at 604. We haveconsidered defendant's contention on this issue and find no
reason to depart from our prior holdings.
Having concluded that defendant's trial and capital
sentencing proceeding were free from prejudicial error, we are
required to determine: (1) whether the record supports the
jury's finding of any aggravating circumstances upon which the
sentencing court based its sentence of death; (2) whether the
death sentence was imposed under the influence of passion,
prejudice, or any other arbitrary factor; and (3) whether the
death sentence is excessive or disproportionate to the penalty
imposed in similar cases, considering both the crime and the
defendant. N.C.G.S. § 15A-2000(d)(2).
In the present case, defendant was convicted of two
counts of murder, one count of discharging a firearm into
occupied property, and one count of possession of a firearm by a
convicted felon. The conviction for Tyrone Baker's murder was
based on a theory of premeditation and deliberation. The
conviction for Demetrius Greene's murder was based upon (1) a
theory of premeditation and deliberation under the doctrine of
transferred intent; and (2) the felony murder rule, with the
Baker murder serving as the underlying felony. In each case, the
jury found the same five statutory aggravating circumstances:
(1) defendant had been previously convicted of a capital felony,
N.C.G.S. § 15A-2000(e)(2); (2) defendant had been previously
convicted of second-degree kidnapping, N.C.G.S. § 15A-2000(e)(3);
(3) defendant had been previously convicted of armed robbery,
N.C.G.S. § 15A-2000(e)(3); (4) defendant had been previouslyconvicted of first-degree burglary, N.C.G.S. § 15A-2000(e)(3);
and (5) the murder was part of a course of conduct that included
the commission of other crimes of violence against other people,
N.C.G.S. § 15A-2000(e)(11). The first four aggravating
circumstances in each case were supported by defendant's various
convictions in connection with the Brunson murder. The fifth
circumstance in each case was supported by the evidence of
defendant's involvement in the Richardson and Tyson shootings.
The trial court submitted to the jury four statutory
mitigating circumstances as to each murder, including the
catchall mitigating circumstance, N.C.G.S. § 15A-2000(f)(9). The
jury found that only one statutory mitigating circumstance
existed as to each murder: defendant acted under duress.
N.C.G.S. § 15A-2000(f)(5) (2001). Of the thirteen nonstatutory
mitigating circumstances which were submitted to the jury as to
each murder, one or more jurors found that eleven circumstances
existed and had mitigating value.
After thoroughly examining the record, transcript, and
briefs in this case, we conclude the evidence fully supports the
aggravating circumstances found by the jury. Moreover, we find
no indication that the death sentences were imposed under the
influence of passion, prejudice, or any other arbitrary
consideration. Defendant does not contend otherwise.
Defendant does contend, however, that the sentence
imposed upon him is excessive and disproportionate. Accordingly,
and in light of N.C.G.S. § 15A-2000(d)(2), we turn to our
statutorily imposed duty of proportionality review. The purposeof our proportionality review 'is to eliminate the possibility
that a person will be sentenced to die by the action of an
aberrant jury.' State v. Atkins, 349 N.C. 62, 114, 505 S.E.2d
97, 129 (1998) (quoting State v. Holden, 321 N.C. 125, 164-65,
362 S.E.2d 513, 537 (1987), cert. denied, 486 U.S. 1061, 100 L.
Ed. 2d 935 (1988)), cert. denied, 526 U.S. 1147, 143 L. Ed. 2d
1036 (1999). In conducting our proportionality review, we
compare the present case with other cases in which this Court has
concluded that the death penalty was disproportionate. State v.
McCollum, 334 N.C. 208, 240, 433 S.E.2d 144, 162 (1993), cert.
denied, 512 U.S. 1254, 129 L. Ed. 2d 895 (1994).
We have found the death penalty disproportionate in
eight cases. State v. Kemmerlin, 356 N.C. 446, 573 S.E.2d 870
(2002); Benson, 323 N.C. 318, 372 S.E.2d 517; State v. Stokes,
319 N.C. 1, 352 S.E.2d 653 (1987); State v. Rogers, 316 N.C. 203,
341 S.E.2d 713 (1986), overruled on other grounds by State v.
Gaines, 345 N.C. 647, 483 S.E.2d 396, cert. denied, 522 U.S. 900,
139 L. Ed. 2d 177 (1997), and by State v. Vandiver, 321 N.C. 570,
364 S.E.2d 373 (1988); State v. Young, 312 N.C. 669, 325 S.E.2d
181 (1985); State v. Hill, 311 N.C. 465, 319 S.E.2d 163 (1984);
State v. Bondurant, 309 N.C. 674, 309 S.E.2d 170 (1983); State v.
Jackson, 309 N.C. 26, 305 S.E.2d 703 (1983). After careful
review, we conclude that the present case is not substantially
similar to any case in which this Court has found the death
penalty disproportionate.
There are a number of distinctions between the present
case and the disproportionate cases. First, defendant wasconvicted of first-degree murder on the basis of premeditation
and deliberation. This indicates a more calculated and cold-
blooded crime. Lee, 335 N.C. at 297, 439 S.E.2d at 575. The
evidence strongly supported a finding of premeditated and
deliberate murder. Here, defendant had been warned Baker was
looking for him and had armed himself in anticipation of doing
what [he] had to do if confronted. Defendant had been involved
in a similar confrontation just a few days prior, and had shot
and wounded Keith Lamont Richardson. Defendant had thus
demonstrated a willingness and ability to shoot to kill at the
slightest provocation. Further, defendant testified that during
the instant shootings, Baker had immediately started running
after defendant fired the first shot. Despite the fact that
Baker was obviously in flight, defendant chased Baker some
distance down the street, firing at him repeatedly and
continuously until Baker collapsed.
Second, defendant was found guilty of two counts of
first-degree murder. This Court has never found a death sentence
disproportionate in a case where the defendant has been convicted
of multiple murders. State v. Goode, 341 N.C. 513, 552, 461
S.E.2d 631, 654 (1995). The fact that defendant was convicted of
the murder of Demetrius Greene on the basis of transferred intent
does not change this analysis. This Court has affirmed the
death penalty in several cases involving death or serious injury
to one or more persons other than the murder victim. State v.
McHone, 334 N.C. 627, 648, 435 S.E.2d 296, 308 (1993), cert.
denied, 511 U.S. 1046, 128 L. Ed. 2d 220 (1994). Defendant firedrepeatedly and recklessly at his intended victim while he was
running down a busy residential city street crowded with innocent
people. Defendant's actions demonstrate an egregious and callous
disregard for the sanctity of life and the safety of others.
Only fate prevented defendant from being charged and convicted of
several more murders.
Third, this Court has also never found a death sentence
disproportionate where the defendant has been convicted of a
prior violent felony. State v. Jones, 342 N.C. 457, 481, 466
S.E.2d 696, 708, cert. denied, 518 U.S. 1010, 135 L. Ed. 2d 1058
(1996). A jury could well be more willing to impose the death
sentence on one who is prone to violence. Id.
Fourth, the jury found the existence of the course of
conduct aggravating circumstance in connection with each murder.
This Court has held that the course of conduct circumstance,
standing alone, is sufficient to support a death sentence. State
v. Bacon, 337 N.C. 66, 110 n.8, 446 S.E.2d 542, 566 n.8 (1994),
cert. denied, 513 U.S. 1159, 130 L. Ed. 2d 1083 (1995). The
evidence clearly shows that defendant's violent behavior on 16
February 1997 was not an isolated incident, but was indicative of
a dangerous pattern of violence.
Fifth, and finally, the jury expressly refused to find
two circumstances this Court has found key to a finding of
disproportionality. Although the trial court submitted them, the
jury refused to find either of the statutory mitigating
circumstances described under N.C.G.S. § 15A-2000(f)(2) (murder
committed while under the influence of a mental or emotionaldisturbance) and 15A-2000(f)(7) (defendant's age at the time of
the crime). This Court has relied on similar types of
considerations in the past when ruling a death sentence
disproportionate. Stokes, 319 N.C. at 21, 352 S.E.2d at 664 (age
and impaired mental incapacity); see also Bondurant, 309 N.C. at
693-94, 309 S.E.2d at 182 (severe inebriation).
We also compare the present case with cases in which
this Court has found the death penalty proportionate. See
McCollum, 334 N.C. at 240, 244, 433 S.E.2d at 162, 164. Although
this Court considers all the cases in the pool of similar cases
when engaging in proportionality review, we will not undertake
to discuss or cite all of those cases each time we carry out that
duty. State v. Gregory, 348 N.C. 203, 213, 499 S.E.2d 753, 760,
cert. denied, 525 U.S. 952, 142 L. Ed. 2d 315 (1998). Here, for
the reasons discussed above, we find this case more similar to
cases in which we have found a sentence of death proportionate
than to those in which we have found a sentence of death
disproportionate. See McCollum, 334 N.C. at 244, 433 S.E.2d at
164.
Whether a sentence of death is 'disproportionate in a
particular case ultimately rest[s] upon the experienced
judgments of the members of this Court.' State v. Carroll, 356
N.C. 526, 555, 573 S.E.2d 899, 918 (2002) (quoting State v.
Green, 336 N.C. 142, 198, 443 S.E.2d 14, 47, cert. denied, 513
U.S. 1046, 130 L. Ed. 2d 547 (1994)), cert. denied, ___ U.S. ___,
156 L. Ed. 2d 640 (2003). Based upon the characteristics of this
defendant and the crimes he committed, we are convinced that thedeath sentences recommended by the jury and ordered by the trial
court in the instant case are not disproportionate.
Defendant received a fair trial and capital sentencing
proceeding free from prejudicial error. Accordingly, the
judgments of the trial court sentencing defendant to death must
be left undisturbed.
NO ERROR.
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